U.S. Department of Justice

National Institute of Corrections

Correctional Leadership

Competencies for 

the 21st Century

Manager and 

Supervisor Levels
U.S. Department of Justice

National Institute of Corrections

320 First Street, NW

Washington, DC 20534

Morris L. Thigpen

Director

Larry Solomon

Deputy Director

Robert M. Brown, Jr.

Chief, Academy Division

John Eggers, Ph.D.

Project Manager

Dee Halley

Project Manager

National Institute of Corrections

World Wide Web Site

http://www.nicic.org
Correctional Leadership Competencies

for the 21st Century:

Manager and Supervisor Levels

Nancy M. Campbell

Campbell Consulting

December 2006

NIC Accession Number 020475
This publication was prepared under cooperative agreement 02A18GIV4 from the National Institute of Corrections, U.S.

Department of Justice. Points of view stated in this publication are those of the authors and do not necessarily represent

the official position or policies of the U.S. Department of Justice.

© Campbell Consulting, Inc.

The National Institute of Corrections reserves the right to reproduce, publish, or otherwise use and to authorize

others to reproduce or use all or any part of the copyrighted material contained in this publication. 
Foreword

Given the increasing number and diversity of offenders in the nation’s correctional institutions, the challenging responsibilities being placed on correctional

agencies and organizations, and the complexity of the social, political, and legal

climate in which they operate, it is now more vital than ever for correctional

agencies/organizations to identify and train effective leaders at all levels of management, from the frontline supervisor to the head of a correctional system. To

this end, the National Institute of Corrections (NIC) and its Academy Division

asked, “What are the skills and attributes of an effective correctional leader and

how can they be developed?”

In response, NIC and the Academy Division developed the Core Competencies

Project. This project called on the expertise of a number of respected professionals in the leadership field to identify the qualities needed by effective leaders across a wide range of correctional agencies/organizations. After defining

four levels of correctional leaders and developing managerial profiles for each

level based on key areas of responsibility, the project identified core competencies for each level through focus groups and surveys of correctional leaders,

consultation with experts in the correctional field, and comparison with other

fields. Then, for each competency, the project developed a knowledge base to

help correctional leaders at each level understand the competency better and

identified a set of key skills and behaviors related to the competency. 

This publication, Correctional Leadership Competencies for the 21st Century:

Manager and Supervisor Levels, and its companion document, Correctional

Leadership Competencies for the 21st Century: Executives and Senior-Level

Leaders, represent the culmination of that process. The core competencies presented for managers and supervisors emphasize not only the value of capabilities such as oral and written communication, strategic thinking, program

planning and performance assessment, managing change, problem solving and

decisionmaking, and a knowledge of the criminal justice system, but also skills

such as interpersonal relationships, motivating others, developing direct reports,

managing conflict, initiating collaboration, and team building and attributes of

character that correctional leaders need, including a strong sense of ethics and

values. These competencies provide correctional agencies/organizations with

tools for identifying and training current and future leaders who can embody

these capabilities and attributes. Also, they offer correctional professionals

guidelines for strengthening and cultivating their own personal growth and

development. 

iii
iv ❘ Foreword

In publishing these documents, NIC hopes to provide a tool for refining its leadership training programs and for helping correctional agencies/organizations of

all sizes identify the most appropriate candidates for leadership training.

Correctional agencies/organizations will be able to use the competencies identified in these documents to improve their recruitment and selection processes, in

the placement and retention of current employees, in succession planning for

leadership positions, and in staff development. Finally, individual correctional

professionals can use these competencies to aid in their own personal growth

and development. 

Morris L. Thigpen

Director

National Institute of Corrections
v

Acknowledgments From the

National Institute of Corrections 

The Core Competencies Project would not have been possible without the collaborative will, dedication, and professionalism of all who contributed to this

project. During its course, many hours were spent debating the merits of leadership, identifying the competencies known to be successful at various levels

of an organization, and struggling with developing a leadership model that

would best serve both the National Institute of Corrections (NIC) and the field

of corrections.

A special thank you is extended to Nancy Campbell for her professional guidance, which helped us to realize our vision of creating a model for leadership

and management development. NIC is indebted to her for the many hours she

spent identifying the elements of this guide and coordinating the many contributions of its authors. We are also indebted to Pat Andrews, Patrick Dobel, Teddi

Edington, George Galazza, Janie Jeffers, Paul Katsampes, Barb Lucey, Marie

Mactavish, Nancy Raynolds, Chase Riveland, David Savage, Chele Shepard,

Donna Stringer, Richard Swanson, Eldon Vail, William Woodward, and Cindi

Yates for the many hours they spent on this project and the expertise they

extended to it.

At NIC, Dee Halley initially moved the project forward before moving on to

greener pastures in our Washington, D.C., office. Her tireless energy and input

are much appreciated. John Eggers has since kept this project safe under his

wing, and to him we are deeply grateful. John spent many hours reviewing the

final version of this guide. Thanks to his determination and expertise, this document has come to fruition.

As the Chief of NIC’s Academy Division, I am deeply grateful to Morris

Thigpen and Larry Solomon. Morris and Larry have fully supported this project

since its inception and have become champions in the art of patience and allowing us to find our own way.

Finally, a heartfelt thank you is extended to Brian Higgins of Lockheed Martin

Information Technology. Brian’s editorial support, sound suggestions, and attention to detail much improved the final version of this document. 

Robert M. Brown, Jr. 

Chief, Academy Division

National Institute of Corrections
vii

Acknowledgments From

the Author

The nature of the correctional environment has changed significantly in recent

years. The technological revolution, globalization, and changing workforce

demographics are just a few of the factors that are influencing and changing

correctional agencies/organizations. The Core Competencies Project—Phase II

attempts to define the skills and abilities needed today and in the future by correctional managers and supervisors.

The core team for the project consisted of Robert Brown, Chief, National

Institute of Corrections (NIC) Academy Division, Marie Mactavish, John

Eggers, and me. Bob Brown sponsored and promoted the project. Dee Halley,

the original project manager, got the project off the ground, introduced it in

many venues, and consistently offered suggestions for refinement and improvement. John Eggers effortlessly picked up the project lead when Dee took an

assignment in Washington, D.C. 

This project is grounded in the competency work that Marie Mactavish began

more than 10 years ago. Marie helped to ensure that the development process

for this project was a learning process for all involved. I am thankful to her not

just for her professional support but for her personal support as well. 

The authors, all of whom are experts in their fields, have worked with correctional leaders. Marie Mactavish once again demonstrated her expertise in collaboration and team building. She also explores the interpersonal skills needed to

be an effective manager or supervisor and how to manage conflict. Patrick

Dobel brings a pragmatic yet challenging approach to understanding ethics. A

respected author on ethics, Patrick has trained correctional professionals and has

chaired a public-sector ethics board. Barbara Lucey provides useful tips on how

to communicate effectively in both speech and writing, and is joined by Teddi

Edington in developing a practical approach to problem solving and decisionmaking. Cindi Yates provides a useful way for managers and supervisors to

approach the often daunting topic of program planning and performance assessment. And last but not least, William Woodward provides an overview of the

criminal justice system that reminds us how interconnected the system is. 

In addition to the core team, a practitioner review team consisting of Janie

Jeffers, David Savage, Donna Stringer, and Eldon Vail kept me honest and on

my toes. Janie, Dave, and Eldon provided a much needed correctional perspective, and Donna provided an overall organizational view. I was particularly

pleased to work again with my former colleagues Dave and Eldon.
Although she was not technically on the core team, as primary editor Teddi

Edington played a central role for all authors, providing sound critiques of our

writing. Nancy Raynolds provided much valued technical editing for this volume.

The project has been an exciting collaboration of a diverse array of correctional

practitioners, NIC staff, academics, and consultants. I have felt privileged to

work with such bright people who are all committed to developing the next

generation of correctional leaders.

Nancy M. Campbell

viii ❘ Acknowledgments From the Author
Contents

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .iii

Acknowledgments From the National Institute of Corrections . . . . . . . . . . . . .v

Acknowledgments From the Author . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .vii

Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xxi

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1

Nancy M. Campbell

The Core Competencies Project: Meeting the Challenge . . . . . . . . . . . . . . . . . .1

Developing the Managerial Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2

Developing the Core Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2

How To Use the Core Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4

Chapter 1: Managerial Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5

Nancy M. Campbell

Executive Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6

Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6

Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6

Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7

Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9

Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9

Senior-Level Leader Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10

Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10

Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10

Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11

Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

Manager Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15

Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15

Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15

Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16

Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18

Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19

Supervisor Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

ix
Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23

Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .24

Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .24

Chapter 2: Ethics and Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25

J. Patrick Dobel

Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25

Why Should Correctional Managers and Supervisors 

Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25

Ethics: A Criminal Justice Perspective for Managers 

and Supervisors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .26

Foundation of Ethics—Three Approaches . . . . . . . . . . . . . . . . . . . . . . . . . .28

Managerial/Supervisory Ethics: Personal and Institutional Integrity . . . . . .29

Acting With Integrity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30

Threats to Ethics in the Correctional Environment . . . . . . . . . . . . . . . . . . .33

Building an Ethical Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35

Leadership Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .38

Unethical Behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .40

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44

Articulating the Basic Values and Virtues of the Correctional Institution

and Agency/Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44

Creating Strong Support and Accountability for Ethics . . . . . . . . . . . . . . . .45

Anticipating and Addressing Predictable Points of 

Vulnerability and Ethical Slippage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .46

Appendix 2–1. Focus Matrix for Managers and Supervisors:

Ethics and Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .47

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .49

Chapter 3: Interpersonal Relationships . . . . . . . . . . . . . . . . . . . . . . . . . . . .51

Marie Mactavish

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51

x ❘ Contents
Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51

Why Should Correctional Managers and Supervisors 

Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51

Empathy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .52

Social Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .54

Relationship Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .55

Effective Interpersonal Relationships Through Technology . . . . . . . . . . . . .56

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .58

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .59

Empathy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .59

Social Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .59

Relationship Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .59

Effective Interpersonal Relationships Through Technology . . . . . . . . . . . . .60

Appendix 3–1. Focus Matrix for Managers and Supervisors:

Interpersonal Relationships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .62 

Chapter 4: Oral and Written Communication . . . . . . . . . . . . . . . . . . . . . . .63

Barbara Lucey

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63

Why Should Correctional Supervisors Develop 

This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63

Fundamentals of Effective Oral Communication . . . . . . . . . . . . . . . . . . . . .64

Group Communication: Meetings and Presentations . . . . . . . . . . . . . . . . . .73

Written Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .78 

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .82

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .82

Fundamentals of Effective Oral Communication . . . . . . . . . . . . . . . . . . . . .82

Group Communication: Meetings and Presentations . . . . . . . . . . . . . . . . . .83

Written Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .84

Appendix 4–1. Focus Matrix for Managers and Supervisors:

Oral and Written Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .85

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .86

Contents ❘ xi
Chapter 5: Motivating Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .89

Nancy M. Campbell

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .89

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .89

Why Should Correctional Managers and Supervisors

Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .89

What Motivates? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .91

Hiring Motivated Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .93

Behaviors That Motivate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .95

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .103

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .104

What Motivates? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .104

Hiring Motivated Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .105

Behaviors That Motivate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .105

Appendix 5–1. Focus Matrix for Managers and Supervisors:

Motivating Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .107

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .109

Chapter 6: Developing Direct Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . .111

Marie Mactavish

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111

Why Should Correctional Managers and Supervisors 

Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111

Joint Responsibility for Developing Direct Reports . . . . . . . . . . . . . . . . . .112

Organizational Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .112

Managerial Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .116

Employee (Direct Report) Responsibility . . . . . . . . . . . . . . . . . . . . . . . . .120

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .121

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122

Organizational Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122

Managerial Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122

Employee (Direct Report) Responsibility . . . . . . . . . . . . . . . . . . . . . . . . .123

Appendix 6–1. Focus Matrix for Managers and Supervisors:

Developing Direct Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .124

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .125

xii ❘ Contents
Chapter 7: Managing Conflict . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .127

Marie Mactavish

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .127

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .127

Why Should Correctional Managers and Supervisors

Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .127

Causes of Conflict . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .128

Understanding One’s Own Response to Conflict . . . . . . . . . . . . . . . . . . . .129

The Roles of Managers and Supervisors in Conflict Situations . . . . . . . . .131

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .139

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .141

Managing Conflict . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .141

Understanding One’s Own Response to Conflict . . . . . . . . . . . . . . . . . . .141

Self-Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .141

Managing Conflict With the Boss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .141

Managing Conflict With Direct Reports . . . . . . . . . . . . . . . . . . . . . . . . . . .142

Managing Conflict With Colleagues . . . . . . . . . . . . . . . . . . . . . . . . . . . . .142

Mediating Between Direct Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .143

Facilitating Conflict Management in a Team Setting . . . . . . . . . . . . . . . .143

Appendix 7–1. Focus Matrix for Managers and Supervisors:

Managing Conflict . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .145

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .147

Chapter 8: Team Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149

Marie Mactavish

Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149

What Is (and Is Not) a Team? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149

Team Longevity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .150

Why Should Correctional Managers and Supervisors

Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .150

Elements of Successful Work Teams . . . . . . . . . . . . . . . . . . . . . . . . . . . . .150

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .170

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .172

Clarity of Purpose and Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .172

Contents ❘ xiii
xiv ❘ Contents

Performance Measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .172

Team Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .172

Trust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .173

Team Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .173

Defined Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .173

Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .173

Decisionmaking Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .174

Managing Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .174

Stages of Team Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .175

Ongoing Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .175

External Support and Recognition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .175

Appendix 8–1. Focus Matrix for Managers and 

Supervisors: Team Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .176

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .179

Chapter 9: Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181

Marie Mactavish

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181

Why Should Correctional Managers and Supervisors

Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181

The Four Collaborative Opportunities . . . . . . . . . . . . . . . . . . . . . . . . . . . .182

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .194

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .195

Interpersonal Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .195

Work Team Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .195

Organizational Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .196

External Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .196

Appendix 9–1. Focus Matrix for Managers and 

Supervisors: Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .197

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .199

Chapter 10: Problem Solving and Decisionmaking . . . . . . . . . . . . . . . . . .201

Barbara Lucey

Teddi Edington

Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .201
Contents ❘ xv

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .201

Why Should Correctional Managers and Supervisors

Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .201

The Problem-Solving and Decisionmaking Process:

The Seven Steps of Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . .202

Creative Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .213

Proactive Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .215

Intuitive Decisionmaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .215

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .216

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .218

The Problem-Solving and Decisionmaking Process:

The Seven Steps of Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . .218

Creative Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .218

Proactive Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .219

Intuitive Decisionmaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .219

Appendix 10–1. Focus Matrix for Managers and Supervisors:

Problem Solving and Decisionmaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .220

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .222

Chapter 11: Strategic Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .223

Nancy M. Campbell

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .223

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .223

Why Should Correctional Managers Develop 

This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .223

What Is Strategic Thinking? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .225

Expanding Your Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .228

A Framework for Strategic Thinking: Management by

Groping Along . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .235

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .237

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .237

What Is Strategic Thinking? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .237

Expanding Your Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .238

Frameworks for Strategic Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .238
xvi ❘ Contents

Appendix 11–1. Focus Matrix for Managers and

Supervisors: Strategic Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .239

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .241 

Chapter 12: Managing Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .243

Nancy M. Campbell

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .243

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .243

Why Should Correctional Managers Develop This Competency? . . . . . . .243

Understanding the Change Dynamic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .244

The Change Process in Action: Eight Steps to 

Transforming Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .247

Managing Transitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .252

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .256

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .257

Understanding the Change Dynamic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .257

The Change Process in Action: Eight Steps to 

Transforming Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .257

Managing Transitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .259

Appendix 12–1. Focus Matrix for Managers and Supervisors:

Managing Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .260

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .262 

Chapter 13: Program Planning and Performance Assessment . . . . . . . . .263

Cindi Yates

Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .263

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .263

Why Should Correctional Managers Develop 

This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .263

Linking the Program Plan to the Strategic 

Direction of the Correctional Agency/Organization . . . . . . . . . . . . . . . . . .264

Program Performance Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .272

Successful Program Planning and Implementation:

Creating a Continuous Feedback Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . .278

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .284
Contents ❘ xvii

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .285

Linking the Program Plan to the Strategic 

Direction of the Correctional Agency/Organization . . . . . . . . . . . . . . . . . .285

Program Performance Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .286

Successful Program Planning and Implementation:

Creating a Continuous Feedback Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . .286

Appendix 13–1. Focus Matrix for Managers and Supervisors:

Program Planning and Performance Assessment . . . . . . . . . . . . . . . . . . . . . .288

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .289 

Chapter 14: Criminal Justice System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .293

William Woodward

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .293

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .293

Why Should Correctional Managers and Supervisors

Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .293

Criminal Justice System Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .294

How the Criminal Justice System Works . . . . . . . . . . . . . . . . . . . . . . . . . .294

Role of the Executive Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .295

Role of the Judicial Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .300

Role of the Legislative Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .302

Improving Criminal Justice System Operations . . . . . . . . . . . . . . . . . . . . .303

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .308

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .310

Role of the Executive Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .310

Role of the Judicial Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .310

Role of the Legislative Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .311

Improving Criminal Justice System Operations . . . . . . . . . . . . . . . . . . . . .311

Appendix 14–1. Focus Matrix for Managers and Supervisors:

Criminal Justice System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .313

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .315
Exhibits

Exhibit 1–1. The Four Levels of Management . . . . . . . . . . . . . . . . . . . . . . .5

Exhibit 2–1. Model of Integrity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30

Exhibit 2–2. Six Pillars of Character . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .33

Exhibit 4–1. Personal Communication Style Clues . . . . . . . . . . . . . . . . . .65

Exhibit 4–2. Personal Communication Styles Matrix . . . . . . . . . . . . . . . . .66

Exhibit 4–3. Feminine and Masculine Communication Styles . . . . . . . . . .69

Exhibit 4–4. The W.R.I.T.E. Way To Communicate Online . . . . . . . . . . . .81

Exhibit 5–1. Factors Affecting Job Attitudes . . . . . . . . . . . . . . . . . . . . . . . .92

Exhibit 5–2. Summary of the Four Behavioral Consequences and 

Their Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .96

Exhibit 5–3. Analyzing Behavior Using the ABC Model of 

Behavior Change: A Corrections Management Example . . .100

Exhibit 6–1. Joint Responsibility for Developing Direct Reports . . . . . . .113

Exhibit 6–2. Comparing the Three Stages of Direct Report 

Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .116

Exhibit 6–3. Managerial Approaches to Developing Direct Reports . . . .118

Exhibit 7–1. Conflict Lenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .130

Exhibit 7–2. Key Elements in Building and Maintaining an Effective

Relationship Between a Manager or Supervisor 

and a Boss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .133

Exhibit 7–3. Steps for Dealing With Conflict Between a Manager or 

Supervisor and a Direct Report . . . . . . . . . . . . . . . . . . . . . . .134

Exhibit 7–4. Comparing Attitudes in Position-Based and 

Interest-Based Approaches to Negotiating Conflicts 

Between Colleagues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .135

Exhibit 7–5. Steps for Negotiating Conflicts Between Two Managers or

Supervisors With Equal Authority . . . . . . . . . . . . . . . . . . . . .136

Exhibit 7–6. Steps for Mediating a Conflict Between Direct Reports . . .138

Exhibit 7–7. Steps for Facilitating Conflict Resolution 

in a Team Setting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .139

Exhibit 8–1. Factors of Team Leadership . . . . . . . . . . . . . . . . . . . . . . . . .154

Exhibit 8–2. Hierarchical Organizational Structure Adapted 

From Likert’s “Linking Pin” Function . . . . . . . . . . . . . . . . .155

Exhibit 8–3. Team Leader Balance of Roles and Use of Authority . . . . . .156

xviii ❘ Introduction
Exhibit 8–4. The Consensus-Building Model of 

Team Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .161

Exhibit 8–5. Decisionmaking Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . .164

Exhibit 8–6. Ground Rules for Meetings . . . . . . . . . . . . . . . . . . . . . . . . . .166

Exhibit 9–1. The Four Collaborative Opportunities . . . . . . . . . . . . . . . . .183

Exhibit 10–1. The Seven Steps of Problem Solving . . . . . . . . . . . . . . . . . .202

Exhibit 10–2. Pareto Chart of Causes of Visitor Dissatisfaction . . . . . . . .206

Exhibit 10–3. CDF Criteria Rating Matrix . . . . . . . . . . . . . . . . . . . . . . . . .209

Exhibit 10–4. Action Plan Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .211

Exhibit 10–5. Contingency Plan Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . .211

Exhibit 10–6. Matrix of Management Problem-Solving and 

Decisionmaking Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . .217

Exhibit 11–1. Conceptual Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .229

Exhibit 11–2. Creative and Traditional Problem Solving . . . . . . . . . . . . . .231

Exhibit 11–3. Guidelines for Brainstorming . . . . . . . . . . . . . . . . . . . . . . . .232

Exhibit 11–4. Project-Related Mind Map . . . . . . . . . . . . . . . . . . . . . . . . . .234

Exhibit 11–5. How To Mind Map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .234

Exhibit 12–1. Eight Steps to Transforming Organizations . . . . . . . . . . . . .248

Exhibit 13–1. The Cascading Process for Goals and Strategies . . . . . . . . .265

Exhibit 13–2. The “So That” Chain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .274

Exhibit 13–3. Steps for Successful Program Planning and 

Implementation: Creating a Continuous 

Feedback Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .278

Exhibit 13–4. Action Plan Template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .283

Exhibit 14–1. Government Direct Expenditures on the 

Criminal Justice System . . . . . . . . . . . . . . . . . . . . . . . . . . . .295

Exhibit 14–2. Overview of the Criminal Justice System From Arrest to 

Final Disposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .296

Exhibit 14–3. The Systems Approach to Criminal Justice . . . . . . . . . . . . .304

Exhibit 14–4. Measuring Criminal Justice Sanctioning Philosophies . . . .309

Introduction ❘ xix
Executive Summary

This publication, Correctional Leadership Competencies for the 21st Century:

Manager and Supervisor Levels, is the second of two companion documents

that are being published by the Academy Division of the National Institute of

Corrections (NIC) as part of its Core Competencies Project. These documents

identify and present core competencies and their related skills and behaviors for

four levels of correctional leaders: executives, senior-level leaders, managers,

and supervisors. They are the end result of an extensive process that began when

Robert Brown, Chief, NIC Academy Division, sought to determine the skills and

abilities that correctional leaders across a wide range of correctional agencies/

organizations need to succeed. This led to the identification of four levels of correctional leadership and the development of managerial profiles for each level.

Core competencies were then identified for each level of leader through focus

groups and surveys, consultation with experts in the correctional field, and comparison with other fields. 

The Academy Division plans to use these competencies to design training programs and to identify the most appropriate candidates for those programs. In

addition, NIC hopes that correctional agencies/organizations will use the competencies in recruiting and selecting correctional leaders, placing and retaining

employees, and succession planning for correctional leaders. Finally, individual

correctional leaders may use these competencies in their own personal growth

and professional development. 

Chapter 1 of this publication presents the managerial profiles for the four levels

of leaders. Chapters 2 through 14 present the individual competencies for managers and supervisors. For each competency discussed in this publication, the

following elements are presented:

■ Definition.

■ Knowledge Base.

■ Key Skills and Behaviors.

■ Focus Matrix for Managers and Supervisors.

■ Resources.

Chapter 1: Managerial Profiles 

Chapter 1 presents the managerial profiles developed by the Core Competencies

Project for each level of correctional leader: executives, senior-level leaders,

managers, and supervisors. Recognizing the diversity of correctional

xxi
xxii ❘ Executive Summary

agencies/organizations and respecting the many ways to organize effectively,

these profiles are designed to provide a frame of reference for the types of

responsibilities that are typically found at different management levels in a correctional agency/organization. 

Each profile includes a brief discussion of the level’s authority and placement

within the organizational structure; a list of responsibilities associated with each

level; a table showing the tasks associated with each responsibility; positions

that typically fall within each level (because of differences in size and organizational structure, the examples may not always be an accurate reflection of any

one organization); and, finally, a list of the core competencies associated with

each level of leadership. 

Chapter 2: Ethics and Values

Ethical behavior lies at the heart of good management and supervision. In a

democratic society that values excellence in performance and individual human

dignity, ethics based on respect, competence, and accountability are critical.

This is particularly true in the corrections field because government delegates

the ultimate use of force and coercion to correctional personnel. 

Chapter 2 addresses the importance of ethics and values for correctional managers and supervisors. It begins with a discussion of the factors that make ethical behavior at both the personal and institutional levels particularly important

in corrections and emphasizes the role of correctional managers and supervisors as the standard bearers of the ethical culture of the correctional agency/

organization. The chapter then reviews three approaches to ethics—principle or

rule based, consequential, and virtue. 

The chapter then discusses integrity as the foundation of ethical behavior. This

discussion names some important elements of integrity, and touches on ways in

which integrity is applied in action, including the three domains of judgment in

which public officials must apply integrity—personal commitments and capacities, obligations of office, and prudence and effectiveness. It details the personal

attributes required for ethical action and discusses six attributes of character. 

Threats to ethics in the correctional environment work to undermine the integrity of correctional managers and supervisors. These include peer culture, denial

of responsibility, rigidity, dominant informal actors (individuals who exercise

excessive influence in a correctional agency or institution because of their experience, knowledge of the workings of the institution, or ability to grant favors),

tensions created by diversity (including differences in racial and ethnic makeup

between offenders and correctional staff), and silence or secrecy regarding ethical lapses, discrimination, and abuse. The chapter enumerates the steps that
Executive Summary ❘ xxiii

managers and supervisors can take to build an ethical organization: knowing the

rules and laws that govern the institution and the reasons behind them, building

trust and respect, being aware of discretion, understanding situations in context,

modeling and educating staff in ethical standards, acting with courage and

endurance, and seeking help and support when needed. It then describes the key

leadership values that ethical managers and supervisors must embody. 

Finally, the chapter addresses the types of unethical behavior that correctional

managers and supervisors must avoid, including violations of trust, self-dealing,

and conflict of interest, and identifies circumstances within the correctional

environment that may lead to unethical behavior. 

Chapter 3: Interpersonal Relationships

The inability to effectively establish and maintain healthy interpersonal relationships is perhaps the main cause of leadership failure and career derailment.

Research indicates that the ability to create effective interpersonal relationships

is increasingly important in the workplace and that these “soft skills” may prove

more valuable to a leader than intelligence. Successful leadership occurs when a

strong network of relationships is developed, existing relationships are maintained, and new relationships are continually added.

Chapter 3 addresses the role of interpersonal relationships in management. After

summarizing why the ability to establish and maintain effective interpersonal

relationships is important for managers and supervisors, the chapter focuses on

four aspects of that ability: empathy, social responsibility, relationship networks,

and the use of communications technology to build interpersonal relationships.

The chapter defines each of these attributes, discusses specific steps that managers can take to develop them and apply them in the workplace day to day, and

presents examples of each of these attributes in action. 

Chapter 4: Oral and Written

Communication

Supervisors rarely do their work alone. Interacting and communicating with others are major parts of their jobs. As a two-way process, communication is effective only when the intended audience receives the message, understands it,

remembers it, and responds to it appropriately. Moreover, because of the

increasing diversity of cultures among offenders and correctional staff, competence in intercultural communication becomes increasingly important for supervisors in correctional institutions. Poor communications can result in mistakes,

misunderstandings, and conflict. The better a supervisor is at communicating,

the more effective that supervisor will be as a leader.
xxiv ❘ Executive Summary

Chapter 4 addresses the role of communication in the day-to-day responsibilities

of correctional managers and (especially) supervisors. It discusses the fundamentals of effective oral communication, including how to identify different

styles of communication, tailor communications to a particular audience, and be

a good listener. It presents a matrix that shows how personal communication

styles can be understood in terms of two dimensions of behavior—direct versus

indirect and relationship versus task orientation—and how verbal, vocal, and

visual clues reflect these dimensions. A second matrix shows how these dimensions inform four personal communication styles: relaters (indirect, relationship

oriented); socializers (direct, relationship oriented); thinkers (indirect, task oriented); and directors (direct, task oriented). This section of the chapter also discusses the attributes of feminine and masculine communication styles, the

characteristics that affect intercultural communications, and techniques of effective nonverbal communication. It then presents techniques for improving listening and response skills in three areas: active listening, giving and receiving

feedback, and asking questions. 

The chapter offers guidelines for communicating effectively with groups at

meetings and in presentations. These guidelines first address steps for preparing

for meetings, including identifying the purpose of the meeting, determining the

supervisor’s role in leading the meeting, completing the necessary administrative tasks, and providing advance notice of the meeting. They then address techniques for effectively facilitating meetings, including encouraging participation,

focusing on objectives, and summarizing meeting outcomes. Finally, they

address considerations in making successful presentations, including knowing

the purpose and value of the presentation; understanding the four types of presentations: report, explanatory, persuasive, and instructional; understanding the

structure of the presentation—introduction, body, and conclusion—and tailoring

the presentation to the audience; and techniques (both body language and verbal) for delivering presentations. 

Finally, this chapter presents tips for effective written communication, including

special considerations for using e-mail. Tips include choosing the appropriate

form of written communication based on degree of formality, level of complexity, speed of delivery, and internal or external audience; knowing the audience

and putting oneself in the reader’s place; and conveying the message with clarity, conciseness, and readability. 

Chapter 5: Motivating Others

Motivation is the internal drive that stimulates a person to try hard to achieve his

or her goals. A motivated employee tries harder than an unmotivated one to get

the job done and to do it well. An effective manager understands that motivation
Executive Summary ❘ xxv

exists when a conscious or unconscious need or desire is met through work and

finds ways to align the worker’s needs or desires with his or her work.

Chapter 5 addresses the importance to correctional managers and supervisors of

motivating their staff. It first discusses the need for greater motivation and more

effective use of employee capacities within organizations, and describes how

security factors and motivating factors affect job attitudes. Relying on Frederick

Herzberg’s motivation-hygiene theory, it points out that contrary to the beliefs of

most managers, motivating factors—fulfilling work, achievement and its recognition, responsibility, and growth or advancement—rather than job security factors—salary, work conditions, supervision, interpersonal relationships, status,

and so on—are the sources of job satisfaction. 

The chapter offers guidelines for hiring motivated employees and removing

unmotivated employees, noting the challenges related to civil service and labor

rules. It notes that effective managers, when hiring, focus on character attributes

and motivation rather than educational background or technical skills. 

The section on behaviors that motivate illustrates how four behavioral 

consequences—positive reinforcement, negative reinforcement, punishment,

and penalty—affect behavior and points out the problems created by overuse

of negative reinforcement. In addition, by applying the ABC (Antecedent—

Behavior—Consequences) Model of Behavior Change in a correctional setting,

it shows that managers often unintentionally provide negative reinforcement for

desired behaviors while failing to provide positive reinforcement for those

behaviors. It advocates using positive reinforcement to bring out the best in

employees and urges managers and supervisors to avoid such common mistakes as choosing the wrong form of positive reinforcement, making employees

compete for positive reinforcement, and reinforcing too little, too late. One

positive reinforcement technique suggested is aligning employees’ personal and

professional interests. 

Chapter 6: Developing Direct Reports

Employees are a correctional agency/organization’s most valuable resource. For

the organization to operate at its full potential and attain maximum productivity,

each employee must become a fully contributing member. The more managers

and supervisors nurture and develop the employees who report directly to them

(known as direct reports), the more likely those employees are to stay with the

organization and to make successful contributions.

Chapter 6 addresses the importance to correctional managers and supervisors of

developing and nurturing their direct reports. It describes the joint responsibilities
xxvi ❘ Executive Summary

of the organization, management, and individual direct reports in ensuring that

effective employee development takes place. 

Organizations can show that they value direct report development by training

managers and supervisors to help direct reports understand their responsibilities

and perform successfully; providing employees with basic skills and knowledge,

including knowledge of the organization, during their first year of employment;

and recognizing and rewarding successful development. Organizations should

ensure that direct reports move through three stages of development over the

course of their employment: acquiring basic skills (both for new hires and for

line-level employees moving into supervisory positions), enhancing performance, and preparing for future roles or succession planning. 

Managers have the responsibility to help design career paths, act as resource

persons, and provide feedback for their direct reports. In developing direct

reports, managers must be able to move between two broad interaction strategies: directive and collaborative. They act as coaches for their direct reports by

designing the relationship, setting clear expectations, providing training opportunities, giving clear feedback, and attending to immediate and future skill

needs. For this, they especially need these five skills: appraisal, listening, questioning, giving feedback, and planning and goal setting.

It is critical that direct reports take an active role in their own development. Not

only must they take the initiative to understand their job responsibilities and

keep that understanding current, they must also develop an understanding of

emotional intelligence, in particular the elements of self-awareness and selfmanagement. 

Chapter 7: Managing Conflict

If managed correctly, conflict can productively leverage diversity, unify individuals around a common goal, promote cooperation, and encourage innovative

solutions. However, if poorly managed, conflict can decrease the desire to work

together and eventually break apart a group or organization. Effectively managing conflict uses conflict’s benefits but avoids its pitfalls.

Chapter 7 addresses the role of managers and supervisors in interpersonal conflicts in the workplace. After summarizing why the ability to manage conflict is

important, the chapter outlines six sources of conflict: relationships, data, interests, structure, values, and resources. It then suggests self-assessment tools that

can help managers and supervisors understand their own response to conflict,

concentrating on the conflict management styles identified in the Conflict

LensTM. The Conflict LensTM model illustrates 10 dichotomies of behavior and

attitudes used in responding to conflict. 
Executive Summary ❘ xxvii

The chapter presents techniques to help managers and supervisors manage conflict with their boss, direct reports, and colleagues; mediate conflicts between

direct reports; and facilitate conflict management in a team setting. Elements of

building a relationship with a boss include understanding the boss’s goals,

strengths, weaknesses, and work style; assessing one’s own needs and work

style; and developing and maintaining an effective relationship that accommodates both. Managing conflicts with direct reports requires effectively using

personal power (power based on mutual respect and trust) as well as position

power (power based on authority). Managing conflicts with colleagues relies on

interest-based bargaining (seeking a win-win solution that develops and preserves the relationship between the negotiators) rather than position-based bargaining (making offers and counteroffers until one party wins). In mediating

conflicts among direct reports, managers and supervisors must maintain neutrality and, if possible, should facilitate an agreement without using their decisionmaking authority. However, some serious employee conflicts may require

the manager or supervisor to impose a solution. Finally, facilitating conflict

resolution in a team setting calls on the manager or supervisor to set and

uphold ground rules for interaction among the team members and to help the

team members establish and implement an agreement to resolve the conflict. 

Chapter 8:Team Building 

Successful teams, like individuals, require thoughtful development and support.

If a team is given sufficient attention and direction, the potential is great not

only for accomplishing the task, but also for individual and team learning

opportunities. Managers and supervisors who understand how to develop teams

benefit from career advancement opportunities and their organizations benefit by

meeting their objectives.

Chapter 8 addresses the importance of team building for correctional managers

and supervisors. It first discusses the types of teams that are encountered in the

workplace, differentiating true teams (wherein individual talents and abilities

contribute to a purpose for which all are accountable) from pseudo-teams (which

lack a focus on collective performance) and working groups (which come together to share information, perspectives, and best practices, but from whom no joint

performance need, accountability, work product, or service is expected). Teams

also differ in their longevity: natural (ongoing) work teams (e.g., shifts in a correctional institution) that work together on multiple projects, as opposed to project (temporary) teams that are established to achieve a specific, short-term goal.

The ability to build and lead teams is a prerequisite to success not only for the

correctional agency/organization, but also for individual leaders. Chapter 8 presents 12 elements of successful work teams at the manager and supervisor 
xxviii ❘ Executive Summary

levels—clarity of purpose and goals, performance measurement, team leadership, trust, team membership, defined roles and responsibilities, communication,

decisionmaking process, effectively managing meetings, stages of team growth,

ongoing training, and external support and recognition. 

Chapter 9: Collaboration

Collaboration in correctional agencies/organizations is important from two perspectives: internal and external. When internal collaboration is encouraged,

employees become more invested in the success of the organization and they

develop a greater understanding of and commitment to its goals. From the external perspective, criminal justice and correctional agencies/organizations can no

longer afford to be isolated from one another or from other public service delivery systems. The importance of collaboration stems not only from the rewards

of working together toward the common good but also from the potential for

controlling the increasing costs of expanding correctional systems. 

Chapter 9 describes four opportunities for managers and supervisors to address

collaboration:

■ Informal or interpersonal: Unstructured and casual collaboration among two

individuals or an informal group. 

■ Work team: Involving a specific project or an ongoing work team. 

■ Organizational: Employees and leaders working together in a single office or

across multiple offices and institutions in a correctional system.

■ External: Working outside the organization with stakeholders, community

partners, other government agencies, and nongovernmental groups.

Chapter 9 discusses the three elements of interpersonal collaboration: social

skills, communication, and diversity. It then presents six elements of a collaborative work team (with reference back to the discussion of these elements in

chapter 8, “Team Building”): clarity of purpose and goals, performance measurement, team leadership, decisionmaking processes (with an emphasis on collaborative decisionmaking), team membership, and defined roles and

responsibilities. Next, it describes organizational opportunities for collaboration

and enumerates three elements of a collaborative organization: collaborative

leadership, trust (including contractual, communications, and competence), and

cooperation across teams. Finally, in discussing external opportunities for collaboration, it presents four elements of a successful collaborative alliance: a

shared need for the alliance, alliance membership, collaborative versus positional leadership, and support from top leaders.
Executive Summary ❘ xxix

Chapter 10: Problem Solving and

Decisionmaking

Solving problems and making decisions are a natural part of the work environment. Changes are constantly occurring in materials, methods, tools, equipment,

people, and policies. Managers and supervisors’ responses to problems and the

effectiveness of their decisions have a crucial impact on the people who work

for them and the organizations they manage. Using problem-solving and

decisionmaking skills will improve both the quality of decisions and the degree

to which people support them.

Chapter 10 addresses problem solving and decisionmaking in correctional

agencies/organizations from the perspective of managers and supervisors. The

chapter presents a seven-step approach to problem solving along with a case

study series that applies each of the steps to a problem of customer/constituent

dissatisfaction in a particular correctional facility. This approach is particularly

effective for problems that can be clearly defined and for recurring problems

that have a significant impact on staff, operations, or inmates and other

customers/constituents. For each step, the chapter discusses why the step

should be taken, how to do it, and tips for performing the step. Steps one and

two involve defining the problem and analyzing its potential causes.

Techniques presented include the use of Pareto charts to prioritize causes and

to focus attention and resources on the most relevant ones. Decisionmaking

requires looking at alternative solutions and selecting the best one for implementation (steps three and four). Techniques presented include the use of a criteria rating matrix to score solutions based on agreed-on and weighted criteria.

Steps five, six, and seven deal with taking action: developing an action plan,

implementing a solution, and evaluating the solution to determine if the problem was actually solved. Techniques include matrixes for action and contingency

plans, customer/constituent surveys, and critical incident review. 

The chapter then addresses creative and proactive problem solving. Creative

problem solving requires managers and supervisors to first determine when a

problem is too complex for one person to solve alone and who else should be

involved. Techniques for encouraging participation and creativity include making sure that all sides of the problem are discussed, injecting thought-provoking

questions or comments, showing appreciation for contributions to encourage

openness and risk taking, and using the creative thinking tools discussed in the

next chapter, “Strategic Thinking.” Proactive problem solving anticipates problems that could interfere with service delivery, customer or employee satisfaction, or other significant aspects of the organization’s performance by

establishing measures that signal problems, monitoring implementation of pro-
xxx ❘ Executive Summary

grams or services, and preparing contingency/risk management plans. Finally,

the chapter presents techniques for intuitive decisionmaking in situations where

limited time or information prevents managers and supervisors from using a

more structured decisionmaking approach. 

A matrix details the roles of each level of management in problem solving and

decisionmaking based on the type of problem, the scope or complexity of the

problem, the problem-solving partners, and the critical competencies required. 

Chapter 11: Strategic Thinking

Strategic thinking encompasses the ability to recognize the relationships, complexities, and implications of a situation, anticipate possibilities, and plan what

to do. The strategic thinker sees issues in the context of systems and their relationship to other systems. The skilled strategic thinker knows how to take

advantage of opportunities that others might miss, recognizes the relationships

between seemingly disparate entities, and views daily tactical issues in a broader

and longer term context. The strategic thinker is able to consider a broad range

of alternatives when addressing a challenge.

Chapter 11 addresses the importance of strategic thinking for managers and

supervisors in correctional agencies/organizations and provides techniques 

for expanding their capacity to think and act strategically. The chapter first 

discusses challenges that require strategic thinking and outlines its benefits.

The chapter then explains the elements of strategic thinking, including the 

different types of thinking—analytical, critical, conceptual, creative, and 

intuitive—and modes of thinking—logic and intuition, synthesis and analysis,

convergence and divergence, holistic and divided, sequential and simultaneous,

and hierarchy and network.

Because most correctional managers and supervisors have worked in systems

that place the greatest value on analytical and critical thinking, the chapter 

presents techniques for expanding one’s thinking and developing new ways of

thinking, particularly in the areas of conceptual, creative, and intuitive thinking.

These techniques include brainstorming, imagery, analogies, and mind mapping. 

Chapter 11 then presents a framework for strategic thinking: Management by

Groping Along guides leaders when they need to push ahead on an issue without an implementation plan. The five steps are know the goal; do the doable first

(proceed by incremental steps); fix as you go (learn from mistakes and adjust

throughout the implementation process); seek feedback, fix mistakes, and stay

flexible; and describe the purpose.
Executive Summary ❘ xxxi

Chapter 12: Managing Change

Most public sector managers and supervisors are good analysts and decisionmakers who can define a problem and develop a strategy to resolve it. What distinguishes the effective manager or supervisor is the ability to implement the

proposed solution. Understanding how and why people adapt to change can help

a manager or supervisor develop more effective change strategies.

Chapter 12 addresses managing change in correctional agencies/organizations

from the perspective of managers and supervisors. After discussing the importance of managing change, the chapter addresses the change dynamic and 

discusses Geoffrey Bellman’s model of its four elements: Is, Wants, Players,

You. This discussion includes a series of questions for clarifying the change

elements, and presents four requirements for effective change management:

listening with intent, understanding one’s values and motives, submerging

one’s ego, and being flexible. 

Chapter 12 then discusses the change process and presents John P. Kotter’s

eight-step model for transforming organizations. These steps are establishing a

sense of urgency (getting employees to want the change); forming a powerful

guiding coalition through the effective use of position power, expertise, credibility, and leadership; creating a vision; communicating the vision; empowering

others to act on the vision; planning for and creating short-term wins that can be

celebrated in meaningful ways; consolidating improvements to produce still

more change; and institutionalizing the new approach. 

Next comes guidance on how to manage transitions from “what is” to “what is

desired,” which involves William Bridges’ three-stage model for transition. This

model moves from the ending of the old way of doing things to the neutral zone

(when the organization has not fully left the old behind or embraced the new) to

the beginning of the new. The transition process is analogous to the grieving

process defined by Elizabeth Kübler-Ross. Techniques for responding to each

stage in the process include acknowledging, respecting, and compensating for

the sense of loss that employees may feel; creating temporary systems and

establishing a transition management plan; and explaining the purpose of the

change and giving each employee a role to play in the change process. 

Chapter 13: Program Planning and

Performance Assessment

Effective leadership reflects how key decisions are made, communicated, and

carried out at all levels of an organization. It relies on shared values, expectations, and purposes that are communicated and reinforced among leaders,
xxxii ❘ Executive Summary

managers, and supervisors and are made evident in the actions of the organization. Program planning and performance assessment are valuable tools for leaders to use in establishing organizational direction, performance expectations,

customer focus, and a leadership system that promotes excellence. They are also

useful for communicating the correctional agency/organization’s intentions and

direction to regulatory and funding authorities. 

Chapter 13 addresses the importance of program planning and performance

assessment for correctional agencies/organizations from the perspective of correctional managers. It first offers a framework for developing and implementing

a program plan in a correctional setting. A program plan aligns program

resources with the correctional agency/organization’s priorities, mission, vision,

and goals. The chapter presents the cascading process for achieving this alignment at all levels of the organization through the development of goals and

strategies or objectives at the division, program, unit, and individual or work

group levels. The building blocks of the program plan include the assessment of

the external and internal environments; the organization’s vision, mission, values, and goals; its strategies and initiatives; the financial plan; and its performance measures. The chapter defines each building block, provides examples, and

offers recommendations for development. 

Chapter 13 then provides a consistent set of definitions for program performance assessment, including performance measurement and evaluation of programs. The discussion of performance measurement distinguishes five types of

performance measures (objective statements, outcome, input, process/workload,

and efficiency) and presents recommendations for developing these measures.

Frameworks, using these performance measures, monitor implementation of the

strategic plan:

■ Exception reporting measures current performance against a stated target and

generates a report when the measure is outside predetermined parameters. 

■ Management review requires managers to make regular, structured presentations on performance measurement data to executives and senior-level leaders

and to answer administrative, diagnostic, creative and predictive, and evaluative questions on their presentations. Generally, a group discussion follows on

best practices, barriers to success, and opportunities for collaborative problem

solving.

Two other performance assessment tools are presented: program evaluations and

performance audits. Program evaluations are indepth examinations of program

performance that assess how well a program is working when its results cannot
Executive Summary ❘ xxxiii

be readily defined or measured. Performance audits are independent assessments

of quality, efficiency, and effectiveness that verify performance and quality 

standards that may be difficult to capture with ongoing performance measures. 

Finally, chapter 13 discusses how program planning and performance assessment create a continuous feedback cycle that enables managers to refine their

programs to help the correctional agency/organization carry out its mission more

effectively and respond to changes in its strategic direction. This cycle has four

steps: planning, implementation, monitoring, and ongoing quality improvement.

Program implementation is often accomplished at a team level, with one or

more teams or task forces assigned to individual projects related to the program.

Methods for ensuring successful program implementation include defining the

project sponsor/process owner, utilizing employees, establishing team charters,

using an action plan to monitor the progress of each project, creating a learning

environment, and understanding the roles of various levels of leaders within the

organization. At a minimum, the action plan should address who (process owners and team members); what (project description); when (project completion

date); how (resources); and status. 

Chapter 14: Criminal Justice System

All parts of the criminal justice system have an effect on one another. Each part

is important and plays its own role as defined by the branch of government

under which it operates. Understanding the criminal justice system improves

problem solving, removes barriers to change, and improves the chances of

developing effective long-term strategic plans.

Chapter 14 provides an overview of the criminal justice system for correctional

managers and supervisors. It first presents statistics regarding the scope of the

criminal justice system in the United States and a diagram of the workings of

the system from arrest to final disposition. 

The chapter then discusses the roles of each branch of government—executive,

judicial, and legislative—in the system. The executive branch manages the operations of the criminal justice system, providing for basic law enforcement; confining offenders in jail (both pretrial and posttrial) or prison (posttrial); and

overseeing intermediate sanctions such as probation, parole (also known as

postrelease supervision), or community corrections as well as treatment programs that address specific offender needs (e.g., drug or alcohol treatment, sex

offender treatment, and cognitive skills development). The judicial branch determines the guilt or innocence of defendants, sets the terms and conditions of the

sentence, and, especially in specialized courts such as drug and reentry courts,

oversees the management of some offenders before trial and after conviction.
xxxiv ❘ Executive Summary

Courts include general jurisdiction trial courts, appellate courts, and specialized

courts such as drug courts, family courts, and tribal courts. The legislative

branch writes the laws that the executive branch enforces and the judicial branch

adjudicates, and ultimately sets criminal justice system policies and procedures

through statute. One development involving state legislatures in recent years is

the passage of victims’ rights amendments to state constitutions. 

Chapter 14 then provides an overview of the sanctioning philosophies under

which criminal justice systems operate, and presents a systems approach to

criminal justice operations that aligns the goals of individual agencies with the

overall goals and philosophy of the system as a whole. Sanctioning philosophies include punishment/retribution, crime reduction, recidivism reduction,

reparation, economic costs, public satisfaction, and restoration. The systems

approach relies on an oversight body such as a community criminal justice

coordinating council, a regional criminal justice council/board, or a state 

commission on criminal justice to develop the overall system goals (called Big

Hearty Audacious Goals or BHAGs), align individual agency or program goals

with those system goals, and create the action plan for meeting the goals.

Mapping possible options, causes, and outcomes at key decision points in the

criminal justice system where agencies have maximum influence (e.g., arrest,

pretrial detention, release from pretrial detention, prosecution, adjudication,

sentencing, and sentence modification) and identifying indicators at those

points for comparison with other jurisdictions (e.g., crime rates, recidivism

rates, public satisfaction levels, and rates of plea bargains for specific crimes)

provide a means for measuring a system’s overall effectiveness. 
Introduction

Nancy M. Campbell

This publication, Correctional Leadership Competencies for the 21st Century:

Manager and Supervisor Levels, is the second of two companion documents

that are being published by the Academy Division of the National Institute of

Corrections (NIC) as part of its Core Competencies Project. This project was

established in response to a question by Robert Brown, Chief, Academy

Division: “How can we design curriculums if we aren’t sure what skills and

abilities are required for success at the various levels of correctional management?” This publication and its companion, Correctional Leadership

Competencies for the 21st Century: Executives and Senior-Level Leaders,

answer this question by identifying and presenting core competencies and their

related skills and behaviors for four levels of correctional leaders: executives,

senior-level leaders, managers, and supervisors.

The Core Competencies Project:

Meeting the Challenge

NIC is faced with the complex and challenging task of creating leadership and

management training programs for a wide array of correctional professionals.

These programs serve correctional agencies/organizations that range from small

rural jails that house fewer than 20 offenders to large state correctional systems

that may serve 50,000 inmates, probationers, and parolees. Correctional agencies/

organizations vary tremendously in size, scope, and structure, both within and

across organizations. Some combine city, county, and state functions; others

serve only one level of government. Thus, although all the participants in an

NIC training program are in the correctional field, their professional experience

may differ dramatically. For example, a deputy warden in one system may have

a significantly different role and/or level of responsibility than a deputy warden

in another system.

Although designing a competency model to clarify current and future roles and

responsibilities for leaders and managers in an individual correctional agency/

organization may be relatively straightforward, doing so for each correctional

agency/organization served by NIC’s training programs would be cost prohibitive, given their number and their variation in size and scope. The challenge was

to create a series of core competency models that could apply across the range

of correctional agencies/organizations. 

1
2 ❘ Introduction

Developing the Managerial Profiles

The Academy Division first created profiles of the roles and responsibilities

most common to a targeted level of correctional leadership. These profiles,

which are presented in chapter 1, are not intended to describe a specific organization but represent many organizations. 

The Core Competencies Project identified four levels of correctional leaders for

which competencies were to be developed: executives, senior-level leaders,

managers, and supervisors. Although, as noted earlier, correctional agencies/

organizations vary widely in size and structure, these represent the typical levels

of leadership.

Managerial profiles were then developed for each of these levels. These profiles

provide a frame of reference for the typical responsibilities found in a correctional agency/organization. Each profile has four sections:

■ Authority: The source of the position’s authority. This includes both internal

and external reporting relationships and placement within the organizational

structure. 

■ Responsibilities: The typical responsibilities associated with each level of

leadership.

■ Tasks: The typical tasks associated with each responsibility. 

■ Positions: Examples of positions found at each leadership level. 

The responsibilities and associated tasks at each level address seven key areas:

vision, goals and objectives, organizational culture, budget and financial

resources, the external environment, public policy, and human resources (a competent and diverse workforce). Although each of the four levels of leadership

has responsibilities in each of these key areas, those responsibilities vary. For

example, although the executive is ultimately responsible for the organizational

vision, senior-level leaders are responsible for building commitment to the

vision and aligning the vision to the services and programs provided.

Developing the Core Competencies

Once the profiles for each level of leader were created, the project then sought

to identify the characteristics that resulted in the best performance at each level.

Based on focus groups and surveys of correctional leaders, input from experts in

the correctional field, and comparisons to other fields in the private nonprofit

and for-profit arenas, 13 areas were chosen as core competencies for correctional managers and supervisors.
Introduction ❘ 3

These competencies, which are presented in chapters 2 through 14, represent the

key skills, knowledge, and attributes of effective managers and supervisors.

Although these competencies overlap significantly with those identified for

executives and senior-level leaders in the companion document, Correctional

Leadership Competencies for the 21st Century: Executives and Senior-Level

Leaders, each document is designed to emphasize the knowledge of the competency needed by each level of leader. Each competency model also links skills

associated with that competency with a set of specific behaviors for managers

and supervisors. The competencies are presented in the following format:

■ Definition: Each chapter begins with a brief definition of the competency and

associated concepts as appropriate.

■ Knowledge Base: This section presents the knowledge of the competency that

managers and supervisors should possess. It begins with a discussion of why

correctional managers and supervisors should possess the competency and

then provides a context for understanding the competency, both as a general

principle and within the correctional environment. Finally, it provides a summary that emphasizes the key elements of each competency. 

Competencies

Managers Supervisors 

Ethics and Values Ethics and Values

Interpersonal Relationships Interpersonal Relationships

Motivating Others Oral and Written Communication

Developing Direct Reports Motivating Others

Managing Conflict Developing Direct Reports

Team Building Managing Conflict

Collaboration Team Building

Problem Solving and Decisionmaking Collaboration

Strategic Thinking Problem Solving and Decisionmaking

Managing Change Criminal Justice System

Program Planning and 

Performance Assessment

Criminal Justice System
4 ❘ Introduction

■ Key Skills and Behaviors: This section presents key skills needed by managers and supervisors to be proficient in each competency and the behaviors

associated with each skill. 

■ Focus Matrix for Managers and Supervisors: An appendix to each chapter

presents a table that shows how elements of the competencies apply to each

level of leader, emphasizing the differences between managers and supervisors in responsibilities related to the competencies. 

■ Resources: This section presents source and background materials related to

each competency. Where a competency is discussed in both this document

and the companion document, the resource list will include materials related

to all levels of management. This gives managers and supervisors an opportunity to acquaint themselves with aspects of the competency that pertain to the

responsibilities of executives and senior-level leaders so that they can further

their professional development and prepare to step into those roles. 

How To Use the Core Competencies

The core competencies presented in this publication can be used for administrative purposes, staff development, or both. Administratively, they may address

such issues as recruitment and selection of managerial personnel, placement and

retention of current employees, or succession planning for leadership positions.

When used for staff development, the competencies can function as a framework to develop appropriate training curriculums or help target the external

resources that are needed. Individual correctional leaders may also use the competencies in their own personal growth and professional development efforts.

NIC expects that the core competency model will be useful for correctional

agencies/organizations throughout the nation and for NIC in several ways:

■ Assisting NIC staff in identifying the most appropriate candidates for a particular training.

■ Facilitating the design of NIC training programs.

■ Helping correctional agency/organization leaders plan for staff development

and succession.
Managerial Profiles

Nancy M. Campbell

Defining the global duties, tasks, and responsibilities for a level of management

in the field of corrections is fraught with challenges and often raises as many

questions as answers. Recognizing the diversity of correctional agencies/

organizations and respecting that there are many ways to organize effectively,

the authors designed the managerial profiles in this chapter to provide a frame

of reference for the type of responsibilities that are typically found at different

levels in a correctional agency/organization. 

This is a model; it is not designed to represent any particular correctional

agency/organization. Rather, it is designed to assist a range of correctional

agencies/organizations and the National Institute of Corrections (NIC) in several

ways. It will assist Academy Division staff in their efforts to identify the most

appropriate candidate for a particular training. It also will assist both NIC and

other correctional training professionals in designing training programs. Finally,

it will assist correctional agency/organization leaders in planning for staff development and succession.

Exhibit 1–1 shows that management positions in correctional agencies/

organizations can be loosely classified into four levels.

The sections that follow profile these levels. Each profile includes a brief discussion of the level’s authority and placement within the organizational structure;

lists of responsibilities, tasks associated with each responsibility, and positions

that typically fall within the level (because of differences in size and organizational structure of correctional agencies/organizations, the examples may not

always be an accurate reflection of any one correctional agency/organization);

and, finally, a list of the core competencies associated with the level. 

Executive

Senior-Level 

Leader

Manager

Supervisor

Exhibit 1–1.The Four Levels of Management

Chapter 1

5
6 ❘ Chapter 1

Executive Profile

Authority

The executive-level leader is the head of a correctional agency/organization and

is often elected to the post or appointed by an elected official. Working within a

broad and often vague mandate, this leader sets the direction and policy for the

organization. This leader works extensively with stakeholders outside the organization that have influence in the political and policy arenas. In some systems,

the deputy director may also be considered an executive-level post.

The executive may serve at the pleasure of an elected official such as the

Governor, mayor, chief judge, or county executive, or an elected body such as a

city or county council. In some cases, the executive may report to a commission

appointed by an elected official or a judicial officer or body.

Responsibilities

The executive is responsible for the leadership and effective management of all

correctional operations and services within a level of government. The executive

is expected to:

■ Establish the correctional agency/organization’s vision and mission.

■ Set clear goals and objectives to ensure the alignment and/or development of

the organizational and administrative systems to support the correctional

agency/organization’s mission. Evaluate progress toward desired outcomes.

■ Build an organizational culture that supports the attainment of desired

outcomes.

■ Secure the resources needed for successful implementation of the correctional

agency/organization’s mission and ensure that those resources are managed

effectively and efficiently.

■ Manage the external environment, including relations with other departments, agencies, and organizations; the community; and other stakeholders.

■ Influence and develop public policy that supports the correctional

agency/organization’s mission.

■ Develop a competent and diverse senior-level staff to ensure that the correctional agency/organization’s vision, mission, and goals are achieved. 
Managerial Profiles ❘ 7

Tasks

Several tasks are associated with each executive-level responsibility. They include the following:

Responsibility Tasks

Establish the correctional agency/ Communicate a shared, compelling, and inspiring vision and 

organization’s vision and mission. sense of organizational purpose.

Ensure the development of short- and long-range plans that

meet the correctional agency/organization’s goals.

Identify future trends in the field and/or in the external

environment that might affect the correctional 

agency/organization.

Set clear goals and objectives Provide an effective organizational structure that clearly 

to ensure the alignment and/or defines lines of authority, responsibility, and communication.

development of the organizational 

and administrative systems to Ensure the development of policies, practices, and procedures 

support the correctional agency/ that result in an organizational structure that promotes the

organization’s mission. Evaluate coordination, cooperation, and integration between divisions 

progress toward desired outcomes. and units needed to achieve desired outcomes.

Ensure the development and maintenance of internal and 

external communication systems that foster clarity and 

develop supportive relationships.

Ensure that the systems for monitoring and evaluating 

outcomes provide feedback regarding progress toward 

goal attainment and ways to improve systems.

Ensure the development and maintenance of strategies for 

understanding best practices in the subject area(s).

Build an organizational culture that Build a culture that ensures that the correctional agency/

supports the attainment of desired organization’s mission and values drive the organization.

outcomes.

Create a culture that facilitates the adoption of strategies and 

practices that continuously respond to changes in policy and 

legislative mandates, available resources, and environment.

Create a culture that identifies and responds to the needs of those 

whom the correctional agency/organization serves (e.g., prisoners,

victims, and their families; local community members; elected 

officials and legislators; and the general public). 

Create a culture that supports and rewards both individual 

and team efforts.

Create a culture that values fair and equitable 

treatment of offenders, staff, and other stakeholders.
8 ❘ Chapter 1

Responsibility Tasks

Ensure that staff, offenders, and community members are treated 

with dignity and respect in all interactions.

Provide leadership and motivation to staff through personal behavior,

knowledge, and values.

Secure the resources needed for Ensure that resources are expended in ways that support the 

successful implementation of the implementation of the correctional agency/organization’s vision,

correctional agency/organization’s mission, and goals.

mission and ensure that those resources 

are managed effectively and efficiently. Place the correctional agency/organization’s funding needs and 

requests within the context of the elected official/body’s priorities. 

Understand the resources needed for operating and capital 

expenses and communicate possible options for securing funding 

for these needs.

Understand the impact of resource use on other public and private 

systems.

Develop the relationships needed to engender trust and confidence 

in both the estimate of need and the use of resources.

Demonstrate accountability with funding sources.

Manage the external environment, Look for opportunities to collaborate with other public and 

including relations with other private stakeholders.

departments, agencies, and 

organizations; the community; and Establish and maintain effective working relationships with other 

other stakeholders. government and nonprofit organizations, community interest 

groups, and stakeholders. 

Establish organization policy regarding public and media relations.

Communicate the vision, mission, and goals of the 

correctional agency/organization to a broad range 

of audiences.

Influence and develop public policy Develop and maintain effective legislative/political relationships.

that supports the correctional agency/

organization’s mission. Encourage understanding and cooperation of policymakers 

and those who influence them.

Assist senior agency staff in understanding how the correctional 

agency/organization’s agenda fits into the context of other 

public policy issues.

Use the most current and accurate research to support 

policy direction.
Positions

Executive-level positions may include:

■ Director of a state Department of Corrections.

■ Director of a city or county Department of Corrections.

■ Federal Bureau of Prisons Regional Director.

■ Sheriff.

■ Director of a state Juvenile Department of Corrections.

■ Director of a local Juvenile Department of Corrections. 

■ Director of a state or local probation system.

■ Director of the paroling authority where it is separate from the Department of

Corrections.

■ Deputy Directors of large systems.

Competencies

■ Self-Awareness.

■ Ethics and Values.

■ Vision and Mission.

■ Strategic Thinking.

■ Managing the External Environment.

■ Power and Influence.

Managerial Profiles ❘ 9

Responsibility Tasks

Develop a competent and diverse Attract and retain a mix of styles, skills, and abilities among 

senior-level staff to ensure that the senior-level staff that results in an effective team.

correctional agency/organization’s 

vision, mission, and goals are achieved. Create a culture of continuous learning and improvement that 

supports responsible risk-taking and growth for senior staff.

Reward achievement and recognize the importance of all 

levels of contribution. 

Celebrate accomplishments.
■ Collaboration.

■ Team Building.

Senior-Level Leader Profile

Authority

The elected or appointed correctional agency/organization director appoints this

individual. The position can be classified or exempt. This leader advises the

director in the development of policy and interprets policy within the parameters

set by the executive. He or she works extensively with internal stakeholders in

aligning organizational systems with the executive’s vision. This individual is

usually within the upper third of the organizational structure.

The senior-level leader usually reports to the executive, who serves at the pleasure of the jurisdiction’s elected official(s). In some cases, the executive may

serve at the pleasure of an elected body such as a city or county council. In

other situations, the executive may report to a body that is appointed by the

elected official, or may report to both an oversight body and the elected official.

The senior-level leader may occupy an exempt position and serve at the pleasure

of the executive or may occupy a classified position in a civil service system. In

larger systems, the deputy director may hold a senior-level leader position. In

this case, the deputy typically reports to the division director, who reports

directly to the executive.

Responsibilities

The senior-level leader is responsible for the overall management of a division,

an institution, field services, or another major organizational component of a

correctional agency/organization such as administrative, program, and support

services. The senior-level leader is expected to:

■ Implement the correctional agency/organization’s vision and mission. 

■ Implement goals and objectives that align and/or develop the organizational

and administrative systems and evaluation processes that support the correctional agency/organization’s mission.

■ Build an organizational culture within the division that supports the attainment of desired outcomes. 

■ Coordinate and manage the development and oversight of the budget and

finances to ensure congruence with the correctional agency/organization’s

vision and mission.

10 ❘ Chapter 1
■ Manage the external environment, including relations with other departments, agencies, and organizations; the community; and other stakeholders.

■ Influence and develop public policy that supports the correctional

agency/organization’s mission.

■ Create and maintain a competent and diverse workforce.

Tasks

Several tasks are associated with each senior-level leader responsibility. They

include the following:

Managerial Profiles ❘ 11

Responsibility Tasks

Implement the correctional Assist in the development and refinement of the correctional 

agency/organization’s vision agency/organization’s vision and mission.

and mission. 

Interpret the vision and mission and determine the nature and 

impact of change needed to implement that vision and mission.

Develop a plan to create ownership of change and monitor 

progress toward goal achievement.

Report progress toward goal achievement to appropriate 

organizational levels.

Develop systems to honor staff for goal achievement.

Constantly review, monitor, and analyze the division/institution’s 

programs to ensure they are achieving the correctional agency/

organization’s mission and vision.

Create a clear and expedient process for staff to suggest changes to 

organization policy, procedures, standards, and contracts.

Implement goals and objectives that Develop the process and timing for aligning the units within the 

align and/or develop the organizational division/institution with the correctional agency/organization’s 

and administrative systems and vision and mission.

evaluation processes that support the 

correctional agency/organization’s Build an organization that balances the interests of the employees,

mission. clients or customers/constituents, and the community while meeting 

the organization’s mission.

Develop and monitor a system of decisionmaking that includes 

delegation of authority and responsibility to the lowest appropriate 

level of management.

Implement and monitor policies and procedures necessary to meet 

the agency’s goals and objectives, mission, and vision. 

Develop ways to communicate effectively with staff, clients or 

customers/constituents, and the community.
12 ❘ Chapter 1

Responsibility Tasks

Provide an effective organizational structure that clearly defines 

lines of authority, responsibility, and communication.

Develop and maintain strategies for understanding best 

practices in the subject area(s).

Build an organizational culture Create a culture in the division that:

within the division that supports 

the attainment of desired outcomes. • Supports the correctional agency/organization’s vision,

mission, goals, and objectives.

• Facilitates the adoption of strategies and practices that 

continuously respond to changes in policy and legislative 

mandates, available resources, and environment.

• Identifies and responds to the needs of those served by the 

correctional agency/organization (e.g., prisoners, victims, and 

their families; local community members; elected officials and 

legislators; and the general public).

• Supports both individual and team efforts.

• Values fair and equitable treatment of offenders, staff, and 

other stakeholders.

Ensure that staff, offenders, and community members are treated 

with dignity and respect in all interactions.

Provide leadership and motivation to staff through personal 

behavior, knowledge, and values.

Coordinate and manage the Ensure that division or program resources are expended in ways 

development and oversight of the that support the implementation of the correctional agency/

budget and finances to ensure organization’s vision, mission, and goals.

congruence with the correctional 

agency/organization’s vision and Develop budget priorities consistent with the correctional 

mission. agency/organization’s vision and mission.

Develop a process for program and unit managers to submit 

budget requests, modifications, and adjustments.

Advocate for funding. 

Ensure that sound accounting and monitoring processes provide 

accurate feedback regarding allocations and expenditures.

Ensure proper allocation and expenditure of funds.

Develop a process to identify cost savings.
Managerial Profiles ❘ 13

Responsibility Tasks

Manage the external environment, Manage public and media relations within the context of established 

including relations with other organization policy. 

departments, agencies, and 

organizations; the community; Share the correctional agency/organization’s vision and mission 

and other stakeholders. with other government and nonprofit organizations, community 

interest groups, and stakeholders.

Develop and maintain opportunities for involving volunteers.

Establish avenues for community involvement in the division/

institution’s programs and for the correctional agency/organization’s 

involvement in the community, within the context of established 

correctional agency/organization policy.

Ensure that the community is actively involved whenever possible 

in the delivery of program services, within the context of established 

correctional agency/organization policy.

Influence and develop public Develop and maintain the working relationships needed with 

policy that supports the correctional legislative/political staff and officials to ensure implementation of 

agency/organization’s mission. the correctional agency/organization’s vision and mission.

Help agency staff understand how the correctional agency/

organization’s agenda fits into the context of other public policy 

issues.

Create opportunities for staff to participate in understanding,

developing, and implementing public policy.

Create opportunities for external stakeholders to participate in 

developing public policy.

Create and maintain a competent Provide supervision to direct reports and model best supervision 

and diverse workforce. practices. 

Ensure that staff regularly receive meaningful performance reviews.

Ensure that timely and fair mediation processes are in place to 

resolve staff problems, complaints, grievances, and labor relations 

issues.

Encourage the establishment and use of opportunities for employee 

development and be sure employees understand how to access them.

Determine the division/institution’s staffing needs and ensure that 

appropriate steps are taken to meet those needs.

Ensure the establishment of fair and equitable human resources and 

labor/management policies.
Positions

Senior-level leader positions may include:

■ Director of Probation, Parole, or Community Corrections.

■ Deputy Director of Probation, Parole, or Community Corrections.

■ Director of the Division of Institutions/Prisons.

■ Deputy Director of the Division of Institutions/Prisons.

■ Regional or District Director of Field Services (Probation and/or Parole,

Community Corrections, Community Sentencing).

■ Warden/Superintendent.

■ Juvenile Facility Administrator.

■ Juvenile Detention Director/Superintendent.

■ Juvenile Probation Director (can also be executive level depending on state).

■ Jail Administrators.

■ Deputy Jail Administrators in large systems.

■ Directors of combined field and institutional regions/programs.

■ Correctional Industries Director.

■ Deputy Correctional Industries Administrator.

■ Medical and Program Services Director.

■ Deputy Medical and Program Services Director.

■ Capital Program Director.

■ Deputy Capital Program Director.

■ Director of Human Resources, Budget, or Information Services. 

■ Deputy Director of Human Resources, Budget, or Information Services.

Competencies

■ Self-Awareness.

■ Ethics and Values.

■ Vision and Mission.

■ Strategic Thinking.

14 ❘ Chapter 1
■ Managing the External Environment.

■ Power and Influence.

■ Strategic Planning and Performance Measurement.

■ Collaboration.

■ Team Building.

Manager Profile

Authority

This individual is usually in a classified position and reports to a senior-level

leader who is the head of a division and/or institution within a correctional

agency/organization. Although the senior-level leader may be an exempt

employee who serves at the pleasure of an appointed official or body, the manager most often holds a classified position within the civil service system. The

manager is above supervisors in the chain of command and is typically in the

middle ranks of a correctional agency/organization.

The manager advises senior-level leaders about policy development but is primarily responsible for interpreting and implementing correctional agency/

organization policy. The major focus is working with internal stakeholders

to create the systems and services needed to fulfill correctional agency/

organization policy.

Responsibilities

The manager is responsible for the implementation, oversight, and management

of a unit, program, or department within a division, institution, or field setting.

The manager is expected to:

■ Ensure the implementation of short- and long-term goals and objectives that

are congruent with the correctional agency/organization’s vision and mission.

■ Develop procedures to ensure the alignment of the unit or program with

correctional agency/organization policy and best practices.

■ Build an organizational culture within the unit/program that supports the

attainment of desired outcomes.

■ Manage the unit/program’s budget and finances to ensure implementation of

the correctional agency/organization’s vision and mission.

■ Manage the external environment related to the manager’s area of

responsibility.

Managerial Profiles ❘ 15
■ Ensure that unit/program staff understand and support the correctional

agency/organization’s public policy agenda.

■ Provide leadership to and supervise staff.

Tasks

Several tasks are associated with each manager-level responsibility. They

include the following:

16 ❘ Chapter 1

Responsibility Tasks

Ensure the implementation of Enable unit and/or program staff to understand the 

short- and long-term goals and correctional agency/organization’s vision and mission. 

objectives that are congruent 

with the correctional agency/ Work with staff to develop the procedures and practices needed 

organization’s vision and mission. to achieve short- and long-term goals.

Monitor progress toward goal achievement.

Recognize and honor staff for goal achievement.

Ensure that unit and/or program customers/constituents 

(offenders, staff, etc.) receive appropriate and needed services.

Create a clear and expedient process for staff to suggest changes to 

agency policy, procedures, standards, and contracts.

Develop procedures to ensure Develop and maintain strategies for understanding best practices in 

the alignment of the unit or the unit/program’s subject areas.

program with correctional 

agency/organization policy Ensure that authority and responsibility for making changes in 

and best practices. procedures and practices are at the lowest appropriate level of staff.

Develop organizational systems and a structure for communicating 

program changes, requirements, and needs.

Ensure that staff are well trained on policies, procedures, and 

practices.

Use feedback from a quality assurance system to ensure ongoing 

improvement of services.

Ensure that evaluation data are used to support the continuation,

modification, and/or change in services.

Build an organizational culture Communicate the correctional agency/organization’s vision, mission,

within the unit/program that goals, and objectives to staff.

supports the attainment of desired 

outcomes. Interpret the nature and impact of impending change and help staff 

adapt to change.
Managerial Profiles ❘ 17

Responsibility Tasks

Create a culture that responds to the identified needs of offenders,

staff, and other stakeholders.

Support both individual and team efforts.

Create a culture that values honesty and fair and equitable treatment

of offenders, staff, and other stakeholders.

Manage the unit/program’s budget Develop budget priorities and provide budget requests,

and finances to ensure implementation modifications, and/or adjustments to appropriate senior staff.

of the correctional agency/organization’s 

vision and mission. Advocate for funding. 

Develop a spending plan based on approved allocations.

Ensure proper allocation and expenditure of funds.

Monitor and control expenditures and ensure that unit/program 

resources are expended in ways that support the implementation of 

the correctional agency/organization’s vision, mission, and goals.

Ensure that fiscal policies and procedures are followed.

Develop a process to identify cost savings.

Create a process for staff to suggest ways to use resources more 

effectively or to generate new revenues and share these suggestions 

with senior-level leaders.

Manage the external environment Represent the unit/program within the correctional agency/

related to the manager’s area of organization and in the community.

responsibility.

Maintain good working relationships with other government and 

community agencies.

Promote volunteer opportunities. 

Ensure appropriate supervision and support for volunteers.

Create a timely and responsive system for investigating and 

responding to staff grievances and complaints by those served by 

the agency. 

Ensure that the community is actively involved in the delivery of 

program services whenever possible.

Ensure that unit/program staff Educate unit/program staff about the correctional agency/

understand and support the organization’s public policy agenda.

correctional agency/organization’s 

public policy agenda.
Positions

Manager-level positions may include:

■ Corrections Unit or Program Manager.

■ Institution/Prison Department Head.1

■ Deputy Superintendent of Institution/Prison Department.

■ Institution/Prison Major or Captain.

■ Boot Camp Director.

■ Probation, Parole, Community Corrections, or Community Sentencing

Department Head or Regional/District Manager.

■ Interstate Compact Administrator.

18 ❘ Chapter 1

Responsibility Tasks

Ensure that services and programs assist staff in understanding 

how the correctional agency/organization’s agenda fits into the 

context of other public policy issues.

Create opportunities for staff to participate in understanding,

developing, and implementing public policy.

Provide leadership to and supervise staff. Recruit, hire, and retain staff who have the appropriate mix of styles,

skills, and abilities.

Provide leadership and motivation to staff through personal 

behavior, knowledge, and values.

Provide supervision to direct reports and model best supervision 

practices. 

Ensure that human resources policies are administered in a fair and 

equitable manner.

Ensure that employees regularly receive meaningful performance 

reviews.

Ensure that timely mediation processes are in place to resolve staff 

problems, complaints, grievances, and labor relations issues.

Ensure that opportunities for employee development exist and 

employees understand how to access them.

Determine and advocate for the unit/program’s staffing needs.
■ Deputy Jail Administrator. 

■ Jail Department Head.

■ Juvenile Facility Department Head.

■ Juvenile Probation Department Head.

■ Accounting, Budget, Legal, Purchasing, and/or Contracts Manager.2

■ Human resources functions such as Diversity Manager, Labor Relations,

Public Information, and Training Manager.

■ Information/Technology Services Manager.

■ Capital Programs or Correctional Industries Administrator.

■ Health Services or Substance Abuse Program Manager.

■ Victim/Witness Program Manager.

■ Food Service or Facilities Manager.

Competencies

■ Ethics and Values.

■ Interpersonal Relationships.

■ Motivating Others.

■ Developing Direct Reports.

■ Managing Conflict.

■ Team Building.

■ Collaboration.

■ Problem Solving and Decisionmaking.

■ Strategic Thinking.

■ Managing Change.

■ Program Planning and Performance Assessment.

■ Criminal Justice System.

Managerial Profiles ❘ 19
Supervisor Profile

Authority

This individual generally manages the staff who work directly with the client or

constituent group. The supervisor makes recommendations to improve systems

and service delivery and monitors operations for compliance with correctional

agency/organization policy. A supervisor position is typically one or two steps

above the line or entry-level position in the organization.

A supervisor usually reports to a manager who is the head of a department. Like

a manager, the supervisor usually holds a classified position within the civil

service system. Supervisors may also be part of a labor union and subject to a

collective bargaining agreement. In the chain of command, a supervisor usually

provides direct oversight of line staff and/or performs administrative duties

assigned by the manager.

Responsibilities

The supervisor is responsible for the effective delivery of services to a client

(customer/constituent) and/or staff population. The supervisor is expected to:

■ Ensure that correctional agency/organization policies, procedures, standards,

and contracts are implemented and support the correctional agency/

organization’s vision and mission.

■ Implement procedures to ensure the alignment of the unit or program with

correctional agency/organization policy and best practices. 

■ Build an organizational culture within the unit or program that supports the

attainment of desired outcomes.

■ Ensure that resources are expended wisely and as prescribed by correctional

agency/organization policy and procedures.

■ Interact with the external environment.

■ Ensure that unit/program staff understand and support the correctional

agency/organization’s public policy agenda.

■ Provide supervision to direct reports and model best supervision practices.

Tasks

Several tasks are associated with each supervisor-level responsibility. They

include the following:

20 ❘ Chapter 1
Managerial Profiles ❘ 21

Responsibility Tasks

Ensure that correctional agency/ Ensure that proposed changes to correctional agency/organization 

organization policies, procedures, policy, procedures, standards, and contracts are congruent with the 

standards, and contracts are correctional agency/organization’s vision and mission.

implemented and support the 

correctional agency/organization’s Ensure that staff are well trained in and understand correctional 

vision and mission. agency/organization policy, procedures, standards, and contracts.

Ensure compliance with correctional agency/organization policy,

procedures, standards, and contracts.

Create a clear and expedient process for staff to suggest changes 

to correctional agency/organization policy, procedures, standards,

and contracts. 

Implement procedures to ensure Ensure that program services are delivered in the safest and most 

the alignment of the unit or effective and cost-conscious way. 

program with correctional 

agency/organization policy Ensure that the program design is guided by the best correctional 

and best practices. practices.

Ensure that programs and practices provide for the safety and 

security of staff, offenders, victims, and the community. 

Ensure that offenders, clients,3 customers/constituents, and others 

served by the correctional agency/organization receive services that 

have the greatest potential for addressing their needs.

Ensure that inspections for security, emergencies, and maintenance

are completed regularly. 

Ensure that services are delivered in the least restrictive setting that 

is congruent with offender and community interests.

Ensure that evaluation data are used to support a continuation,

modification, and/or change in services.

Build an organizational culture Create a culture that ensures fair and equitable treatment of staff,

within the unit or program that offenders, and community members.

supports the attainment of desired 

outcomes. Ensure that staff, offenders, and community members are treated 

with dignity and respect in all interactions.

Ensure that the community is actively involved in delivering 

program services whenever possible. 

Support individual and team efforts.

Model the leadership behaviors you want staff to exhibit.
22 ❘ Chapter 1

Responsibility Tasks

Ensure that resources are expended Provide feedback to managers regarding the amounts and types of 

wisely and as prescribed by correctional resources needed to provide program services.

agency/organization policy and 

procedures. Ensure that expenditures are within the approved funding allocation.

Inform managers of any current or projected expenditure changes 

from the approved funding allocation.

Assist in providing the information needed for any budget 

adjustments or supplemental funding requests.

Foster a process for staff to suggest ways to use resources more 

effectively or to generate new revenues; share these suggestions 

with managers.

Ensure that spending at the unit/line level is consistent with the 

budget plan and the correctional agency/organization’s mission,

vision, and goals.

Interact with the external environment. Represent the unit/program within the correctional agency/

organization and in interactions with clients or customers/

constituents from the community, such as families and agency 

representatives who work with offenders.

Maintain good working relationships with other government and 

community agencies.

Ensure that staff are helpful and treat external customers/ 

constituents such as offenders’ and victims’ families respectfully.

Promote volunteer opportunities. 

Ensure appropriate supervision and support for volunteers.

Create a timely and responsive system for investigating and 

responding to staff grievances and complaints by those served by

the correctional agency/organization.

Ensure that the community is actively involved whenever possible 

in the delivery of program services.

Ensure that unit/program staff Ensure that information regarding offender and/or client services,

understand and support the needs, and demographics is kept in a record that is accurate, up to 

correctional agency/organization’s date, and easily accessible to those who need this information to 

public policy agenda. facilitate development of the policy agenda.

Ensure that unit/program staff receive training regarding the 

correctional agency/organization’s policy agenda.
Positions

Supervisor-level positions may include:

■ Classification Supervisor.

■ Adult or Juvenile Correctional Housing Unit Supervisor.

■ Juvenile Treatment Coordinator. 

■ Correctional Industries Supervisor.

■ Probation, Parole, Community Corrections/Sentencing Supervisor.

■ Interstate Compact Administrator.

■ Accounting, Budget, Legal, Purchasing, and/or Contracts Supervisor.

■ Human resources functions such as Diversity Supervisor or Labor Relations,

Public Information, or Training Supervisor. 

Managerial Profiles ❘ 23

Responsibility Tasks

Provide staff with information regarding the policy agenda so they 

can be sources of information for members of the community and 

better understand the reason for correctional agency/organization 

policy and change.

Provide supervision to direct Support the growth and development of staff by creating learning 

reports and model best opportunities on the job.

supervision practices.

Ensure that staff are trained in the skills needed to provide direct 

services and/or oversight for programs for which they are 

responsible.

Schedule staff and assign work in a fair and equitable fashion.

Ensure that staff receive the appropriate and necessary training and 

employee development.

Conduct meaningful performance reviews regularly or ensure that 

employees regularly receive such reviews.

Ensure that timely mediation processes are in place to resolve staff 

problems, complaints, grievances, and labor relations issues.

Recognize and honor staff for goal achievement.

Communicate correctional agency/organization, staff, and 

community issues to managers on a regular basis.
■ Information/Technology Services Supervisor.

■ Capital Programs or Correctional Industries Administrator.

■ Health Services or Substance Abuse Program Supervisor.

■ Victim/Witness Program Supervisor.

■ Food Service or Facilities Supervisor.

Competencies

■ Ethics and Values.

■ Interpersonal Relationships.

■ Oral and Written Communication.

■ Motivating Others.

■ Developing Direct Reports.

■ Managing Conflict.

■ Team Building.

■ Collaboration.

■ Problem Solving and Decisionmaking.

■ Criminal Justice System.

Notes

1. An institution or prison department head is responsible for the supervision

and/or management of a correctional institution program, area, or department.

2. These and the following positions listed may be supervisory positions in

some correctional agencies/organizations. 

3. Although we traditionally think of the correctional “client” as the offender, in

many instances the client of a supervisor may be a victim of crime, a staff member of the correctional agency/organization or of another criminal justice agency,

or another community agency such as a nonprofit, etc. The broad array of supervisors covered by this profile (e.g., legal, financial, and human resources staff as

well as line supervisors within the correctional facility itself) makes it clear that

“client” is not limited to offenders.

24 ❘ Chapter 1
Ethics and Values

J. Patrick Dobel

This chapter addresses the importance of ethics and values to correctional managers and supervisors. Topics include the special pressures on correctional managers, supervisors, and staff that at once make ethics and values central to their

mission and make them more vulnerable to lapses in ethics; approaches to

ethics; and integrity as the foundation of ethical behavior. The chapter also

describes the threats to ethics in the correctional environment and details the

responsibilities of managers and supervisors to build an ethical organization.

It discusses the key leadership values that ethical leaders must embody and

reviews the types of unethical behavior that correctional managers and supervisors must avoid and the circumstances that may lead to unethical behavior.

Finally, it summarizes the key skills and behaviors related to ethics and values

for correctional managers and supervisors, and presents a matrix (appendix 2–1)

that shows how those skills and behaviors apply at each level.

Definitions

Ethics: Ethics encompasses the standards for evaluating right and wrong and

the personal qualities that sustain the ability to make and act on these judgments. Ethical standards guide decisions and focus behavior for right or

wrong action. They anchor our sense of personal and professional integrity. 

Values: Values include principles, qualities, and aspects of life that individuals

believe possess intrinsic goodness or worth. They also include qualities of

character, such as courage, prudence, and fidelity, which provide the moral

and psychological foundation to sustain judgment and act on it. 

Knowledge Base 

Why Should Correctional Managers and 

Supervisors Develop This Competency?

Personal Role (Professional) Ethics

Ethics at the managerial and supervisory levels focuses on the standards and

character required of individuals in positions of authority. Managers and supervisors explicitly or implicitly promise to judge and act according to the legal

and professional standards for the position and agree to be held accountable

for those judgments and actions. The responsibility to act with professional

and personal ethics is even more important in corrections because correctional

officers possess special powers to use force in the performance of their duties.

Chapter 2

25
26 ❘ Chapter 2

Holding a position of authority, especially in a vital public area such as corrections, enmeshes a person in a web of obligations and dependencies. Colleagues,

superiors, peers, offenders, and other correctional clients (e.g., victims and the

family members of victims and offenders) rely on managers and supervisors for

consistent, competent, and fair judgment and actions. If they fail, frontline staff

and offenders can suffer serious consequences, and the legitimacy of the correctional institution is undermined. 

Organizational Ethics and Values

Although ethics and values often are identified as personal concerns, successful

public organizations create and sustain their own ethical standards of performance that guide employees in their daily decisions. These ethical standards give

reality to the vision and mission in the daily decisions of individuals. They

reside in the norms of the culture and the professional judgment of correctional

personnel. Managers and supervisors carry the norms of the organization and

are the frontline of ethical performance and culture.

Ethics:A Criminal Justice Perspective for 

Managers and Supervisors

In corrections, ethics plays a critical role because of its centrality to discretion.

Exercising discretion in responding to situations is fundamental to management

and leadership. Discretion comes into play at the management and supervisory

levels when rules fail to cover a situation, several rules conflict, or acting on

seemingly clear rules would create significant harm. 

Integrity

Individual values and the decisions that flow from them define people and institutions. They focus and guide decisions and sustain the professional norms and

values of the correctional institution. 

Ethics matters for people and organizations because it anchors integrity. People

define themselves by their decisions and actions in important situations. To sustain their self-respect, people rely on values and virtues to guide and uphold

them in work and life.

Importance of Ethics in Corrections

Correctional work involves high stakes. The basic rights of offenders are on the

line. Because democratic rights are taken from those in custody, offenders are

exposed to potential abuse from fellow offenders and officers. The vulnerability

of offenders in custody imposes a duty on correctional managers and supervisors to ensure that the safety and rights of these offenders are respected even

under difficult circumstances. At the same time, correctional officers are

exposed to serious danger in their daily duties. Managers and supervisors

I believe it may

be laid down as a

general rule that

[the people’s] 

confidence in and

obedience to a 

government will

commonly be 

proportioned to

the goodness or

badness of its

administration.

—Alexander Hamilton,

Federalist 27
Ethics and Values ❘ 27

must ensure competent and fair performance by officers while protecting them

from the multiple dangers of dealing with hardened offenders. 

Correctional work generates many lawsuits from both aggrieved offenders and

staff. Managers and supervisors can prevent or precipitate such lawsuits by their

effective or ineffective performance. 

Because of the constant potential for abuse of power or violence, correctional

institutions and the activities inside them can be a flashpoint for media coverage

and scandals that may destroy careers, undermine facility operations, and hurt

the legitimacy of the government.

Legitimacy of Government

All governmental institutions struggle to earn the trust and respect of the general public. Because of the importance of protecting the public safety and the

dangers associated with corrections, correctional institutions are constantly

scrutinized. Many of the lawsuits and much of the negative media coverage

concerning correctional institutions arise directly from incidents in the purview

of managers and supervisors. The negative publicity that results does irreparable

damage to trust in the criminal justice system. Managers and supervisors determine the legitimacy of governmental institutions as the frontline agents of leadership and management.

Organizational Culture

Managers and supervisors handle many complex, difficult, and recurring ethical

issues that require the application of discretion, laws, rules, and values. Their

actions can prevent serious problems from occurring or can generate more problems. Over time, their daily decisions create the institutional culture of a correctional facility. Their actions that reflect professional and organizational values

sustain those values, but indifference or looking the other way encourages corruption among both staff and offenders. By their decisions and actions, managers and supervisors model and enforce standards that are reference points

for staff and offenders alike. 

Diversity and Respect

Racial, cultural, religious, and gender differences compound the power inequality and vulnerability of both offenders and correctional personnel. Too often

such differences can lead to friction and real or perceived abuse in interactions

between supervisors and staff or between staff and offenders. The hard and dangerous daily reality of life in corrections generates pressures that can erode the

commitment and performance of the best personnel. Managers and supervisors

have the power to head off potential conflicts and to integrate diverse people

into cohesive teams. They model and teach personnel how to navigate the tensions that such differences create in the correctional environment. 
28 ❘ Chapter 2

Foundation of Ethics—Three Approaches 

As described by Kathryn Denhardt in The Ethics of Public Service: Resolving

Moral Dilemmas in Public Organizations, three approaches characterize the different foundations of ethics: principle or rule based, consequential, and virtue.

Principle- or Rule-Based Ethics 

This approach focuses on the standards of right and wrong that individuals use

when they judge and act. A principle defines a general standard such as “lying is

wrong” or “telling the truth is good.” Rules, such as “never lie” or “always tell

the truth,” tend to be much more specific and directional. Nature, religion, one’s

philosophy of life, and one’s beliefs about the nature of human beings and the

world can provide the foundation for the principles or rules.

Consequential Ethics

This approach focuses on the consequences of actions. It is compared favorably

to principle- or rule-based ethics in that it avoids the negative consequences that

can result from following a rule indiscriminately. The most common consequential approaches view consequences in terms of how much happiness or good an

action brings to human beings. Individuals choose their actions or judge an

action by weighing the total good or bad of all the consequences.

Virtue Ethics

This approach focuses on the qualities that human beings need to make good

judgments and act on them. Traditionally, it focuses on a person’s character

and virtues such as prudence, courage, fidelity, honor, temperance, and fairness.

Virtue ethics is an alternative approach to both principle and consequential

ethics. Although a person’s actual beliefs are important, the person must also

possess the quality of mind and character to judge well and act well. In many

cases, the theory argues, the quality of character will lead to the beliefs.

Although the three schools of ethics tend to present themselves as mutually

exclusive, in practice most people use all three in their ethical lives. People

take consequences into account but look to principles to evaluate those consequences. For example, does an action respect people’s dignity or encourage

truthfulness and accountability? An exclusive focus on consequences can permit people to use morally corrupt means to achieve good ends. However, most

people weigh the quality of the means heavily in judging consequences. Similarly, people need prudent judgment to determine the right action regardless of

Three Approaches to Ethics

• Principle or rule based.

• Consequential.

• Virtue.
Ethics and Values ❘ 29

the principles they are acting on. Virtues such as courage and conscientiousness

sustain people’s beliefs in complicated situations. A focus on ethics in organizations usually means addressing all three aspects of ethics.

Managerial/Supervisory Ethics: Personal and 

Institutional Integrity 

Managerial/Supervisory Roles

Correctional managers and supervisors hold difficult jobs. On the one hand, they

ensure that staff enforce complicated regulations and laws. On the other, they

must support that same staff, who often feel endangered or overwhelmed when

facing offenders who can be unpredictable, dangerous, and vulnerable all at the

same time. Managers and supervisors do this through hundreds of daily decisions, many made with little time for reflection. 

While performing this difficult balancing act, managers and supervisors must

earn the trust and compliance of staff and peers, protect and control offenders,

and answer to superiors who have their own concerns and careers to worry

about. 

Personal Responsibility

Personal role ethics depends on the importance of a promise. An individual who

takes on a managerial or supervisory role promises to abide by the requirements

of the role and to be held accountable for following professional and legal standards in making judgments. Making this promise means that the manager or

supervisor accepts personal responsibility for his or her actions. 

Although managers and supervisors may often seem to be simply enforcing the

rules, every individual uses his or her own style, gifts, and judgment in doing so.

Two individuals who both claim simply to be “enforcing the rules” can do the

same job in the same place in very different ways. 

Self-Awareness

Recognizing and accepting personal responsibility mean that managers and

supervisors need to understand their own values, responsibilities, strengths,

and limitations. They need to be aware of how others rely on their judgment

and perceive their actions. Managers and supervisors are always on stage. They

represent the authority and power of the correctional institution, providing the

bridge that links the institution’s formal mission and aspirations with the gritty

reality of work. Correctional officers, staff, and offenders look to them to model

judgment and action. Managers and supervisors must be able to admit when

they make mistakes and to model continuous learning and growth. 

Ethics responsibilities cannot be 

delegated, bought,

or temporarily 

rented.

—Carol W. Lewis,

Professor of 

Public Service,

University of

Connecticut,

Author, The Ethics

Challenge in

Public Service
30 ❘ Chapter 2

Acting With Integrity 

Defining Integrity

Individuals hold their values and beliefs together and make sense of their lives

and actions through a sense of integrity. Integrity covers the wholeness of life,

enabling individuals to assert self-control and judgment. Individuals with

integrity need the sustained support of people and institutions for their integrity

to flourish.

Integrity means balancing one’s beliefs, deciding on the right action, and then

summoning the courage and self-control to act on those decisions. Integrity is

often shown in mundane daily decisions; sometimes, however, in situations of

stress and temptation it requires one to deliberate carefully, decide, and act on

one’s beliefs even when self-interest, temptation, or passion points in a different

direction.

Integrity in Action

Individuals who hold positions of public responsibility must balance three

domains of judgment. Each is important and related to the others, and each

should influence ethical decisions and actions of managers and supervisors.

These domains are personal commitments and capacities, obligations of office,

and prudence and effectiveness (see exhibit 2–1).

Personal Commitments and Capacities

The values, skills, and physical and character attributes that people bring to an

official position make up their personal commitments and capacities. They are

the basis of a manager’s or supervisor’s personal style. Personal commitments

and capacities such as conscientiousness, prudence, energy, optimism, and

trained professional judgment often have a bearing on why people are chosen

for managerial or supervisory positions. Values and commitments may involve

family, profession, and religion as well as the organization. At their best, values

and commitments in these three realms reinforce each other, but personal commitments and values may at times conflict with job-related obligations.

Integrity flows from

the capacity to 

integrate different

parts of oneself 

into a whole or

completeness.

Individuals achieve

integrity when 

they make sense 

of their multiple

obligations or roles

in a manner that

creates coherence

or wholeness across

the different aspects

of their lives. 

—J. Patrick Dobel,

Professor of 

Public Affairs,

Princeton University,

Author, Public Integrity

Personal Commitments and Capacities

Obligations of Office Prudence and Effectiveness

Exhibit 2–1. Model of Integrity
Official Obligations

In accepting a position, one promises, implicitly or explicitly, to live up to its

responsibilities. Superiors, colleagues, clients, and others depend on the competence and responsibility of individuals who hold positions of authority and

power. In public organizations such as correctional agencies and institutions,

these positions are sanctioned and bound by law, which increases their authority

and power. Taking on such a position puts a heavy burden of responsibility on

the individual to act competently and to meet the legal and professional expectations of the position. The welfare of others depends on a manager’s or supervisor’s conscientious fidelity to the legal and institutional obligations of the

position. 

Prudence and Effectiveness

Complications pervade organizational and political reality in correctional institutions. For example, some staff members do not perform; others are good at their

jobs but limited. Some offenders pose predictable challenges to everyone; others

need to be protected. Implementing ethical and legal responsibilities requires

managers and supervisors to think about the proper means to achieve goals.

They need to anticipate and prevent problems and know the context in which

issues arise. These steps help them avoid both being negligent and unwisely

applying rules in a rigid fashion at the wrong time. Above all, prudence means

getting the facts and understanding all the dimensions of a problem before acting. This involves learning about staff and offenders and conditions before problems arise and being able to respond professionally, not in rote, rigid, or

uninformed ways. 

Managers and supervisors hold the three domains of judgment—personal commitments and capacities, obligations of office, and prudence and effectiveness—

in productive tension in their decisions and actions. Each area could be viewed

as a ray of light that illuminates a different aspect of a situation. As the areas

overlap and reinforce each other, the ethical issues become clearer and more

detailed, and leadership judgments become more complete and effective. Individuals of integrity and responsibility use all three domains to decide and act.

Acting Ethically

Personal Attributes for Ethical Action 

All approaches to ethics depend on a number of personal attributes needed for

ethical action. These are critical for managers and supervisors to possess themselves and to instill in those they lead. Ethical action requires individuals to

accept responsibility for their actions, act with self-discipline, reflect on their

actions and act on the basis of reasoned reflection, and deliberate with others

to help find the right action. 

Ethics and Values ❘ 31
Accept responsibility for actions. Managers and supervisors must know and

acknowledge the legal and moral obligations that come with their positions and

avoid the temptation to shirk responsibility. Accepting responsibility increases a

person’s commitment to act competently. Responsible managers and supervisors

acknowledge their contributions to the consequences of actions and avoid the

blame game.

Act with self-discipline. Because managers and supervisors are the first line

of institutional responsibility, they must control their emotions, especially their

likes and dislikes. Staff and offenders will try to manipulate and control a quicktempered or impetuous manager or supervisor. Managers and supervisors who

do not control their prejudices, especially if they have risen from the ranks,

make themselves vulnerable to charges of favoritism and discrimination that

undermine trust and credibility and leave the institution open to lawsuits. Selfdiscipline or self-mastery is part of the foundation of ethical and professional

behavior.

Reflect on actions and act on the basis of reasoned reflection. Gut instincts,

although occasionally right, often carry the weight of years of socialized and

thoughtless prejudice or past habits that may be inappropriate for present conditions. Ethics requires thoughtful consideration of the obligations, laws, rules,

and stakes in a situation, as well as an assessment of the consequences before

acting. Managers and supervisors balance several different obligations and

must be aware of them all, which puts a strong obligation on managers and

supervisors to know not only the law and rules, but also the context and people

in a situation. Managers and supervisors also model behavior for others. Every

action sets a precedent, shapes expectations, and influences how others will

behave in the future.

Deliberate with others to help find the right action. No one can do these difficult and dangerous jobs alone. Lone rangers and institutional vigilantes undercut accountability. Friends, experienced and respected colleagues, and superiors

can help a manager or supervisor see the full range of ethical issues and obligations in a particular situation. They can help a manager or supervisor see the

truth and contradiction of his or her own reactions, assess unanticipated consequences, and forge better decisions. 

32 ❘ Chapter 2

Personal Attributes for Ethical Action

• Accept responsibility for actions.

• Act with self-discipline.

• Reflect on actions and act on the basis of reasoned reflection.

• Deliberate with others to help find the right action.
Six Pillars of Character

Among the personal attributes required for managers and supervisors to act

ethically are trustworthiness, respect, responsibility, fairness, caring, and citizenship. Exhibit 2–2 describes these six “pillars of character.”

Threats to Ethics in the Correctional Environment

Several aspects of the corrections environment constantly work to undermine

the integrity and ethical actions of managers and supervisors. These include peer

culture, denial of responsibility, rigidity, dominant informal actors, tensions created by diversity, and silence.

Peer Culture 

Subtle and not-so-subtle pressures from peers can push individuals to engage

in dangerous or unethical behavior. Those who try to change a peer culture that

supports such behavior may be endangered by peers who do not support them

or may face retaliation for violating group norms or snitching. A primary

Ethics and Values ❘ 33

Exhibit 2–2. Six Pillars of Character

• Trustworthiness: A person of character is trustworthy, lives with integrity,

and is honest and reliable. 

• Respect: A person of character values all persons; lives by the golden rule;

respects dignity, privacy, and the freedom of others; is courteous and polite

to all; and is tolerant and accepting of differences.

• Responsibility: A person of character meets the demands of duty, is

accountable, pursues excellence, and exercises self-control.

• Fairness: A person of character is fair and just, is impartial, listens, and

is open to differing viewpoints.

• Caring: A person of character is caring, compassionate, kind, loving,

considerate, and charitable.

• Citizenship: A person of character is a good citizen, does his or her 

share, helps the community, plays by the rules, and respects authority

and the law.

Source: Adapted from Michael Josephson, Making Ethical Decisions,

Los Angeles: Josephson Institute of Ethics, 2002. Available at 

http://www.charactercounts.org. Reprinted with permission.

Threats to Ethics in the Correctional Environment

• Peer culture.

• Denial of responsibility.

• Rigidity.

• Dominant informal actors.

• Tensions created by diversity.

• Silence.
obligation of managers and supervisors is to understand and positively influence

the peer culture of correctional officers, staff, and offenders.

Denial of Responsibility

An easy way to avoid making a difficult decision is to deny responsibility.

Denial of responsibility permits individuals to commit any act but blame it on

others. “I was only following orders” has justified horrible violations of human

rights and abuses of power. Correctional managers and supervisors are tempted

to deny responsibility because the jobs are hard, the decisions tough, and the

consequences difficult. Moreover, managers and supervisors may receive harmful or questionable directives, yet feel an obligation to follow rules and orders.

Rigidity

One way to deny responsibility and avoid accountability is to rigidly follow

orders or go by the book. Rigid, by-the-book tactics pretend that correctional

personnel have no choice, the situation is well understood and without complications, the right rules are clear, and the consequences of applying the rules

are certain. This approach may reassure some individuals and minimize forms

of stress in the job. However, it reduces the manager or supervisor to a machine

with no discretion or judgment. It also means managers or supervisors do not

learn the context or nuances of situations and people.

Dominant Informal Actors

Informal cultures like correctional institutions, especially in relatively small

units, are vulnerable to the excessive influence of certain individuals, whether

it is an experienced “old pro” or an “expert” whom everyone needs or who provides favors. Staff and offenders may gravitate to this individual for advice and

support, sometimes against the formal rules of the correctional institution or the

manager. Identifying these actors and controlling them, combating their influence, or winning them over is a crucial aspect of influencing the informal culture and norms of the correctional institution. 

The most dangerous case arises when an individual uses coercion and fear to

control others. Bullies exist in all organizations, especially those, such as correctional institutions, that rely to some extent on the use of force. The possibility

of danger, the need for mutual support, and the code of silence (see below)

reinforce the potential power of violent, abusive, or uncontrolled correctional

personnel or offenders. Managers and supervisors can lose control of their areas

to such individuals.

Tensions Created by Diversity

Correctional populations in the United States often overwhelmingly consist of

racial and ethnic minorities. Offender and staff populations may differ along

ethnic, racial, religious, and sometimes gender lines. These differences can

34 ❘ Chapter 2
produce a tinderbox where small sparks of perceived disrespect can flame into

anger, misunderstanding, or violence. Often these incidents set off legal struggles. These tensions can erode trust not only between correctional personnel

and offenders but also among correctional personnel themselves.

Silence

People who know they are protected by secrecy or silence will often perform

immoral actions that they never would if they knew they would be held accountable for them. Silence, looking the other way, and not snitching make possible

abuses of power that endanger the rights and safety of correctional officers,

staff, and offenders. Silence hides actions, permits forbidden actions, and undercuts accountability that controls the use of coercion in corrections. It is the ally

of pathological peer culture, dominant individuals, and discrimination and

abuse.

Building an Ethical Organization

In the correctional environment, many forces constantly work to undermine the

integrity of managers and supervisors. To counteract these forces and help to

build an ethical organization, managers and supervisors need knowledge, trust

and respect, and good judgment. They also need to be able to see a situation in

context, to model values and ethics and educate staff in ethical standards, to

have courage and endurance, and to seek help and support when needed. 

Know the What and Why of Rules and Laws

All aspects of integrity depend on managers and supervisors knowing the laws,

codes of conduct, and rules that guide their work. They also need to understand

the purposes behind the laws and rules because, although critical, they are only

the means to the end of promoting safety and justice in the institution. Knowing

what lies behind the rules also gives managers and supervisors the ability to

exercise discretion when rigid enforcement of the rules may be inappropriate

or dangerous. 

Ethics and Values ❘ 35

Supervisors carry

the ethical culture

of the organization.

If they fail, the

organization fails.

—J. Patrick Dobel,

Professor of 

Public Affairs

Princeton University,

Author, Public Integrity

Steps to Building an Ethical Organization

• Know the what and why of rules and laws.

• Build trust and respect.

• Be aware of discretion.

• Engage the whole context.

• Model ethical standards and educate others.

• Act with courage and endurance.

• Seek support and help.
Professional codes of ethics often clarify issues that the law or the institution’s

rules may not specifically address. In addition, knowledge of the cultural and

ethnic backgrounds of staff and offenders helps managers and supervisors

understand that actions may result more from different cultural influences than

from an attempt to violate rules or endanger people and prevent them from overreacting. Managers and supervisors have strong legal and ethical obligations to

master the applicable law and institutional rules to gain the competence needed

to do their jobs. Otherwise they will be negligent and possibly ineffective or

dangerous.

Build Trust and Respect

Successful leadership at the managerial and supervisory levels depends on trust

and respect among supervisors, staff, and offenders or clients. Without this trust,

staff and inmate compliance with institutional rules will be lower, secrecy will

be greater, and enforcement costs will increase because individuals will revert

to dangerous patterns of behavior in the manager’s or supervisor’s absence. 

Respect and trust are created over time. The foundation of trust lies in sustained

competence, fairness, and impartial actions. Staff will not trust or respect an

incompetent leader. They will ignore directives and take matters into their own

hands. Offenders will exploit incompetence.

Fairness maintains compliance and commitment from staff and offenders.

Respect grows from treating others with fairness and competence and being

willing to learn from and acknowledge others’ concerns even if one does not

agree with them. Respect helps managers and supervisors deal with the sensitive

issues of race, religion, class, and gender that arise in daily interactions. If personnel do not trust managers to be fair, they will have strong motives to hide

actions and avoid management. 

Impartiality sustains trust and fairness. If staff members believe that managers

and supervisors play favorites, they will resent supervision and informally

punish the favorites. Trust and respect build up social resources with staff

and offenders that ease enforcement of the rules, promote accountability,

and earn managers and supervisors the benefit of the doubt and loyalty in difficult situations. 

Be Aware of Discretion

Managers and supervisors sometimes forget their own discretion as they exercise their responsibilities. They see themselves as just “applying the rules” with

no personal judgment involved. However, all managers and supervisors constantly exercise discretion in what they do and do not notice. Although selective

perception may be an issue of competence for a manager or supervisor not

36 ❘ Chapter 2
experienced enough to be aware of the relevant aspects of a situation, it may

also result from biases and preconceptions. 

Discretion arises when rules are brought to bear. Often situations involve multiple rules that sometimes conflict. The choice of which rule to apply may determine the severity of the incident for staff and offenders. Finally, managers and

supervisors choose whether to write up an incident and, if so, how to describe it.

Managers and supervisors constantly exercise judgment and discretion and must

be aware of this. It is the key to both acknowledging responsibility and training

their judgment to address the complexity of situations.

Engage the Whole Context

If every situation were clear and simple and managers and supervisors knew all

the facts, they would not need to exercise judgment or discretion; they could just

apply the rules by rote. In corrections, however, managers and supervisors seldom know everything at first glance, several sets of rules may apply, and issues

of race, class, or potential danger may enter into their judgment of an incident.

Managers and supervisors are obligated to discover as much as possible about

an incident and the context in which it occurred. What sounds like racial epithets could be banter. What looks like assault could be roughhousing. Knowing

the people involved and the context is critical for the manager or supervisor in

responding to incidents and for teaching staff how to handle incidents. 

Model Ethical Standards and Educate Others

Every action of a manager or supervisor flows from a position of authority and

power. Staff working under managers and supervisors and offenders who are

within their range of influence watch and note how they judge, act, and respond.

Their exercise of power directly affects their well-being and that of staff and

offenders. It may also affect their careers and those of their colleagues and

subordinates. 

Over time, staff and offenders will respond to consistent performance by committed managers and supervisors. Managers and supervisors do make a difference. Their actions, including rewards and punishment and support or lack of

support for staff, educate staff and offenders as to what is expected. If managers

and supervisors inspire trust and respect, they model and influence the actions

and values of those they lead. If they are incompetent or negligent, they destroy

morale, undermine values, and permit abuse.

Act With Courage and Endurance

The stress of daily judgments and actions and the cumulative force of peer

norms, rigidity, secrecy, disruptive individuals, and diversity issues can undermine the most conscientious of managers and supervisors. It requires sustained

courage to go to work each day, act with character and principles, and avoid

Ethics and Values ❘ 37

Managers are the

ethics teachers of

their organizations.

This is true whether

they are saints or

sinners, whether

they intend to teach

ethics or not. It 

simply comes 

with the territory.

—Joseph Badaracco, Jr.,

John Shad Professor

of Business Ethics,

Harvard Business School,

Author, Defining

Moments
being rigid and denying responsibility or surrendering control to dangerous

informal actors. 

Staff and offenders look at supervisors’ actions over time. Sustained performance is the only way to win respect and trust and to send the message that the

values the manager or supervisor enforces must be taken seriously. Uneven or

flagging commitment may signal to staff and offenders that they can erode commitment and evade the values and performance standards that the manager or

supervisor seeks to instill. 

Seek Support and Help

Managers and supervisors will sometimes make mistakes. They also will be

second-guessed or need to reflect on and learn from their actions. At these

times, they should remember they are not alone in facing uncertainty or dilemmas. Multiple sources exist for gaining support or help in thinking through

issues. Support can become as important for carrying on as for getting it right.

Superiors, respected colleagues, peers, and mentors can provide support and

help. If the problem is with the superior or with the peer culture, human relations offices, bargaining units, or outside agencies such as the state or federal

Equal Employment Opportunity Commission or the Inspector General’s Office

can provide help or receive and follow up on anonymous reports.

Leadership Values 

Values are qualities of character such as courage, prudence, and fidelity that provide the moral and psychological foundation to sustain judgment and act on it.

These key leadership values should be modeled in the behavior not only of correctional executives and senior-level leaders, but also managers and supervisors.

Values should start at the top and reinforce each other all the way down to the

supervisory level. If they exist only at the top and do not arrive at the supervisor

level they become not only meaningless, but worse, objects of scorn.

38 ❘ Chapter 2

Public office relies

upon individuals

to frame their 

judgments by

authorized 

standards and 

procedures and 

to exercise their

power in an

accountable 

manner. 

—J. Patrick Dobel,

Professor of

Public Affairs,

Princeton University,

Author, Public Integrity

Key Leadership Values

• Integrity.

• Responsibility.

• Fidelity.

• Competence.

• Respect.

• Truthfulness and honesty.

• Accountability.

• Stewardship.

• Inclusiveness.
Integrity 

Integrity creates moral coherence in one’s life and the culture of one’s 

institution. Integrity begins with a commitment to one’s own dignity and to

honoring that dignity by knowing and acting on one’s values, promises, and

commitments.

Responsibility 

Responsibility starts with acknowledging one’s position and one’s promise to

live up to the obligations, laws, and professional judgment of that position with

the discipline required to do so. It requires an individual to be honestly willing

to acknowledge his or her contributions to actions and not to blame others or

pass the buck. 

Fidelity 

Fidelity means individuals have the self-discipline and moral strength to live up

to the promises they make to uphold the law and the values necessary to do their

job ethically and legally. Fidelity makes it possible for others to trust in their

performance.

Competence 

Competence defines the basics of what is expected of all individuals who hold

positions of authority. Competent individuals possess the skill, training, and

capacity to do their defined jobs. People are hired and trained in light of their

potential competence. The fundamental demand of leadership, competence

means caring about the small things that give reality to the larger mission.

Respect

Respect follows from recognizing the dignity of human beings. It is anchored in

self-respect and requires people to treat each other with civility and honesty in

their dealings. Respect also requires legitimate demands for competence and

improvement from others.

Truthfulness and Honesty 

Truthfulness and honesty begin with striving to understand the full context and

facts in any given situation. Honesty means reporting clearly and accurately

what individuals need to do their jobs well and gives a leader the legitimate

right to hold others accountable. Only when honesty is valued can there be a

true learning environment—one in which mistakes become a way of learning

how to improve.

Accountability

Public officials must act according to established standards and procedures and

be accountable in exercising their authority and power. Accountability grounds

all legitimate delegation of power in a democracy. Only oversight and honest

Ethics and Values ❘ 39
and accurate reporting of what really happens in institutions enable government

to claim democratic legitimacy. Accountability also permits an institution to

change its mission and grow and improve in light of honest assessments of

actions.

Stewardship 

All government grants of resources and power require the exercise of stewardship. Officials are not given money, power, and resources to pursue their own

private ends or gain. Using money as efficiently as possible and not wasting

funds do justice to the unique characteristics of tax revenues that are not voluntarily contributed. Stewardship also means that public officials attend to the

long-term welfare of their agency and staff rather than simply responding to

short-term demands and trends.

Inclusiveness 

Inclusiveness is imperative to ensure good policy. Seeking out and understanding the points of view of stakeholders make policy and personnel leadership

more sustainable and less coercive. Inclusiveness flows from having the respect

and stewardship to address the cultural, gender, religious, and racial divisions

that can undermine an institution’s legitimacy and effectiveness over the long

term. At the same time, it brings different professional and skill perspectives

together to balance actions and decisions. As a value, inclusiveness inoculates

against the human tendency to be comfortable only with those similar to ourselves both in working and in deciding. It also curbs the tendency to judge

individuals by stereotypes or appearance rather than their full human capacity.

Inclusiveness facilitates stronger and more effective decisionmaking but also

requires consistent leadership, sensitivity, and support if it is to work.

Unethical Behavior

Ethical behavior should not be confused with legal behavior, but the two are

intimately linked. Law and accountability legitimize public institutions.

Individuals promise to abide by the law and remain accountable as a condition

of taking their positions. Moreover, managers and supervisors represent these

values to staff and offenders. In this sense, obeying the law and rules covers

a great part of managerial and supervisory ethics; however, ethical behavior

demands a much deeper approach to decision and action than just obeying the

law. It also involves knowing the reasons behind the law and understanding and

taking into account the context. It means being aware of and combating the

pressures that undermine professional ethics in corrections. The values and

character displayed by managers and supervisors in the absence of law or

agency or institutional rules influence the ethics of frontline staff.

Managers and supervisors need to be sensitive to the many ways ethics can be

subverted and an organization corrupted. Subverting the ethics of an official

40 ❘ Chapter 2
usually begins with a small favor, not an outright bribe. Sometimes managers

and supervisors may be tempted to smooth daily interactions with questionable

methods that seem effective, at least in the short term (e.g., avoiding the difficult

job of regaining control of an area by simply looking the other way when they

notice abuse or poor behavior). Rather than acting as automatons and disregarding the context of the situations they encounter, managers and supervisors

should remember that the law and organizational rules are often silent or contradictory and leave room for considerable discretion. Proper exercise of discretion

can address and prevent many smaller unethical behaviors that, if left

unchecked, can poison an institution’s culture.

What Are the Common Types of Unethical Behavior?

Unethical actions usually involve the abuse of trust and position—individuals

impose their own private judgment or interests in place of legal, professional, or

other objective standards of accountability. Such actions, even when legal, are

still wrong. Such actions can be individual, or they can be abetted by group

norms of performance or silence that protect or encourage wrongdoing. Three

of the most common forms of unethical behavior involve violations of trust,

self-dealing, and conflict of interest. Although they are presented as separate

categories, these behaviors often overlap, and many unethical actions involve

all three. They may occur in small, seemingly innocuous decisions like allocating excess resources for a project or helping a friend at the expense of the team.

All three permeate daily life in correctional facilities. Managers and supervisors

are obligated not to ignore them but rather to recognize and combat them.

Violations of Trust

One form of unethical behavior is violating the standards of professional action

and competence promised by accepting the position. This can occur in the

actions themselves or in their impact on the procedures that support accountability and professional conduct. Violations of trust include the following:

■ Incompetence: Failing to meet the required standard of performance.

Competence is the building block of organizational ethics. Managers and

supervisors are presumed to be competent, and others who may be vulnerable

depend on them having the capability to do the job. Failing to address incompetence infects the larger correctional agency/organization, undercuts the

efforts of competent individuals, and can endanger staff and offenders.

Ethics and Values ❘ 41

Three Common Forms of Unethical Behavior

• Violations of trust.

• Self-dealing.

• Conflict of interest.
■ Abuse of power: Using excessive force (either physical or nonphysical) to

achieve the organizational goals required by competent performance. Threats

to use force or coercion against staff or offenders to achieve personal ends

not sanctioned by the organization or to cover up actions also constitute abuse

of power and represent an especially abhorrent type of unethical behavior.

Permitting bullying behavior among offenders or staff encourages abuse of

power and loss of supervisory control. 

■ Lying: Passing on deliberate untruths to superiors or subordinates or failing

to disclose to them the information they are entitled to have to do their job.

Lying distorts the ability of the organization and its responsible officials to

understand exactly what is occurring in the organization. It cuts accountability

off at its roots and makes excellent performance impossible. If mistakes are

covered up or not acknowledged, individuals cannot grow and learn. 

■ Favoritism: Treating other individuals, such as staff, clients, or offenders,

with special favors that violate consistent standards of treatment. Favoritism

violates equity and fairness. It undermines the legitimacy not only of the manager or supervisor but also of the institution because offenders and staff learn

that professional or legal behavior does not get rewarded but “buttering up”

supervisors does. Favoring or protecting a friend or favorite often contributes

to lying, incompetence, and abuse of power.

■ Discrimination: Violating the dignity of other human beings by judging them

on the basis of attributes such as race, religion, gender, or ethnicity. Such discrimination invites conflict, becomes a flashpoint for violence and lawsuits,

and destroys the capacity of teams to function together. 

■ Disrespect: Treating individuals in ways that violate the basic tenets of civility, truthfulness, and support that others have the right to expect as employees,

citizens, or offenders. Too often, managers and supervisors mistakenly think

they are showing respect when in fact they are simply not telling the truth or

avoiding the hard decisions that are required for institutions and staff to grow

and improve.

■ Silence or looking the other way: Colluding in or permitting unethical or

illegal action by pretending not to see it, not reporting it, or going along with

inappropriate peer behavior. This can also include superiors who know of this

behavior and do nothing about it. Codes of silence are the main weapon of

corrupt cultures and allow their actions to flourish.

Self-Dealing

Self-dealing is the use of a person’s official position to profit beyond the normal

benefits and compensation accorded officials in that position. Self-dealing

includes the following:

42 ❘ Chapter 2

Corruption equals

monopoly power

plus discretion minus 

accountability.

—Robert Klitgaard,

Dean and Ford

Distinguished Professor

of International

Development and

Security, RAND 

Graduate School
■ Bribery: Providing or accepting special treatment in exchange for some form

of gain.

■ Theft: Taking public resources that should be devoted to a public purpose and

using them for personal purposes or gain. This can include theft of resources

or time. Often the problem of theft starts with small items, grows into a sense

of entitlement, and becomes a larger systemic problem. 

■ Inefficiency: Using excessive amounts of public resources to achieve an end

that could have been accomplished with fewer resources (e.g., purchasing, for

personal convenience, equipment with unnecessary features or of a quality

beyond what is needed to do the job well).

■ Collusion: Cooperating with other individuals, including outside contractors,

in making decisions and allocating resources in ways that are inefficient or

that provide excessive gain to the contractor or individuals.

■ Kickbacks: Accepting payment from an individual or contractor in exchange

for favorable decisions to allocate resources to that individual.

Conflict of Interest

A conflict of interest occurs when an official decides or acts in circumstances

in which the official, or those related to the official, stand to benefit materially

from the decision or action. Most professional, agency, and institution codes

of ethics focus on these issues. Nepotism—where spouses, friends, or relations

report to each other—jeopardizes the integrity of the chain of command.

Nepotism and similar conflicts of interest undermine the quality of judgment

and the perception of fairness.

What Contributes to Unethical Behavior?

Unethical actions can occur at an individual level, but more often reveal a culture of predictable and systemic corruption. Organizational susceptibility to

unethical behavior and corruption follows from a number of identifiable problems that arise from a combination of inadequate oversight and several different

but often overlapping situational variables. Problems to address include:

■ Sporadic or lax oversight or limited training, which invites unethical 

performance.

■ Variables that place constant stress on personnel, such as significant inequality of power, especially when exacerbated by differences of race, ethnicity,

or religion.

■ Unrealistic performance goals and failure to complete regular performance

reviews, which, coupled with a lack of support, encourage inadequate 

performance. 

Ethics and Values ❘ 43
■ Threats to safety, which encourage staff to use questionable methods without

regard to professional standards.

■ Personnel facing reduced or inadequate staffing levels, increased workloads,

or different or more difficult offender populations. 

■ Management looking to fix blame rather than fix the problem.

These situations tempt staff with normal levels of self-interest to adopt unethical

behavior so they can function in excessively demanding and undermanaged

environments.

Summary 

Ethics in public organizations is not just about the personal integrity and behavior of one individual. Individual ethical lapses can be just that—individual

lapses—but more often they are symptoms of deeper problems in the culture

and structure of the organization.

Ethical leadership depends on the courage and competence of managers and

supervisors who bear the brunt of frontline work and problems. Leaders carry

the culture of the organization and fight daily for a just and humane work environment in an institutional setting that is under pressure to become less just and

humane. 

Key Skills and Behaviors

Articulating the Basic Values and Virtues of the

Correctional Institution and Agency/Organization

Skill: Knowing the standards of professional action and the relevant legal and

institutional rules.

Behaviors:

■ Define the expected rules and standards in behavioral terms to achieve fuller

understanding, agreement, and consistency.

■ Learn and relearn the basic rules and standards.

■ Know the applicable professional code of ethics and expected standards of

discretion.

44 ❘ Chapter 2

Skill: The ability to do something well, arising from talent, training, or 

practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
■ Consistently communicate the rules, standards, and code of ethics to the team,

other staff, and offenders.

■ Model the expected values, virtues, and behaviors at all times and demand

that all supervisors and team leaders do the same.

■ Create rituals and public occasions to recognize and celebrate the expected

values, virtues, and behaviors.

■ When uncertain about how to deal with a question of ethics, consult the

available resources, including codes of ethics, superiors, human resources

personnel, the legal affairs department, ethics officers, and the Inspector

General’s Office.

Creating Strong Support and Accountability for Ethics

Skill: Understanding one’s responsibility to act ethically and one’s ability to use

discretion in handling incidents and dealing with staff and offenders.

Behaviors:

■ Define and exercise your ethical responsibilities as a manager or supervisor.

■ Avoid the temptation to deny responsibility and become rigid in applying

rules and responding to incidents. Address others’ performance to ensure that

they do the same.

■ Clarify and model the behaviors that embody the values and virtues you wish

to promote.

■ Build expectations regarding ethics and values into performance evaluations.

■ Understand when actions arise from good intent and are mistakes in discretion. Work with staff and offenders to clarify the boundaries in nonpunitive

ways.

■ Set clear boundaries for unacceptable behavior and address unethical or 

illegal behavior in a fair and equitable manner.

Skill: Building a strong culture of teamwork and commitment among staff and

officers. 

Behaviors:

■ Model values in your professional behavior and directly incorporate values in

training correctional officers and staff. 

■ Make values a priority for correctional officers and staff.

Ethics and Values ❘ 45
■ Create a safe environment in which the team can discuss values and ethical

issues candidly.

■ Give teams opportunities for input and initiative.

■ Promote cooperation and team successes by recognizing and rewarding cooperative actions. 

■ Quickly address interpersonal issues of respect and perceptions of discrimination when they arise. Get help if needed.

Anticipating and Addressing Predictable Points of

Vulnerability and Ethical Slippage

Skill: Anticipating and addressing predictable points of vulnerability and ethical

slippage.

Behaviors:

■ Set clear boundaries with respect to prohibited behavior and enforce those

boundaries fairly and consistently. 

■ Know the peer culture.

■ Listen and watch carefully to understand the informal cultural patterns and

norms of behavior among correctional officers and staff.

■ Articulate the correctional agency/organization’s values and model desired

behaviors to influence the cultural norms.

■ Work to win over influential informal actors to the values and expectations of

the correctional agency/organization.

■ Get help when needed to address ethical slippage.

46 ❘ Chapter 2
Ethics and Values ❘ 47

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work 

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems

development, their primary focus is on and service delivery, and they monitor 

working with internal stakeholders to operations for compliance with 

create the systems and services needed correctional agency/organization policy.

to implement correctional agency/ Supervisors work primarily with internal

organization policy. Managers are staff but may also represent the 

above supervisors in the chain of correctional agency/organization during

command. interactions with customers/constituents

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps

• Corrections Unit or Program above line or entry-level positions in the

Manager. correctional agency/organization.

• Deputy Jail Administrator.

• Capital Programs or Correctional Typical titles of supervisory positions:

Industries Administrator. • Adult or Juvenile Correctional Housing

• Probation, Parole, Community Unit Supervisor.

Corrections, or Community • Probation, Parole, Community

Sentencing Department Head or Corrections, or Community Sentencing

Regional/District Manager. Supervisor.

• Interstate Compact Administrator. • Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Key Skills and Behaviors

Articulating the Basic • Understands, articulates, and models • Understands, articulates, and models 

Values and Virtues the desired behaviors that reflect the the desired behaviors that reflect the 

of the Correctional institution’s and agency/organization’s institution’s and agency/organization’s

Institution and values. Sets expectations that peers values. Sets expectations that peers 

Agency/Organization and subordinates will also understand, and subordinates will also understand,

articulate, and model those values. articulate, and model those values.

• Communicates the rules, standards, • Knows the professional standards and

and code of ethics to team members, applicable code of ethics governing the

other staff, and other stakeholders. scope of work.

• Develops a network of knowledgeable • Communicates the rules, standards, and

resources, such as human resources code of ethics to team members, other

specialists, legal affairs officers, and staff, and offenders.

the Inspector General’s Office, and • Develops a network of knowledgeable

refers to them when needed. resources, such as managers, human

resources specialists, and legal affairs

officers, and refers to them when

needed.

Appendix 2–1. Focus Matrix for Managers and Supervisors:

Ethics and Values
48 ❘ Chapter 2

Manager Supervisor

Key Skills and Behaviors (continued)

Creating Strong • Builds a positive organizational • Builds a positive organizational culture

Support and culture by demonstrating personal by demonstrating personal integrity and

Accountability for integrity and sound professional sound professional judgment.

Ethics judgment. • Recognizes and accepts responsibility

• Recognizes and accepts responsibility for his or her actions. Sets expectations

for his or her actions. Sets for the same behavior from colleagues

expectations for the same behavior and subordinates.

from colleagues and subordinates. • Uses supervisory discretion ethically.

• Uses managerial discretion ethically. • Is aware of and considers the context 

• Is aware of and considers the of issues that arise.

context of issues that arise. • Sets clear boundaries for unacceptable

• Sets clear boundaries for unacceptable behavior and addresses unethical or 

behavior and addresses unethical or illegal behavior fairly and equitably.

illegal behavior fairly and equitably. • Supports and participates in public and

• Publicly and formally emphasizes formal celebrations of the correctional

and celebrates the correctional agency/organization’s values, virtues,

agency/organization’s values, virtues, and ethical behavior. 

and ethical behavior. • Emphasizes the importance of the

expected values and behaviors in the

daily operations under his or her control.

Anticipating and • Understands the difference between • Understands the difference between 

Addressing Predictable illegal and unethical behavior. illegal and unethical behavior.

Points of Vulnerability • Is aware of and avoids the three • Is aware of and avoids the three 

and Ethical Slippage common classes of unethical common classes of unethical behavior:

behavior: violations of trust, violations of trust, self-dealing, and 

self-dealing, and conflict of interest. conflict of interest.

• Is aware of group norms that protect • Is aware of group norms that protect or

or condone wrongdoing. condone wrongdoing.

• Knows the peer culture. Works to • Knows the peer culture. Works to 

win over influential informal actors win over influential informal actors 

to the values and expectations of the to the values and expectations of the 

correctional institution and agency/ correctional institution and agency/

organization. organization.

Appendix 2–1. Focus Matrix for Managers and Supervisors:

Ethics and Values (continued)
Resources

Anechiarico, Frank, and James B. Jacobs. (1996). The Pursuit of Absolute

Integrity: How Corruption Control Makes Government Ineffective. Chicago:

University of Chicago Press.

Badaracco, Joseph. (1997). Defining Moments. Boston: Harvard University

Press. 

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the

21st Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession

Number 020474.

Cooper, Terry. (1998). The Responsible Administrator: An Approach to Ethics

for the Administrative Role. San Francisco: Jossey-Bass Publishers.

Delattre, Edwin J. (1996). Character and Cops: Ethics in Policing. Washington,

DC: American Enterprise Press.

Denhardt, Kathryn G. (1988). The Ethics of Public Service: Resolving Moral

Dilemmas in Public Organizations. New York: Greenwood Press.

Dobel, J. Patrick. (1999). Public Integrity. Baltimore: Johns Hopkins University

Press.

Josephson, Michael. (2002). Making Ethical Decisions. Los Angeles: Josephson

Institute of Ethics.

Kornblum, Allan N. (1976). The Moral Hazards: Police Strategies for Honesty

and Ethical Behavior. Lexington, MA: Lexington Books.

Lewis, Carol. (1991). The Ethics Challenge in Public Service. San Francisco,

Jossey-Bass Publishers.

Light, Paul. (1995). Thickening Government: Federal Hierarchy and the

Diffusion of Accountability. Washington, DC: Brookings Institution.

Rohr, John A. (1986a). Ethics for Bureaucrats: An Essay on Law and Values.

New York: Marel Dekker.

Rohr, John A. (1986b). To Run a Constitution: The Legitimacy of the

Administrative State. Lawrence, KS: University of Kansas Press.

Ethics and Values ❘ 49
Interpersonal Relationships

Marie Mactavish

This chapter addresses the role of interpersonal relationships in management.

After summarizing why the ability to establish and maintain effective interpersonal relationships is important for managers and supervisors, the chapter

focuses on four aspects of that ability: empathy, social responsibility, relationship networks, and communication technology. The chapter summarizes key

skills and behaviors that can help managers and supervisors build effective

interpersonal relationships, and it presents a matrix (appendix 3–1) that shows

how those skills and behaviors apply to each of the two positions. 

Definition 

Interpersonal Relationships: Interpersonal relationships are characterized by

meaningful exchanges that reward both individuals with a sense of satisfaction

from successful interaction. Also known as “people skills,” effective interpersonal relationships allow individuals to feel at ease with others in both work and

social situations.

Knowledge Base 

Why Should Correctional Managers and Supervisors

Develop This Competency? 

A study conducted by the Center for Creative Leadership, as noted in its 2000

publication, Benchmarks: Development Reference Points, indicated that the

inability to establish and maintain healthy interpersonal relationships is perhaps

the main cause of leadership failure and career derailment. Successful leaders

invite communication, listen well, and prove themselves trustworthy by exhibiting rational, caring, and predictable behavior in their interpersonal relationships.

Those whose careers are derailed by the inability to establish and maintain

healthy relationships lack awareness of how their behaviors affect others. Rather

than demonstrating the characteristics of interpersonal savvy, they may be dictatorial, arrogant, or emotionally volatile or they may close themselves off to

those around them. 

Recent attention to the idea of emotional intelligence, sparked by Daniel

Goleman, has led to research that illustrates the increasing importance of effective interpersonal relationships in the workplace and how these “soft skills” may

prove more valuable to a leader than a high IQ. Indeed, successful leadership

occurs when a strong web of relationships is developed, existing relationships

are maintained, and new relationships are continually added to the web.

Chapter 3

51

Something we were

withholding made

us weak, until we

found out that it

was ourselves.

—Robert Frost
52 ❘ Chapter 3

Effective interpersonal relationships are directly correlated to an increase in productivity and commitment to the organizational mission. The ability to develop

effective interpersonal relationships is a skill that managers and supervisors

need to motivate employees and other stakeholders, which is a key to increasing

productivity.

The traditional authoritative leadership style often used in corrections may be of

value in a crisis, but it only serves to demotivate employees in noncrisis situations.

Although the skill of effective interpersonal relationships may appear to have only

modest immediate benefits, it pays extremely large dividends over time.

This chapter discusses four aspects of establishing and maintaining effective

interpersonal relationships:

■ Empathy.

■ Social responsibility. 

■ Relationship networks.

■ Effective interpersonal relationships through technology.

Empathy

Defining and Understanding Empathy

In The EQ Edge: Emotional Intelligence and Your Success, Steven Stein and

Howard Book define empathy in interpersonal relationships as follows:

[T]he ability to be aware of, to understand, and to appreciate the feelings of

others. Empathy is “tuning in” (being sensitive) to what, how, and why people

feel and think the way they do. Being empathetic means being able to “emotionally read” other people. Empathetic people care about others and show

interest in and concern for them.

Empathy itself is a way of being, not just a skill. Managers and supervisors have

to sincerely care about other people, their feelings, and their points of view.

Developing empathy is not about changing policies or structures. Those can

remain the same. Developing empathy, rather, shifts the focus of leadership

toward its impact on individuals. Managers and supervisors can learn skills that

facilitate empathetic behavior.

Empathetic Approach to Management

An empathetic approach to management and leadership has several important

facets. These involve both a way of being and a set of skills that facilitate empathetic behavior. Empathetic managers and supervisors do the following:

By being attuned 

to how others feel

in the moment, a

leader can say and

do what’s appropriate, whether that

means calming

fears, assuaging

anger, or joining 

in good spirits.

—Daniel Goleman,

Author, Emotional

Intelligence
Interpersonal Relationships ❘ 53

■ Try to see the world from others’ perspectives (their subjective experience).

■ Put their own emotions on hold.

■ Ascertain how others feel.

■ Listen fully to concerns.

■ Ask probing questions.

■ Take others’ feelings and situations into account when making decisions.

As Michael Lombardo and Robert Eichinger note in their 1998 book, For Your

Improvement, this interpersonal savvy helps managers and supervisors hold back

and neutralize their own reactions. It also gives them approaches to developing

effective relationships that can be adapted to specific individuals. This savvy

enables empathetic managers and supervisors to get the results they need without damaging relationships. People who are cared for in this way will want

to work with the empathetic manager or supervisor again. “Empathetic

Management in Action” presents a hypothetical example of how empathetic

leadership can help managers and supervisors develop and maintain healthy

interpersonal relationships.

Empathetic Management in Action

The CEO of a statewide organization has the philosophy that top managers

need the experience of leading different functions of the organization in different geographic locations. Under this rotating management system, managers move periodically within the state; as rotations come up, the executive

team often makes new assignments and gives them to managers who will be

changing locations.

An executive, looking over the list of managers, is aware that one manager to

be assigned to move has a family with children in school. The executive contacts the manager to discuss the pending rotation. The manager, accepting the

philosophy of job rotation, asks for consideration regarding the timing of the

rotation. Listening to the manager’s concerns, the executive finds out it would

be best for the manager’s children if the relocation took place at the end of

the school year.

This decision benefits the executive, the manager, and the manager’s family.

By taking the other person’s situation into account and asking questions and

listening, the executive and the manager strengthen their interpersonal relationship. The manager’s loyalty to the executive increases because the executive cares about the manager’s situation. Morale improves, the CEO’s

philosophy gains acceptance, and a gentler, kinder way of implementing

the philosophy is demonstrated.
Social Responsibility 

Defining and Understanding Social Responsibility

As noted by Steven Stein and Howard Book in The EQ Edge: Emotional

Intelligence and Your Success, social responsibility involves being a cooperative and contributing member of the organization. Being socially responsible

means acting responsibly whether or not one immediately benefits, having a

basic concern for others, and doing things for the good of the larger group

and community.

Being a socially responsible manager or supervisor does not require helping

everybody with everything or contributing time and resources to every project

or cause. It is simply behaving in a way that shows that the manager or supervisor is concerned about the group and is a contributing member rather than

someone who lets others do the work or cares only for the manager’s or supervisor’s own interests.

Socially Responsible Approach to Management

A socially responsible approach to management and leadership has several

important facets. Social responsibility is not a skill itself; rather, it is a way of

being that incorporates a set of skills that facilitate socially responsible behavior.

Socially responsible managers and supervisors do the following:

■ Cooperate when others have pressing needs.

■ Contribute to others’ work when necessary.

■ Give time and energy to things that do not bring immediate personal benefits.

■ Consider the needs of other units, divisions, and stakeholders.

By being socially responsible, managers and supervisors let others know they

are trustworthy and will always do what is best for everybody—a key element

for effective interpersonal relationships. If they are not socially responsible,

managers and supervisors will find it difficult to develop healthy interpersonal

relationships based on trust and to create strong networks of relationships to

bolster them as leaders. “Socially Responsible Management in Action” presents

a hypothetical example of how socially responsible leadership can help managers and supervisors develop and maintain healthy interpersonal relationships.

54 ❘ Chapter 3

For me, a successful

sustainable business is one that

provides steady

shareholder returns

while improving

the quality of life

of its workers, the

communities it 

calls home, and 

the environment 

it touches. 

—Paul Dolan,

Former CEO,

Fetzer Vineyards,

Author, True to Our

Roots: Fermenting a

Business Revolution
Relationship Networks

Defining and Understanding Relationship Networks

Relationship networks are webs of strong interpersonal relationships, characterized by trust and cooperation, that can be accessed for support and information

during times of need. Those who cannot build and maintain effective interpersonal relationships struggle when they need to lead and call on others to follow.

As mentioned earlier, empathy and social responsibility as exemplified by the

behaviors described earlier are necessary for building strong networks of effective interpersonal relationships. When managers and supervisors take an empathetic and socially responsible approach to leadership, they show that their

intentions are genuine. Thus, they are able to create and maintain a strong network of individuals who trust them, cooperate with them, and support them

when called on. 

Interpersonal Network Approach to Management

An interpersonal network approach to management and leadership has several

important facets. Managers and supervisors with strong interpersonal networks

do the following (and enjoy the related benefits):

■ Feel comfortable around all kinds of people.

■ Make and keep friends within the workplace.

■ Read social environments accurately.

■ Establish support networks.

■ Experience fewer conflict situations.

Interpersonal Relationships ❘ 55

Socially Responsible Management in Action

An organization has just asked managers to submit their requests for funding

for the upcoming fiscal year. In preparing the request, one manager realizes

that there will not be enough money for all of the divisions to get the funds

they want. Consequently, that manager meets with other managers to work

out a solution that will help all divisions get the funding they need for their

most urgent work, despite limited resources. As a result, all managers reduce

their requests so they can ensure that all the divisions receive the funding

they need. This spares the executive board the burden of making difficult

funding choices.

Acting as a socially responsible leader, the manager who initiated this process

realized that for the greater good of the organization, mission-critical tasks

needed to be met with limited resources. The collaborative effort shows colleagues both within and outside the manager’s own division that the manager

cares about the greater good and everyone’s contribution to it. This instills

trust and cooperation among the divisions and develops strong relationships

that can be called on later when the need arises.

The powerful person is a master 

networker. Good

networking increases your visibility

and gives you a

valuable circle of

people from whom

you can give and

receive support 

and information.

—Patricia Haddock,

Communications and

Training Consultant
“A Management Interpersonal Network in Action” presents a hypothetical

example of how managers can use an interpersonal network effectively to

resolve sensitive, challenging issues for the organization.

Effective Interpersonal Relationships Through Technology

Defining and Understanding Technology and Interpersonal

Relationships

Geographically dispersed offices and locations are an organizational reality,

as is the effect of technology on both external and internal communications.

Organizations rely increasingly on e-mail, telephone (including conference

calls), and videoconferences to communicate. This environment offers managers

and supervisors both an opportunity and a challenge to develop and maintain

healthy interpersonal relationships with those who report directly to them

(direct reports). 

Reduced face-to-face contact, limited impromptu meetings, and fewer informal

conversations can result in employees feeling less connected with their work

groups and managers or supervisors. Communication technologies can either

contribute to this problem or help individuals feel more connected. If it is

allowed to reduce the quality of communication, technology can cause problems

for managers and supervisors who are trying to develop and maintain strong

interpersonal relationships. However, managers and supervisors who understand

how to use communication technologies effectively can develop and maintain

healthy interpersonal relationships.

Developing Effective Interpersonal Relationships Through

Technology 

Managers and supervisors face many challenges in effectively using technology

to maintain strong interpersonal relationships. The skills and behaviors outlined

below can help managers and supervisors enhance those relationships:

56 ❘ Chapter 3

A Management Interpersonal Network in Action

A manager is assigned the task of revising the organization’s dress code. As

part of the task, the manager must create a statewide temporary committee

that will require its members to take on extra work as they meet over a 6-

month period. In addition, the members will be responsible for presenting

the committee’s work to the groups they represent and getting feedback.

Because the issue of a dress code is sensitive and somewhat controversial,

the manager knows that committee members must be interested, capable,

and respected. Realizing that it would be difficult to assemble this group

alone, the manager calls on a strong network of colleagues across the state

to recommend members. These colleagues are able to recommend individuals

the manager would not have known to include, and these individuals make

valuable contributions to the committee’s success.

Computers are 

magnificent tools

for the realization

of our dreams, but

no machine can

replace the human

spark of spirit,

compassion, love,

and understanding. 

—Louis Gerstner,

Former Chairman

and CEO, IBM
■ Establish criteria for acceptable amounts of e-mail and teleconference

communication.

– Initiate a conference call or in-person meeting with your group if too 

many e-mails are circulating about an issue. 

– Find out whether or not others need or want to be copied on e-mails 

communicating meeting notes, reports, etc.

■ Rather than assuming that emotions are understood, clarify the situation

by asking additional “feeling” questions.

– Take time to identify specific individuals whose response is important 

to resolving a situation and elicit their response.

– Whether via e-mail, telephone, or videoconference, ask people how 

they feel about the topics being discussed (e.g., “Are you happy with 

this decision?”).

– Because e-mail has neither verbal nor nonverbal communication cues,

recipients may assume tones of abruptness or dissatisfaction the sender

does not intend. All e-mail should be read before it is sent to determine if

such a tone could be perceived.

■ Choose the proper technology for the message, according to the 

sensitivity of the subject.

– Sometimes it may be more considerate to use e-mail to contact 

someone within the same office setting if that person is very busy.

– E-mail and the telephone should not be used to avoid necessary 

interpersonal interaction, as doing so often escalates the problem.

■ Maintain a personal connection by making sure that contact through 

technology is not just “business only” communication.

– Technology may also be used to inquire about a colleague’s well-being,

offer congratulations, etc.; however, too much nonbusiness communication

can be disruptive or inappropriate, so it should be used wisely.

– Technology, particularly e-mail, allows quick, nonintrusive ways to 

maintain relationships in a network.

Research shows that more than half of communication is nonverbal. This poses

problems when managers and supervisors cannot see or hear the persons with

whom they are communicating. The skills described above will help managers

and supervisors effectively maintain strong working relationships, even when

geographic distance limits opportunities for in-person communication.

Interpersonal Relationships ❘ 57
Summary

Interpersonal relationships are both the key to management success and the primary factor in career derailment. Building and maintaining healthy and effective

interpersonal relationships and networks often pay large dividends to those who

take the time to develop and nurture them.

Managers and supervisors should focus on four areas when developing interpersonal relationships: empathy, social responsibility, relationship networks, and

effective interpersonal relationships through technology. These are not necessarily skills but rather ways of being and behaviors that effective managers and

supervisors should develop.

Empathetic managers and supervisors seek to understand the subjective experiences of those they lead. They take the time to find out the needs and concerns

of others and take them into account when making decisions. Empathetic managers do not, however, let others and their situations override the organization’s

needs; rather, they take others’ perspectives into account to make the best decision for all involved.

Socially responsible managers and supervisors spend time and energy contributing to projects and activities that may not immediately benefit them. They realize that to be successful leaders and gain support in times of need, they must be

contributing members of the work group and the community. Socially responsible managers and supervisors do not leave their own responsibilities unattended

so they can contribute to others, but they make the time to help others when

their help is needed.

Managers and supervisors who have strong interpersonal relationship networks

build them through empathy and social responsibility. They take the time to

keep in contact with those in their network and actively seek to make that network stronger and larger. Managers and supervisors with strong interpersonal

networks enjoy greater comfort in social situations and experience less conflict.

Managers and supervisors who have strong, effective interpersonal relationships

do not overlook the effects of technology. They set standards for amounts and

types of communication through technology, ask “feeling” questions to accurately ascertain others’ emotions, and use technology for personal contact as

well as business. Effective managers and supervisors realize that although technology makes communication faster and easier at times, it can also hurt interpersonal relationships if used insensitively. They take the time to communicate

accurately and effectively through technology.

When empathy, social responsibility, relationship networks, and effective

communication through technology become part of a manager’s or supervisor’s

58 ❘ Chapter 3
leadership style, effective interpersonal relationships result. Those relationships

will often be the intangible element of successful leadership.

Key Skills and Behaviors

Empathy 

Skill: Taking others’ perspective (subjective experience) into account when

making decisions.

Behaviors:

■ Put one’s own emotions on hold. 

■ Ask probing questions. 

■ Listen fully to others’ concerns.

Social Responsibility 

Skill: Demonstrating willingness to be a contributing member of the work

community.

Behaviors:

■ Give time and energy to things that benefit the community or the organization, even if they offer no immediate personal benefit.

■ Cooperate with others in times of need.

■ Consider the greater good of the organization, not just one’s immediate area

of authority.

Relationship Networks 

Skill: Understanding and working effectively within the organization’s social

environment.

Behaviors:

■ Identify people whose skills and abilities will contribute to the network and

make specific contacts to develop a relationship.

■ Actively make and keep friends within the workplace.

Interpersonal Relationships ❘ 59

Skill: The ability to do something well, arising from talent, training, or 

practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
■ Learn to feel comfortable in social settings and make others feel at ease.

■ Maintain contact with those in the network.

Effective Interpersonal Relationships Through Technology

Skill: Understanding and setting common standards for the use of communication technologies such as e-mail, telephone, etc.

Behaviors:

■ Ask what colleagues’ and other employees’ needs and desires are regarding

the use of communication technology.

■ Choose the appropriate technology for the task.

Skill: Maintaining effective relationships through e-mail and other communication technologies.

Behaviors:

■ Ask “feeling” questions to discern emotion.

■ Make personal as well as business contact.

■ Proofread e-mails to make sure they are clear.

60 ❘ Chapter 3
Interpersonal Relationships ❘ 61

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work 

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems 

development, their primary focus is on and service delivery, and they monitor

working with internal stakeholders to operations for compliance with 

create the systems and services needed correctional agency/organization policy.

to implement correctional agency/ Supervisors work primarily with internal

organization policy. Managers are staff but may also represent the 

above supervisors in the chain of correctional agency/organization during

command. interactions with customers/constituents

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps 

• Corrections Unit or Program above line or entry-level positions in the

Manager. correctional agency/organization.

• Deputy Jail Administrator.

• Capital Programs or Correctional Typical titles of supervisory positions:

Industries Administrator. • Adult or Juvenile Correctional Housing

• Probation, Parole, Community Unit Supervisor.

Corrections, or Community • Probation, Parole, Community 

Sentencing Department Head or Corrections, or Community Sentencing

Regional/District Manager. Supervisor.

• Interstate Compact Administrator. • Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor

• Correctional Industries Supervisor.

Focus Areas

Empathy • Develops the ability to understand • Develops the ability to understand and

and appreciate the feelings of others. appreciate the feelings of others.

(Training in this area should receive

high priority for new supervisors.)

Social Responsibility • Acts responsibly with regard to • Acts responsibly with regard to 

concerns beyond immediate job concerns beyond immediate job 

responsibilities. responsibilities. (Training in this area

should receive high priority for new

supervisors.)

Relationship • Develops and maintains strong • Develops and maintains strong 

Networks networks characterized by trust and networks characterized by trust and 

cooperation. cooperation. (Training in this area

should receive high priority for new

supervisors.)

Effective Interpersonal • Acquires an understanding of the • Acquires an understanding of the 

Relationships effective use of communication effective use of communication 

Through Technology technology. technology. (Training in this area should

receive high priority for new supervisors.)

Appendix 3–1. Focus Matrix for Managers and Supervisors:

Interpersonal Relationships
Resources 

Boone, Gloria, and Richard P. Kroop. (1991). Communicating in the Business

Environment. Amherst, MA: Human Resource Development Press.

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the

21st Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession Number

020474.

Center for Creative Leadership. (2000). Benchmarks: Development Reference

Points. Greensboro, NC. 

Cooper, Robert K., and Ayman Sawaf. (1996). Executive EQ: Emotional

Intelligence in Leadership and Organizations. New York: Pedigree Books.

Dolan, Paul. (2003). True to Our Roots: Fermenting a Business Revolution.

Princeton, NJ: Bloomberg Press.

Goleman, Daniel. (1995). Emotional Intelligence: Why It Can Matter More

Than IQ. New York: Bantam Books. 

Goleman, Daniel. (1998). Working With Emotional Intelligence. New York:

Bantam Books.

Goleman, Daniel, Richard Boyatzis, and Annie McKee. (2002). Primal

Leadership: Realizing the Power of Emotional Intelligence. Boston: Harvard

Business School Press.

Lombardo, Michael M., and Robert W. Eichinger. (1998). For Your

Improvement. Minneapolis, MN: Lominger Limited, Inc.

Stein, Steven J., and Howard E. Book. (2000). The EQ Edge: Emotional

Intelligence and Your Success. Toronto: Stoddart Publishing.

62 ❘ Chapter 3
Oral and Written Communication

Barbara Lucey 

This chapter addresses the role of communication in management. After summarizing why the ability to communicate effectively is important for managers and

(especially) supervisors, the chapter discusses the fundamentals of effective oral

communication, including how to identify different styles of communication,

tailor communication to a particular audience, and be a good listener. The chapter then offers guidelines for communicating effectively with groups at meetings

and in presentations. It also provides tips for effective written communication,

including special considerations in using e-mail. The chapter summarizes key

skills and behaviors that can help managers and supervisors build effective communication skills and presents a matrix (appendix 4–1) that shows how those

skills and behaviors apply to each of the two positions. 

Definition

Communication: A two-way process by which ideas and feelings are expressed

by the sender of a message and received and understood by the receiver of the

message. Effective communication, whether verbal, nonverbal, or written, creates shared meanings between the sender and receiver. Listening is a form of

communication as well and may be the most important communication skill for

establishing interpersonal trust and understanding. 

All communication takes place within a context that includes the physical,

social, and interpersonal settings within which messages are exchanged. This

context creates a reference point that helps participants in a particular communication interaction determine what specific actions mean, what behaviors are

expected, and how to act appropriately in that interaction. 

Knowledge Base 

Why Should Correctional Supervisors 

Develop This Competency? 

As noted in chapter 1, “Managerial Profiles,” this competency is one that most

directly applies to supervisors. Although the ability to communicate effectively

in both speech and writing is a key competency for leaders at all levels, supervisors who develop their communication skills as early as they can in their careers

have laid an indispensable foundation for advancement to higher levels of leadership within the correctional agency/organization.

Chapter 4

63

As soon as you

move one step up

from the bottom,

your effectiveness

depends on your

ability to reach 

others through the

spoken or written

word.

—Peter F. Drucker,

Father of Modern

Management
64 ❘ Chapter 4

Communicating is a vital aspect of any supervisor’s job. Managers and supervisors rarely do their work alone—interacting and communicating with others are

major activities. The better they are at communicating, the more effective they

will be as leaders. In addition to communicating with their colleagues and direct

subordinates in their day-to-day tasks, managers and supervisors must develop

and use their communication skills as members or leaders of teams within the

correctional agency/organization, whether these be ongoing teams or specific

project teams or task forces. For a discussion of communication in the team

environment, see chapter 8, “Team Building.”

As a two-way process, communication is effective only when the intended

audience receives the message, understands it, remembers it, and responds to

it appropriately. If the message does not succeed in these four areas, effective

communication has not taken place. Moreover, because of the growing diversity

of cultures among offenders and correctional staff (see the discussion of cultural

considerations in chapter 7, “Power and Influence,” in Correctional Leadership

Competencies for the 21st Century: Executives and Senior-Level Leaders), competence in intercultural communication becomes increasingly important for

managers and supervisors in correctional institutions. 

Poor communications can result in mistakes, misunderstandings, and conflict. A

misinterpreted memo can create costly delays, a poorly written report can lead

to wrong decisions, and failure to listen or understand cultural differences in

body language can jeopardize important relationships. 

Fundamentals of Effective Oral Communication

Formal and Informal Communication

Discussion of oral communication in organizations can easily focus only on

formal communication—the information that is disseminated through official

channels. It is important to realize that communication also takes place through

informal channels. The “grapevine,” an informal communication channel present

in every organization, exists because people have a need to understand what is

happening around them. In the correctional environment, where many staff work

in relative isolation, the grapevine can be a primary means of organizational

communication. Effective managers and supervisors recognize the importance

and power of informal communication channels and are adept at ensuring that

staff members receive accurate and timely information through all communication channels. 

Personal Communication Styles

Studies indicate that managers and supervisors spend 60 to 80 percent of their

time involved in oral communications. Every day, they engage in face-to-face

dialogue with a wide variety of people both inside and outside the organization:
Oral and Written Communication ❘ 65

staff, peers (including other managers), clients/inmates, other customers/

constituents, suppliers, and key stakeholders. Oral communications often

break down because people have different communication styles. In effect, they

speak different languages. Understanding and adapting to a listener’s personal

communication style can help a supervisor or manager express ideas and feelings in a way that improves communication potential. 

Understanding Communication Styles

Personal communication styles may be understood in terms of two dimensions

of behavior: direct versus indirect behavior and relationship versus task orientation. Several verbal, vocal, and visual clues are associated with these dimensions

(see exhibit 4–1).

Direct versus indirect behavior. This dimension describes people’s observable

behavior. Direct people tend to be assertive, talkative, and action oriented and to

speak at a fast pace. They make swift decisions, enjoy taking risks, and tend to

be impatient. Indirect people tend to be more quiet and reserved, slow paced, and

cautious. They typically do not share their opinions or concerns and can appear

to be indecisive, meditating on their decisions and avoiding major changes.

Communication Relationship Task

Clues Direct Behavior Indirect Behavior Orientation Orientation

• Tells. • Asks. • Shares personal • Fact and 

• Talks. • Listens. feelings. task oriented.

• Expresses • Reserves opinions. • Informal speech. • Limited sharing

opinions readily. • Low quantity • Expresses of personal

of verbal opinions readily. feelings.

communication. • More formal

speech.

• More voice • Less volume. • Lots of inflection. • Little inflection.

variety and • Less forceful. • More pitch • Few pitch 

volume. • Slower speech. variation. variations.

• More forceful. • More variety • Less variety

• Faster speech. in vocal quality. in vocal quality.

• Steady eye • Intermittent • Animated facial • Fewer facial

contact. eye contact. expressions. expressions.

• Firm handshake. • Gentle handshake. • Much hand/body • Limited hand/

• Gestures to • Limited gestures. movement. body movement.

emphasize points. • Displays patience. • Contact oriented. • Not contact 

• Displays oriented.

impatience.

Exhibit 4–1. Personal Communication Style Clues

Verbal

Vocal

Visual

Source: Adapted with permission of Simon & Schuster Adult Publishing Group from Anthony J. Alessandra,

Ph.D., and Phillip L. Hunsaker, Ph.D., Communicating at Work, New York: Simon and Schuster, 1993. 

Copyright© 1993 by Anthony J. Alessandra and Phillip L. Hunsaker.
66 ❘ Chapter 4

Relationship versus task orientation. This dimension explains the internal

goals that motivate daily action. Relationship-oriented people are primarily

motivated by their relationships and feelings. They are informal and emotionally

open, have animated facial expressions, and make decisions based on feelings

and relationships. Task-oriented people are motivated by the work at hand and

want to accomplish their goals. They are emotionally reserved, like structure,

prefer working alone, and are fact-oriented decisionmakers. 

A matrix based on these dimensions may be used to define four unique styles of

personal communication and ways of relating to the world: relater, socializer,

thinker, and director (see exhibit 4–2). In the matrix, the x-axis represents direct

versus indirect behavior and the y-axis represents relationship versus task

orientation. The upper left quadrant of the matrix describes the relater communication style, which is indirect and relationship oriented. The upper right quadrant describes the socializer style, which is direct and relationship oriented. The

lower half of the matrix describes task-oriented styles: the thinker style (lower

left) uses a more indirect approach to communication, and the director style

(lower right) uses a more direct approach.

Exhibit 4–2. Personal Communication Styles Matrix

Indirect

Source: Adapted with permission of Simon & Schuster Adult Publishing Group from Anthony J. Alessandra,

Ph.D., and Phillip L. Hunsaker, Ph.D., Communicating at Work, New York: Simon and Schuster, 1993. 

Copyright© 1993 by Anthony J. Alessandra and Phillip L. Hunsaker.

Direct

Relater Style

• Slow taking action and making decisions.

• Likes close personal relationships.

• Dislikes interpersonal conflict.

• Actively listens to others.

• Weak at goal setting.

• Excellent ability to gain support from

others.

• Seeks security and belonging.

Thinker Style

• Cautious actions and decisions.

• Likes organization and structure.

• Dislikes involvement.

• Asks many questions about details.

• Prefers objective, task-oriented,

intellectual work.

• Wants to be right.

• Works slowly and precisely, alone.

• Good problem-solving skills.

Socializer Style

• Spontaneous actions and decisions.

• Likes involvement.

• Dislikes being alone.

• Jumps from one activity to another.

• Works quickly.

• Seeks esteem and acknowledgment.

• Good persuasive skills.

Director Style

• Decisive actions and decisions.

• Likes control, dislikes inaction

• Prefers maximum freedom. 

• Cool, independent, and competitive.

• Low tolerance for others’ expressions 

of feelings and advice.

• Works quickly and impressively alone.

• Good administrative skills.

Relationship Oriented

Task Oriented
Oral and Written Communication ❘ 67

Tailoring Communications to the Listener

Most people have a dominant communication style; however, in deciding how

best to communicate with someone, it is important to understand that people

may sometimes use different styles in different contexts. For example, someone

may use the director style at work but demonstrate more socializer-style behaviors in a nonwork environment. The most effective way for managers and supervisors to communicate with someone in a work environment is to know that

person’s dominant communication style at work and then modify their own

style accordingly. 

The following suggestions can help managers and supervisors tailor their communications based on their listeners’ dominant communication style. 

Relaters (indirect, relationship oriented). Relaters talk, move, and make decisions more slowly. They are relationship oriented. To improve communications

with them:

■ Be warm and sincere.

■ Support their feelings by showing personal interest.

■ Use an informal, slower, more relaxed manner.

■ Listen actively.

■ Assume they will tend to take things personally. 

Socializers (direct, relationship oriented). Socializers talk, move, and make

decisions quickly. They are relationship oriented. To improve communications

with them:

■ Support their opinions and ideas.

■ Allow the discussion to flow and occasionally go off on tangents.

■ Be entertaining and fast paced.

■ Avoid conflict and arguments.

Four Styles of Personal Communication

• Relater.

• Socializer.

• Thinker.

• Director.
68 ❘ Chapter 4

■ Compliment them.

■ Allow them to get things off their chests. 

Thinkers (indirect, task oriented). Thinkers talk, move, and make decisions

more slowly. They are task oriented. To improve communications with them:

■ Be thorough and well prepared.

■ Support their need to be accurate and logical.

■ Ask questions and let them show you how much they know.

■ Allow time for deliberation and analysis.

■ Provide solid, factual evidence. 

Directors (direct, task oriented). Directors talk, move, and make decisions

quickly. They are task oriented. To improve communications with them:

■ Talk about results.

■ Support their goals and objectives.

■ Keep communication businesslike.

■ Present arguments based on facts, not feelings.

■ Be well organized.

■ Provide clearly defined options with supporting analysis. 

Feminine and Masculine Communication Styles 

Managers and supervisors need to understand masculine and feminine communication styles to be effective communicators. In this discussion, “feminine” and

“masculine” refer to styles of relating rather than the gender of the communicator. Women can show some or even many of the masculine patterns of expression, and some men may be more comfortable with the feminine style of

relating. Exhibit 4–3 illustrates some differences in feminine and masculine

communication styles. 

Although differences in these communication styles can cause conflict, both

styles reflect attitudes and energies that are needed to meet workplace challenges. It is important, therefore, to strive for a balance of masculine and feminine ways of relating. 
Oral and Written Communication ❘ 69

Intercultural Communication

In the 21st century, competence in intercultural communication is important in

both personal and professional life. The United States is a mosaic of many cultures (groups of people who share ethnic backgrounds, values, attainments,

beliefs, and traditions). An organization or a department integrates employees

into the workplace and eventually develops a “culture” of its own. Learning to

communicate effectively with people from a different organizational or personal

culture is especially critical for today’s managers and supervisors. 

To be competent in intercultural communication, managers and supervisors

should be aware that they naturally use aspects of their own culture to judge and

interpret the behaviors of those from other cultures. These aspects form a kind

of “cultural lens” and include such things as:

■ Race and ethnicity. 

■ Religion.

■ Nationality.

■ Family background.

■ Personal values.

■ Education.

■ Socioeconomic status. 

It is equally important for managers and supervisors to recognize that these

same aspects shape the cultures of people with whom they are communicating.

This awareness will help managers and supervisors understand others more

accurately and communicate with them more appropriately and effectively. 

Feminine Communication Style Masculine Communication Style

• Likes to engage in dialogue, • More direct, wants to “cut to 

more willing to show emotion. the chase.”

• Uses talking as a way to share • Thinks of conversation as a 

information, form a bond, and contest.

offer support. • Assertive and outspoken, more 

• Less likely to speak up, more willing to interrupt.

willing to give up a turn.

Exhibit 4–3. Feminine and Masculine Communication Styles
70 ❘ Chapter 4

Nonverbal Communication

Communicating effectively involves more than language and words. Nonverbal

messages are just as important. Nonverbal behaviors become part of the communication process when someone tries to convey a message or when someone

attributes meaning to the nonverbal behavior of another. 

Communication experts estimate that only 7 percent of communication is represented by the words we say, another 38 percent by our sounds and how we say

words, and 55 percent by body language and other nonverbal behavior.

Nonverbal behaviors also relate to the use of personal space, time orientation,

and vocal qualities such as pitch, volume, rhythm, and rate of talking. As

described earlier in exhibit 4–1, visual and vocal clues can provide information

about an individual’s communication style. 

Nonverbal communications are often difficult to interpret because they are culturally specific. A smile, a head nod, and eye contact may all have different

meanings in different cultures. For example, a smile in one society conveys

friendliness, in another embarrassment, and in a third a sign of tension. 

Proficiency in reading nonverbal communications is an important aspect of successful communication because it allows someone to perceive the needs and

desires of others. However, it is not an exact science. Gestures are clues to the

emotions and attitudes of others, but they do not provide conclusive evidence.

Body language and other nonverbal communication provide a basis for assumptions that should be tested and validated rather than considered as fact. 

Active Listening

Communication is a two-way process. Most people focus on their role as

senders and forget their responsibilities as receivers. But listening may be a

manager’s or supervisor’s most important skill. Surveys frequently reveal that

employees do not feel their managers and supervisors listen to their needs, suggestions, or complaints—the result is lowered morale and productivity. Active

listening improves working relationships because it makes people feel appreciated, understood, and accepted. Active listening has three components: concentrate on the speaker, show attention and interest, and clarify points by asking

questions or paraphrasing. 

Concentrate on the speaker. Eliminate or reduce environmental distractions

such as telephone calls or visitors, visual distractions such as passerby traffic,

and uncomfortable seating or room temperature. 

Seek first to understand, then to be 

understood.

—Stephen Covey,

Author, The 7 Habits of

Highly Effective People
Oral and Written Communication ❘ 71

Show attention and interest. In choosing ways to show interest, be sensitive to

the cultural background of the other person. Common ways that Americans and

Europeans show interest include:

■ Facing the speaker.

■ Maintaining eye contact.

■ Using nonverbal cues such as head nods and facial expressions.

■ Using encouraging vocal prompts such as “hmmm,” “go on,” and “tell

me more.”

Clarify points by asking questions or paraphrasing. In paraphrasing, the listener says back to the speaker what the listener thinks the speaker really meant.

This often involves “reading between the lines” to interpret the full meaning of

the speaker’s words, then checking out that interpretation. 

By using active listening techniques, managers and supervisors can show that

they are interested in what other people are saying and that they understand the

message. 

Giving and Receiving Feedback

Feedback is vital to any organization committed to improving itself because it is

the only way to know what needs to be changed. Managers and supervisors

need good feedback skills to improve their team’s performance and to communicate more effectively with others at work. It is important to give both positive

feedback (e.g., praise) and constructive feedback (e.g., criticism). Managers

often make the mistake of taking good work for granted and only giving constructive feedback focused on improving performance that does not meet expectations. Good managers and supervisors regularly use both types of feedback to

motivate their team to high performance. 

Constructive feedback should take place within a context of listening to and caring about the person. Before giving feedback, managers and supervisors should

make sure that the time, place, and circumstances are appropriate. Several

guidelines can help managers and supervisors give both positive and constructive feedback. 

Three Components of Active Listening

• Concentrate on the speaker.

• Show attention and interest.

• Clarify points by asking questions or paraphrasing.
72 ❘ Chapter 4

Be timely. Provide feedback as soon as possible after the relevant action or

behavior; otherwise, the feedback loses its effectiveness. 

Be specific. Clearly and objectively describe the specific behavior that is the

focus of the feedback. Share observations and give examples. 

Focus on the behavior, not the person. Relate feedback to the behavior or

action in question. Do not criticize the recipient personally. 

Do not assume. Making assumptions is counterproductive. A manager or supervisor may not have all the facts of a situation. In addition, the other person may

have a frame of reference that is totally different from that underlying the

manager’s or supervisor’s reactions, perceptions, and beliefs with regard to the

situation. This is particularly true in intercultural communications. Before formulating and offering feedback, managers and supervisors should think of their

interpretation of the situation as a tentative hypothesis until it is tested by gathering additional information and data. 

Involve the person receiving the feedback. Encourage two-way communication. Asking for reactions, thoughts, and ideas builds trust and ownership. 

In addition to improving the performance of others through feedback, managers

and supervisors should solicit feedback to improve their own performance as

leaders. They should:

■ Receive feedback with the intent to learn and grow.

■ Listen carefully to the feedback without interrupting. 

■ Ask questions for clarification, and acknowledge valid points. 

■ Evaluate the message and decide whether they would benefit from modifying

their behavior. 

Asking Questions

Asking questions is an art. Questions are at the heart of communication. They

can build rapport and trust, open up a conversation, or sell an idea. They are

used to get information, check agreement, learn others’ views, stimulate conversation, and verify information. Asking questions is particularly important in an

A prudent question

is one-half of 

wisdom.

—Francis Bacon

Guidelines for Giving Feedback

• Be timely.

• Be specific.

• Focus on the behavior, not the person.

• Do not assume.

• Involve the person receiving the feedback.
Oral and Written Communication ❘ 73

organization where people need to understand each other clearly to achieve a

common goal. 

Two types of questions—open-ended and closed-ended—contribute to effective

communication. 

Open-ended questions. These questions are used to expand a discussion. They

often ask for opinions, thoughts, or feelings and often begin with “what,” “how,”

or “why.” Open-ended questions are particularly useful in initially gathering

background information and data, e.g., “How do you ensure that the needs of

all your key stakeholders are met?”

Closed-ended questions. These questions are used to prompt for specifics and

usually are answered with a “yes” or “no.” They are most useful in gathering

detailed information, e.g., “Do you have program performance measures?”

Managers can improve their effectiveness in leading others by adopting a communication style that is more asking than telling and by using provocative

questions to stimulate discussion and new insights. 

Group Communication: Meetings and Presentations 

Group communication skills enable managers and supervisors to lead productive, motivating meetings and make effective oral presentations. Both activities

require leadership, high levels of organization, and the oral communication

skills discussed in the previous section. 

Leading Meetings 

Meetings can be opportunities for managers and supervisors to model good

leadership; however, many meetings fall short of that potential. Meetings are

the most expensive communication activity in an organization. Even more costly

than the salaries, facilities, and materials involved in conducting any meeting is

the cost of lowered morale when people have to sit through a boring, poorly

planned, poorly conducted meeting. Well-managed meetings are effective and

essential communication tools. Important decisions are made, ideas are generated, information is shared, and people feel a sense of purpose, pride, and

belonging. To lead effective meetings, managers must take the steps needed

to prepare for the meetings as well as to facilitate the meeting. (For further

discussion of managing meetings from the perspective of the team building

competency, see chapter 8, “Team Building.”)

Preparing for Meetings 

The success of meetings is directly related to the quality of preparation.

Although meetings require many administrative tasks, the most important

preparation activities for managers and supervisors are identifying the meeting’s purpose and determining their own role. 
74 ❘ Chapter 4

Identify the purpose of the meeting. Meetings are held for a variety of purposes, including:

■ Planning.

■ Information sharing.

■ Problem solving.

■ Reviewing progress.

■ Training.

■ Team building.

■ Making decisions.

■ Generating ideas.

■ Introducing change.

■ Gaining commitment.

■ Celebration and recognition. 

Determine the leader’s (manager’s or supervisor’s) role. After determining

the purpose of the meeting, the manager or supervisor should think about

the role he or she wants to play—cheerleader, coach, facilitator, counselor,

visionary, etc. 

Complete administrative tasks. Administrative preparations for meetings

include the following:

■ Review progress on tasks and assignments from previous meetings.

■ Establish meeting agenda, timeframes, and location.

■ Select and notify participants.

■ Collect any data to be shared.

■ Anticipate questions and concerns. 

Meeting Preparation Activities

• Identify the purpose of the meeting.

• Determine the manager’s or supervisor’s role.

• Complete administrative tasks.

• Provide advance notice.
Oral and Written Communication ❘ 75

Provide advance notice. Sending participants the meeting agenda (including

objectives, desired outcomes, advance preparation, and required materials) prior

to the meeting will save valuable time, increase understanding and commitment,

and greatly enhance the success of the meeting. 

Facilitating Meetings 

The most important role of the manager or supervisor in a meeting is to function

as a leader and facilitator to help the group capitalize on the combined information, wisdom, and experience of the participants. A good meeting leader defines

a context for issues, orients the team in a common direction, and inspires positive performance. A good facilitator understands how groups interact, how to

stimulate participation, and how to manage the meeting process. 

Encourage participation. The meeting leader can encourage participation by

acknowledging contributions, asking specific questions, demonstrating active

listening, using brainstorming techniques, and breaking the group into subgroups. Diverting the discussion from participants who tend to monopolize

the floor and encouraging reluctant or quiet participants to share their thoughts

and ideas can help balance participation. 

Focus on objectives. The leader needs to keep the discussion focused on

achieving the meeting’s objectives by minimizing interruptions, disruptions,

and irrelevant comments. Setting ground rules that spell out expectations for

general courtesy and responsibility will help establish behavior norms and prevent misunderstandings and disagreements. When the discussion begins to go

off on a tangent, the leader needs to intercede and get the discussion back on

track by referring back to the agenda and redirecting the conversation. 

Summarize outcomes. The leader should end the meeting by summarizing

highlights, decisions, and assignments and discussing next steps. It is also useful

for participants to evaluate the effectiveness of the meeting by identifying what

went well, what didn’t work, and what could be improved. The leader should

follow up by distributing written minutes to meeting participants and to others

who may have a need to know. 

Ways To Facilitate Meetings

• Encourage participation.

• Focus on objectives.

• Summarize outcomes.
76 ❘ Chapter 4

Making Presentations 

The ability to speak in front of groups to share information, ideas, experience,

and enthusiasm is an important leadership skill—one that becomes increasingly

critical as a leader progresses up the management ranks. Public speaking can

take many forms: addressing a large audience in a public forum, presenting a

proposal to decisionmakers, explaining a new policy, building understanding

and enthusiasm for a change initiative, or reviewing the status of a project.

Good presentations can provide opportunities for growth, recognition, and prestige. The effective speaker establishes a reputation as an expert to whom others

can turn for advice. 

Purpose and Value of Presentations

Giving a successful presentation first requires the speaker to understand and

appreciate that he or she is asking the audience for its valuable time and attention. The speaker has an obligation to ensure that attending the meeting will

benefit the audience. To fulfill this obligation, the speaker should consider the

following questions:

■ What is the purpose of the presentation?

■ Is a presentation the most appropriate communication vehicle?

■ Am I the best person to make the presentation?

■ Who is my audience?

■ What benefit will the audience gain? 

■ Is the benefit worth the cost associated with the presentation?

■ What do I want the audience to know and do at the end of the presentation;

how do I want them to feel?

■ How will I gain the attention and respect of the participants? 

Types of Presentations 

Once the purpose and value of the presentation have been determined, it is time

to decide on the appropriate format for the presentation. The four basic types of

presentations—report, explanatory, persuasive, and instructional—differ primarily in the amount of detail presented and the level of persuasiveness required to

meet the objective of the presentation. 

Report. A report brings people up to date on something they are already familiar with (e.g., a project report). It generally focuses on facts, figures, and other

details and involves little persuasion. 
Oral and Written Communication ❘ 77

Explanatory. This type of presentation is used to provide an overall perspective

or identify new developments. It offers the audience new information and facilitates understanding but seldom involves extensive detail or persuasion. 

Persuasive. With a persuasive presentation, the purpose is to get others to

accept the presenter’s opinion or idea, which generally involves changing their

view of something. This type of presentation requires strong persuasive skills

but seldom uses extensive detail. 

Instructional. An instructional presentation teaches people how to do something. It usually involves more audience participation than other types of presentations. Because the presenter is trying to convince the audience to adopt new

methods or behaviors, the instructional presentation generally includes extensive

detail and persuasion. 

Tailoring the Presentation to the Audience

With the purpose and type of presentation in mind, the presenter should next

consider how to mold the presentation to fit the specific characteristics and

needs of the audience. These considerations will guide the selection of examples, language, and concepts that will best hold the audience’s attention. 

Any presentation—regardless of purpose, type, or audience—has three main

parts: the introduction, the body, and the conclusion. It is especially important

to create an engaging introduction and conclusion because research on human

memory indicates that people remember best what they heard first or last in a

speech. 

Introduction. The introduction must capture the attention of the audience and

convince them to continue to listen. Attention-getting techniques include using a

rhetorical question, statistic, quotation, dramatic story, or humor. (Using humor

not only in the introduction but also throughout the presentation is a good way

to get the audience’s attention and to relax the audience and the speaker.) In the

introduction, the speaker should also review the agenda, outline his or her background and experience, and let listeners know how the information to be presented is relevant to their needs. 

Body. The body is the middle section of the presentation, where the main points

and themes are developed. The body can be organized topically, chronologically,

or by using a problem-and-solution approach. Important points should be

emphasized with good visual aids to help the audience remember the message.

Language should be accurate, concrete, and clear, so the audience can understand the message. The speaker should explain acronyms and jargon and be

careful to be as concise as possible. 

One cannot not

communicate.

—Osmo Wiio, 

Member, Swedish

Parliament
78 ❘ Chapter 4

Conclusion. In the conclusion, the speaker summarizes what has been said in

the body of the presentation, stressing the main ideas the audience should

remember. This is also the place to ask for appropriate action, if that is part

of the purpose of the presentation. 

Delivering the Presentation 

We are always communicating something to someone, whether or not we intend

to send a message. Because the success of a presentation is determined by the

response of the audience, it is important for the presenter to be aware of how

the audience perceives him or her. This involves examining body language as

well as verbal delivery. Here are a few guidelines:

■ Use a relaxed but erect posture, with weight evenly distributed, shoulders

back, chin up.

■ Look at various sections of the audience.

■ Use facial expressions to dramatize and reinforce emotions.

■ Dress appropriately.

■ Coordinate gestures and movements with words.

■ Use a positive, enthusiastic voice and speak loudly enough for everyone

to hear. 

■ Vary loudness, pitch, and pace to suit the material.

■ Use pauses as punctuation marks. 

Written Communication 

Although managers and supervisors typically spend most of their time speaking,

listening, and making decisions, organizations run on the written word. Whenever important information must be conveyed, such as a policy, contract, report,

or plan, it is put in writing to provide a permanent record. That piece of paper

becomes a permanent reflection of its author, including the author’s ability to

express a message professionally and get things done. 

Because written communications are critical to an organization, managers and

supervisors can improve their personal effectiveness and productivity by developing their ability to communicate in writing. This involves learning how to:

■ Choose the form of communication best suited to the objective of the

message. 

■ Take readers’ needs into account. 

Grasp the subject

and the words

will follow.

—Cato the Elder,

Roman Statesman,

Orator, and Writer 
Oral and Written Communication ❘ 79

■ Draft a message that is clear, concise, and readable.

■ Use e-mail and other communication technology effectively. 

Choosing the Appropriate Form of Written Communication

Managers and supervisors can choose among many forms of written communication, including the more traditional letters, memos, reports, and policies, as

well as the newer electronic methods such as e-mails, Web sites, faxes, etc.

Selecting the appropriate form involves taking into account factors such as

degree of formality or informality (e.g., policy statement versus departmental

news), level of complexity (e.g., report versus note), speed of delivery (e.g.,

e-mail versus letter), and internal or external audience (e.g., employees versus

other agencies). 

Knowing the Audience

In all written communications, managers and supervisors must know what they

want to say, what their objective is in saying it, and why it is important for the

audience to read it. Knowing the audience makes it easier to organize the material so that it has the best chance of being read and understood. Good communicators show they understand the other person’s goals. They put themselves in

the reader’s shoes so their message will be better received. 

Conveying the Message

Business writing emphasizes clarity, conciseness, and readability over eloquence. This is true even for informal communications such as e-mails. Clear

writing requires preparation. Lack of planning and confidence results in indirect,

lengthy, and unfocused writing. Correctional employees are busy people who

receive many communications. They are unlikely to read or act on communications that are poorly written.

Clarity. The following techniques will make written communications clearer

for readers:

■ Use the active voice: The active voice is open and upfront; it encourages

action. 

■ Avoid jargon: Jargon can cause miscommunication and misunderstanding for

those not familiar with the terms. If there is any possibility that the reader will

Three Goals of Business Writing

• Clarity.

• Conciseness.

• Readability.
80 ❘ Chapter 4

not understand a term, either define it or find another way of expressing the

idea. 

■ Be direct: Say what you mean. Words such as “seems,” “could be,” “appears,”

and “might possibly be” indicate lack of confidence and unclear thinking. 

Conciseness. As noted earlier, the audience may have little time or inclination

to read your communication. Respect the reader’s time by stating the message

in the clearest and shortest way possible:

■ Use short, crisp words that are to the point. 

■ Use short sentences that are active and easily understood; avoid lengthy sentences full of dependent clauses. 

■ Use short paragraphs that convey only one idea. 

Readability. Several formatting techniques make a message easier to read:

■ Highlighting: Use bold and italic text to highlight key ideas and new topics.

■ Bullets: Use bullets to emphasize listed items.

■ White space: Use wide margins, narrow columns, and plenty of space

between paragraphs to make the page look clean and professional.

■ Limited uppercase: Words written in all capitals are harder to read. 

Using Communication Technology

Communicating with new technology is not simply a matter of adding computers to workstations. New technology leads to communicating in new ways and

can bring fundamental changes to how employees work and relate. E-mail, or

online communication, is a good example. E-mail is extremely fast in comparison to interoffice mail or the U.S. Postal Service. However, along with this efficiency, e-mail can also bring its own set of issues. 

E-mail tends to function more like speech than writing, but without voice inflection or tonality. E-mail is prone to faulty communication as it is informal, provides a means for immediate response, and lacks visual and nonverbal clues and

tangible reminders of the audience. Managers and supervisors need to keep in

The problem before

us [managers] is

not to invent more

tools, but to use

the ones we have.

—Rosabeth Moss Kanter, 

The Change Masters

Using Graphics

Graphics—pictures, photographs, tables, charts, etc.—can enhance written

communications. They are often effective tools for visually conveying complex ideas and information. Because most people are visual learners, using

graphics can greatly aid the audience’s understanding and retention of

information.
Oral and Written Communication ❘ 81

mind that e-mail is as permanent a record as any written memo and should be

crafted as carefully as more formal written correspondence. Other aspects of

e-mail communication to be aware of are the following:

■ Individuals and groups communicating through an electronic medium are

more likely to be uninhibited. 

■ Status differences play a lesser role in an online environment.

■ Online consensus decisionmaking takes significantly longer than decisionmaking by a group interacting face to face.

Exhibit 4–4 offers tips on the “W.R.I.T.E.” way to communicate online.

The key to effective online communication involves communicating in a

manner that is “W”arm, “R”esponsive, “I”nquisitive, “T”entative, and

“E”mpathetic.

Warmth 

• Don’t rely exclusively on e-mail. The telephone may be a more effective

way to clarify a point or negotiate a delicate issue.

• Send sensitive information to private mailboxes. (Beware the inadvertent

use of “reply all” when responding to a message.)

• Incorporate warmth into e-mail text; e.g., strive for a conversational (yet

professional) tone. 

Responsiveness

• Set deadlines when requesting work products, and provide occasional

reminders.

• Be consistent when providing feedback.

• Reply promptly to questions.

Inquisitiveness

• Ask questions if the context or content of a message is unclear.

Tentativeness 

• Use tentative language to soften a message unless the situation dictates

otherwise.

Empathy

• Put yourself in the place of your audience. Ask yourself how they will

perceive the message.

Source: Adapted from Ken White and Elwood Chapman, Organizational

Communication, Needham Heights, MA: Simon and Schuster Custom

Publishing, 1997. Copyright© 1997 Simon and Schuster Custom Publishing.

Adapted and reprinted by permission of Pearson Custom Publishing.

Exhibit 4–4.The W.R.I.T.E.Way To Communicate Online
82 ❘ Chapter 4

Summary 

Communicating effectively is essential for success in every area of life, but

communication excellence is the hallmark of great leadership. Communication

involves giving and receiving thoughts and feelings through speaking and listening, nonverbal clues, and in writing. The intended meaning of a communication

may not be what the recipient understands because the meaning is often altered

by the recipient’s own perceptions. Differences in perception are created by differences in communication style, gender, age, race, cultural and organizational

background, and many other factors. The process of communication is subtle

and complex, mirroring the complexity of language and the human personality.

Good leaders are sensitive to the subtleties of communication and continually

strive to master the challenges of oral and written communication. They

demonstrate respect by tailoring their communications to the needs of others,

using active listening skills, and being empathetic. More than anything else, they

understand that communication is about creating understanding. Their main purpose is not to prove that they are right but to be openminded and respect the

views of others to achieve mutual understanding, learning, and personal and

professional growth. 

Key Skills and Behaviors

Fundamentals of Effective Oral Communication 

Skill: Having effective, respectful exchanges with people at different organizational levels.

Behaviors:

■ Listen for understanding before offering opinions.

■ Use appropriate questioning techniques to better understand a situation/issue

or to stimulate discussion.

■ Use paraphrasing to check understanding.

■ Give timely, specific feedback. 

Skill: The ability to do something well, arising from talent, training, or

practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
Oral and Written Communication ❘ 83

Skill: Understanding how cultural differences affect interpersonal 

communications.

Behaviors:

■ Recognize different cultural contexts, communication styles, and nonverbal

clues and modify your own communications accordingly.

■ Use communication that respects cultural differences. 

■ Try to recognize and understand the perspective of the person with whom you

are communicating. 

Group Communication: Meetings and Presentations

Skill: Conducting productive meetings that accomplish their intended purpose.

Behaviors:

■ Create a positive meeting climate.

■ Establish and communicate meeting purpose and agenda.

■ Balance meeting participation to both accomplish meeting objectives and

maintain group working relationships. 

■ Summarize key decisions and assign action items.

■ Evaluate meeting effectiveness and make needed improvements.

■ Document and communicate meeting outcomes to appropriate parties. 

Skill: Presenting information effectively in a variety of circumstances.

Behaviors:

■ Adapt your communication style to different audiences to maximize 

understanding.

■ Demonstrate indepth knowledge in your area of expertise.

■ Use a variety of methods to keep the presentation interesting and encourage

participation.

■ Use devices to help listeners understand and retain information.

■ Speak with confidence and enthusiasm.

■ Present information persuasively to advocate proposed recommendations. 
84 ❘ Chapter 4

Written Communication

Skill: Writing clearly and concisely so that information is understood and

acted on.

Behaviors:

■ Use the appropriate written communication vehicle for the intended purpose.

■ Tailor communications to the reader. 

■ Use appropriate format and style and proper grammar and punctuation.

■ Write recommendations persuasively.

■ Seek feedback to ensure that the intended message was understood.

■ Be aware of the differences inherent in online communications. 
Oral and Written Communication ❘ 85

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work 

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems 

development, their primary focus is and service delivery, and they monitor 

on working with internal stakeholders operations for compliance with 

to create the systems and services correctional agency/organization policy.

needed to implement correctional Supervisors work primarily with internal

agency/organization policy. Managers staff but may also represent the 

are above supervisors in the chain correctional agency/organization during

of command. interactions with customers/constituents

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps

• Corrections Unit or Program above line or entry-level positions in the

Manager. correctional agency/organization.

• Deputy Jail Administrator.

• Capital Programs or Correctional Typical titles of supervisory positions:

Industries Administrator. • Adult or Juvenile Correctional Housing

• Probation, Parole, Community Unit Supervisor.

Corrections, or Community • Probation, Parole, Community

Sentencing Department Head or Corrections, or Community Sentencing

Regional/District Manager. Supervisor.

• Interstate Compact Administrator. • Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Focus Areas

Fundamentals of • Places emphasis on making formal • Places emphasis on more informal 

Oral Communication presentations to recommend new communications.

initiatives and programs, justify • Facilitates own team’s meetings and

budget proposals, and provide project develops team’s communication skills

updates. (highly important).

• Successfully leads cross-functional • Listens attentively and empathetically 

team meetings. to team members and responds 

• Frames thought-provoking questions appropriately to their questions and 

that facilitate meaningful dialogue concerns (critical skills for supervisors).

to address complex issues. • Communicates in a manner that 

demonstrates respect for differences

(a foundation management skill that

fosters the trust and credibility required

to lead others).

Appendix 4–1. Focus Matrix for Managers and Supervisors:

Oral and Written Communication
86 ❘ Chapter 4

Resources

Alessandra, Tony, and Phillip L. Hunsaker. (1993). Communicating at Work.

New York: Simon and Schuster. 

Asher, Spring, and Wicker Chambers. (1998). Wooing and Winning Business:

The Foolproof Formula for Making Persuasive Business Presentations. New

York: John Wiley and Sons. 

Beall, Melissa. (1991). Guide to Oral Communication. Dubuque, IA:

Kendall/Hunt Publishing. 

Bennett, Milton. (1998). Basic Concepts of Intercultural Communication:

Selected Readings. Yarmouth, ME: Intercultural Press. 

Boone, Diane. (1988). The Business of Listening. Los Altos, CA: Crisp

Publication. 

Boone, Gloria, and Richard P. Kroop. (1991). Communicating in the Business

Environment. Amherst, MA: Human Resource Development Press. 

Browne, M. Neil, and Stuart M. Keeley. (1990). Asking the Right Questions.

New York: Prentice Hall. 

Manager Supervisor

Focus Areas (continued)

Group • Manages group communications • Facilitates own team’s meetings to

Communication: with participants who have diverse achieve productive results and build

Meetings and interests, agendas, and perspectives. team spirit.

Presentations • Uses a wide variety of meeting and • Involves team members in planning and

communication tools to ensure that leading team meetings.

all voices are heard.

Written • Focuses on formal communications • Focuses on more informal written 

Communication (e.g., reports) in which providing communications.

facts and evidence to support • Documents personnel actions, issues,

recommendations is important. and decisions clearly, concisely, and 

• Uses the written word to influence accurately and in a timely manner.

stakeholders.

• Focuses on following

up communications to ensure

understanding, especially when the 

audience is broad and diverse.

Appendix 4–1. Focus Matrix for Managers and Supervisors:

Oral and Written Communication (continued)
Campbell, Nancy M. (2005). Correctional Leadership Competencies for the

21st Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession Number

020474.

Carnegie, Dale. ([1926] 1999). How To Develop Self-Confidence and Influence

People by Public Speaking. New York: Pocket Books. 

Chang, Richard. (1995). Meetings That Work. Lake Forest, CA: Richard Chang

Associates, Inc. (www.richardchangassociates.com).

Covey, Stephen. (1989). The 7 Habits of Highly Effective People. New York:

Simon and Schuster. 

Gorman, Tom. (1997). The Complete Idiot’s Almanac of Business Letters and

Memos. New York: Simon and Schuster. 

Griffin, Jack, and Tom Power. (1998). How To Say It At Work. New York:

Prentice Hall. 

Ivy, Diana K., and Phil Backlund. (1999). Exploring Genderspeak: Personal

Effectiveness in Gender Communication. New York: McGraw-Hill. 

Kanter, Rosabeth Moss. (1984). The Change Masters. New York: Simon

and Schuster. 

Koester, Jolene. (1993). Intercultural Competence. New York: HarperCollins

College. 

Lutovich, Diane, and Janis Fisher Chan. (1998). How To Write Reports and

Proposals. San Anselmo, CA: Advanced Communication Designs. 

Mandel, Steve. (1993). Effective Presentation Skills. Los Altos, CA: Crisp

Publications. 

McManus, Judith. (1998). Effective Business Speaking. New York: Learning

Express. 

Siegel, Gerald. (1990). Business and Professional Writing. Dubuque, IA:

Kendall/Hunt Publishing Company. 

Tingley, Janice C. (1994). Genderflex: Men and Women Speaking Each Other’s

Language at Work. New York: AMACON. 

Toogood, Granville. (1996). The Articulate Executive. New York: McGraw-Hill. 

White, Ken, and Elwood Chapman. (1997). Organizational Communication.

Needham Heights, MA: Simon and Schuster Custom Publishing.

Oral and Written Communication ❘ 87
Chapter 5

89

Motivating Others

Nancy M. Campbell

This chapter addresses the role of managers and supervisors in motivating

employees. After summarizing why the ability to motivate others is important

for managers and supervisors, the chapter describes how two types of factors—

security and motivating—affect job attitudes. The chapter then offers guidelines

for hiring motivated employees. A section on behaviors that motivate focuses on

how to use positive reinforcement to bring out the best in employees and suggests approaches for aligning employees’ personal and professional interests.

The chapter summarizes key skills and behaviors that can help managers and

supervisors motivate others and presents a matrix (appendix 5–1) that shows the

applicability of those skills and behaviors to each of the two positions.

Definition 

Motivating Others: Motivation is an internal drive that stimulates a person to try

hard to achieve goals. A motivated employee tries harder to get the job done and

to do it well. Motivation to perform well exists when a conscious or unconscious

need or desire is met through work. Effective managers and supervisors understand this and find ways to align workers’ needs or desires with their work.

Knowledge Base 

Why Should Correctional Managers and Supervisors

Develop This Competency?

Although the quote by Lee Iacocca may be an overstatement, anyone who supervises people understands the truth it contains. Instead of spending time pushing

and pulling employees to get them to perform, the manager or supervisor who

discovers what motivates each employee can step aside and watch individuals do

their job well. There is no longer any need for the iron fist or the velvet glove,

just appreciation and support for the employee’s growth and development. 

Many a boss has wondered why one employee is enthusiastic, shows initiative,

and willingly takes on more work, while another seems to complain bitterly

about everything, resists change, and never does anything not strictly within his

or her job description. What makes the one person work so hard and the other

spend energy avoiding work? The answer to this question is motivation. One

person is motivated to do the work and the other is not.

Many managers believe that employees should be motivated by their paychecks.

After all, employees are paid to do their jobs—isn’t that enough? The answer is

Management is

nothing more 

than motivating

other people. 

—Lee Iacocca, 

Former Chairman,

Chrysler Corporation
90 ❘ Chapter 5

no. Effective managers understand that each employee is an individual who may

require a different form of motivation.

Some managers cannot understand why everyone does not share their own

enthusiasm about the work and assume that those who do not must have a poor

work ethic. This may be the case in some circumstances; more often, however,

it is simply that different people are motivated by different things.

Because motivated employees are more productive than those who are not,

many studies have been conducted over the years to learn what motivates people. In the American workforce, the majority of workers indicate that they are

not performing up to their potential and in most cases are simply doing the

minimum amount required of them. According to Daniel Yankelovich and

John Immenwahr in their 1983 Public Agenda Report on Restoring America’s

Competitive Vitality (as quoted in Aubrey C. Daniels’ 1999 book Bringing Out

the Best in People), one study of private sector employees found that:

■ 23 percent of employees said they were performing to their full potential

and capacity.

■ 43 percent said they did what was expected of them and no more.

■ The majority said they could increase their effectiveness significantly.

It might seem that many workers are just lazy. Typically, that is not the problem.

Most people long for fulfilling and meaningful work and feel they could make a

greater contribution at work. What often holds people back is not lack of skill or

desire, but the manager or supervisor who supervises them. By failing to understand what motivates employees and to offer challenging work opportunities,

managers and supervisors create the conditions for discontent. Often unknowingly, managers and supervisors support unproductive behavior. 

The idea that so much capacity is being wasted is startling. What a difference it

would make if managers and supervisors knew how to harness the potential of

their subordinates and coworkers. Learning how to motivate others is the key to

capturing much of this unused capacity.

To motivate others requires self-awareness. Managers and supervisors must be

aware of their own interpersonal and intrapersonal skills and abilities. The discussion in this chapter assumes that readers have that understanding and now

want to learn how to motivate others. It also assumes that readers have the willingness and desire to understand the people they supervise and to help these

employees contribute fully in the workplace. Finally, it assumes that readers

are willing to change some of their current methods of supervising others.
Motivating Others ❘ 91

What Motivates? 

Before exploring strategies or techniques for motivating others, it is important to

understand what motivates people. Although we respond differently to various

motivational techniques, we are all alike in fundamental ways. To understand

how people are alike requires a basic understanding of universal human drives

and needs. 

Frederick Herzberg’s motivation-hygiene theory of job attitudes suggests that

the factors that produce job satisfaction are distinct from those that produce job

dissatisfaction. Two different sets of fundamental human needs and drives influence feeling satisfied or dissatisfied with one’s job. This explains why not being

dissatisfied with a job does not necessarily mean being satisfied enough to be

motivated. These two sets of needs and drives—security factors and motivating

factors—must be met before people are motivated. 

Security Factors and Motivating Factors

In his well-known hierarchy of human needs, Abraham Maslow described two

sets of fundamental needs that must be met for optimal functioning. The first set

of needs stems from our animal nature and includes the drive to avoid pain and

meet our biological needs. These needs can be thought of as security factors.

We do not want to go hungry, so we work to pay for food. The second set of

needs is unique to human beings: our drive to achieve and, through this, to

experience growth. We address this set of needs by taking on a new task and

mastering it. These needs can be thought of as motivating factors.

Understanding how these drives relate to motivating others at work requires

recognizing that security factors are found in the work environment, whereas

motivating factors are found in the work itself and in experiences related to

doing the work successfully. Security needs are met through company policy

and administration, supervision, interpersonal relationships (with supervisor,

peers, and subordinates), work conditions, salary, personal life, status, and job

security. Motivating needs—how individuals experience psychological growth—

are met through achievement, recognition of achievement, the work itself,

responsibility, and growth or advancement. 

Exhibit 5–1 shows how these security and motivating factors affect job dissatisfaction and job satisfaction. Clearly, if only security needs are met, little job

satisfaction is attained. Security factors are necessary but not sufficient for job

satisfaction.

Which Factors Should Managers and Supervisors Focus On?

What is particularly striking about the research on management and motivation

is that managers devote most of their time to security factors—i.e., to issues that

do not motivate employees. The commonly held belief is that if these issues are

I can charge a 

person’s battery

and then recharge

it and recharge it

again. But it is 

only when one 

has a generator 

of one’s own that

we can talk about

motivation. One

then needs no 

outside stimulation.

One wants to do it.

—Frederick Herzberg,

Job Enrichment Expert
addressed, employees should be motivated to do a good job. Yet as noted above,

Herzberg’s research indicates that employees typically do not find job satisfaction even if all of their security needs are met. Job satisfaction occurs only when

the motivating needs are met.

Having the clearest policy and procedure, excellent interpersonal relationships,

great working conditions, and rock-solid job security will not guarantee highly

motivated employees. Each of these factors contributes to job satisfaction in only

a small way. Motivation is found in meaningful and challenging work, which

92 ❘ Chapter 5

Exhibit 5–1. Factors Affecting Job Attitudes

Source: Adapted from Frederick Herzberg, “One More Time: How Do You Motivate Employees?” Harvard

Business Review, 1989 Special Edition: People—Managing Your Most Important Asset, pp. 26–35. Boston:

Harvard Business Review. On Point Enhanced Edition, 2002. Reprinted by permission of Harvard Business

Review. Copyright© 1968, 1989, 2002 by the Harvard Business School Publishing Corporation; all rights reserved. 

50% 40 30 20 10 0 10 20 30 40 50%

50% 40 30 20 10 10 20 30 40 50%

Achievement

Recognition

Work Itself

Responsibility

Advancement

Growth

Factors characterizing 1,844 events on the job that 

led to extreme dissatisfaction

Factors characterizing 1,753 events on the job that 

led to extreme satisfaction

0

Company Policy and Administration

Supervision

Relationship With Supervisor

Work Conditions

Salary

Relationship With Peers

Personal Life

Relationship With Subordinates

Status

Security

80% 60 40 20 0 20 40 60 80%

69 19 Security

31 81 Motivators

All factors

contributing to job

dissatisfaction

All factors

contributing to job

satisfaction
allows the employee to demonstrate responsibility, experience growth, and

achieve.

The bottom line is that money and working conditions—the very things that

many managers believe motivate employees—help prevent job dissatisfaction

but do not motivate. What motivates employees is anything that allows them to

demonstrate mastery and to grow. To have a motivated workforce, a manager

must find ways of ensuring that employees have challenging and meaningful

work that allows them to be responsible and to achieve.

What Is the Manager’s or Supervisor’s Role in

Motivating Employees?

Motivating factors are not something a manager or supervisor can “do for” an

employee. A manager or supervisor can create the circumstances for achievement by providing meaningful and challenging work. If the employee then experiences achievement and growth, that employee will be internally motivated.

The good news is that this means a manager or supervisor does not have to learn

the motivational fad of the day. Nor does the manager have to spend time coaxing and cajoling an employee with extrinsic rewards. 

To motivate, managers and supervisors must know each employee well enough

to understand what that person cares about and how he or she learns best. This

is done by asking and observing the employee. People usually can say whether

they learn best through visual, oral, or experiential methods. By asking about

and watching what types of tasks an employee enjoys, a manager or supervisor

can determine what matters most to that person. Once a manager or supervisor

understands what employees care about and how they learn best, then the task is

to create the circumstances in which each employee can demonstrate his or her

ability through the work.

Is Time Spent on Motivation Worth It?

Yes. Motivating factors are also believed to have a much longer term effect on

employees’ attitudes than security factors. This means the time devoted to helping employees find meaning in their work is time well spent.

Hiring Motivated Employees 

One of the greatest challenges for correctional managers and supervisors is that,

because of civil service laws, public sector policies, and labor contracts, they

often do not get to hire their staff and must supervise employees they did not

choose. This can be frustrating. Still, most correctional managers and supervisors do in fact hire many staff in the course of their careers. In hiring, they

should not overlook the critical issue of motivation.

In researching his book Good to Great, Jim Collins discovered something interesting about the most effective leaders (as measured by long-term organizational

Motivating Others ❘ 93

The old adage

“People are your

most important

asset” is wrong.

People are not your

most important

asset. The right

people are.

—Jim Collins, 

Author, Good to Great
success). They do not focus first on defining the organizational vision and direction; rather, they focus first on hiring the best people. As Collins notes in chapter

3 of the book, effective leaders put the “who” before the “what.”

In their hiring practices, effective leaders focus less on technical skills and more

on character attributes. Rather than placing the highest value on educational

background, practical skills, specialized knowledge, or work experience, they

consider character, work ethic, basic intelligence, and values. In other words,

they recruit and hire people who share their own values and are already

motivated.

In the public sector, managers and supervisors often settle for the candidate the

civil service register or human resources department says they must hire. They

believe it is more important to have somebody in the job as soon as possible

than to take the time to find the best person. They could not be more wrong.

Too often, this approach means that managers and supervisors must spend time

and energy trying to motivate an employee to care and to do the right thing—a

task that can be avoided by hiring a person who is already motivated.

Another common mistake occurs when a new hire does not perform well during

the probationary period. Too often, rather than accepting that the individual is

not right for the job, probation is extended or, even worse, the person is moved

from probation to permanent status. Common excuses for this irrational behavior

include that managers and supervisors have failed to give the individual enough

support, or to provide adequate training, and/or to provide adequate opportunities to demonstrate skills. These things may or may not be true, but motivated

employees typically perform well despite hardships. Those who do not are often

not motivated to do a good job. If an employee is not motivated during the probationary period, when that employee can be terminated at will, it is unlikely

that the employee suddenly will become motivated once he or she has civil

service protections. 

If a manager or supervisor is sure that an employee is not motivated to do the

work, the manager or supervisor should remove that person from the work unit

as quickly as possible (assuming the steps discussed below under “Behaviors

That Motivate” have been followed). Although civil service and labor rules may

make this challenging, it can be done. Nothing is worse than watching the

morale and motivation of a team be dampened by resentment when an employee

faces no consequences for failure to do his or her job.

Collins says that “good to great leaders” understand three simple truths:

■ If you begin with the “who” rather than the “what,” your team and organization will be better able to adapt to a changing world.

94 ❘ Chapter 5
■ If you hire the right people, the problem of how to motivate and manage

largely goes away.

■ If you have the wrong people, it does not matter how great your vision, you

still won’t have a great organization.

Behaviors That Motivate

How the Work Gets Done 

In any organization, people are ultimately responsible for the work that is done.

In corrections, where the use of machinery and technology is limited, people do

the vast majority of the work. Consequently, as Aubrey C. Daniels points out in

his book Bringing Out the Best in People, the one thing managers and supervisors should know the most about is human behavior. In reality, most managers

and supervisors receive little training in human behavior.

Consequences Motivate Behavior

When managers and supervisors wonder why someone does something, they

think about what happened before the event to motivate the person to act a certain way. The more important question is what happens after the behavior. As

Daniels notes, a behavior analyst would say, “A person does that because of

what happens to that person when he or she does it.” The cause of the behavior

lies not in what occurs before the behavior, but in its consequences. If the consequences are good, the behavior is repeated. If the consequences are negative,

the behavior probably will not be repeated.

Although this concept of behavior may seem obvious, the way that corrections

and most other organizations function suggests it is not well understood. In most

organizations, the performance of employees is managed by telling them what to

do. If, after a manager or supervisor tells an employee several times what to do,

the employee still does not do it, the manager or supervisor tells the employee

louder and often in a harsher and/or more threatening way. Eventually, the manager or supervisor might even take disciplinary action. Managers and supervisors

spend most of their day either telling people what to do or figuring out what to

do when people do not do what they are told. What is wrong with this picture?

Telling someone what to do will typically get a behavior to occur once, but it

does not result in repeated behavior. Unless “telling” is combined with a meaningful consequence that makes the employee want to repeat the behavior, he or

she is unlikely to do it again. Telling is effective to get someone started but it

will not motivate anyone to continue. Unless something positively reinforces

the behavior, it may not be repeated.

Motivating Others ❘ 95

The best way to run

an organization is

also the best way to

treat people.

—Sherman Roberts,

Director of Executive

Seminars,

John F. Kennedy 

School of Government,

Harvard University
Behavioral Consequences

Exhibit 5–2 shows how the four behavioral consequences—positive reinforcement, negative reinforcement, punishment, and penalty—affect behavior.

Inadvertently or intentionally, managers create consequences that increase or

decrease performance every day. In many cases, managers are actually rewarding

(and thereby strengthening) the behaviors they do not want or providing negative

consequences for behaviors they want to encourage. For example, the reward

for highly productive employees is often more of the same type of work without

additional time or resources to accomplish that extra work (and without the

opportunity to move to more responsible tasks). Not surprisingly, it does not take

long for an employee to figure this out and stop producing as much. Then the

manager or supervisor wonders why the employee is no longer as motivated.

The behavior change occurs because the employee is, in fact, being punished

for working hard and learns to avoid the negative consequence.

96 ❘ Chapter 5

Exhibit 5–2. Summary of the Four Behavioral Consequences and Their Effects

Source: Aubrey C. Daniels, Bringing Out the Best in People, New York: McGraw-Hill, 1999, p. 26. 

Copyright© 1999 The McGraw-Hill Companies, Inc.

BEHAVIOR

1. Get something you want

4. Lose something that you have

3. Get something you

 don't want

2. Escape or avoid some-

 thing you don't want

1. Postive Reinforcement (R+)

2. Negative Reinforcement (R–)

3. Punishment (P+)

4. Penalty (P–)

CONSEQUENCES THAT 

INCREASE BEHAVIOR

CONSEQUENCES THAT 

DECREASE BEHAVIOR

The Four Behavioral Consequences

• Positive reinforcement.

• Negative reinforcement.

• Punishment.

• Penalty.
If management does not effectively reinforce desired behaviors, employees will

not repeat those behaviors. Repeated behaviors typically become part of the

organizational culture. Managers must ensure that the behaviors that are repeated

are aligned with the organizational mission and vision. They can do this by making certain that positive consequences follow desired behaviors and negative

consequences follow undesired behaviors.

Reward What You Want Done

“Reward what you want done.” Not as simple as it sounds, but some guidelines

will help. Managers and supervisors can arrange tasks in a way that will positively reinforce the behaviors they want and eliminate unproductive behaviors.

The following guidelines are adapted from Aubrey C. Daniels’ Bringing Out the

Best in People.

Focus on change, not blame. Most people behave in a way that is consistent

with the way they were treated in the past. Those who were rewarded for being

innovative will innovate. Those who were punished for doing anything without

permission will likely do only what they are told. Rather than passing judgment

on why people do what they do, managers should instead focus on changing the

behavior.

“My behavior makes sense to me.” Different people are reinforced in different

ways. What reinforces one person may make no sense to another. No matter how

nonsensical what a person does may seem to someone else, it makes sense (even

if at an unconscious level) to the person doing it. The challenge for the manager

is to understand the consequences that reinforce the behavior and change them if

necessary.

The more immediate, the better. The impact of any consequence is limited.

The more immediate the consequence, the greater its impact on behavioral

change.

Don’t focus only on the poor performers. A mistake we all make is to focus

most of our energy on those who do not perform. Employees who do a good

job soon lose the reinforcement they need to stay motivated.

See it through the employee’s eyes. Most people reinforce others in the way

they themselves would like to be rewarded. This would work if everyone was

the same, but that is not the case. Find out what individual employees consider

a reward and give them what they want, not what you think they want.

Doing nothing can hurt performance. If employees take the initiative to go

above and beyond their job requirements, but no one ever acknowledges them

and shows appreciation for their efforts, eventually they will stop. Failing to

acknowledge a job well done kills motivation and a good work ethic. Expecting

Motivating Others ❘ 97
people to perform only because they receive a paycheck is the number one threat

to a good work ethic.

By now, readers may sense that the focus is on managers’ and supervisors’

behavior, not employees’. Initially, this is true. Managers and supervisors have

to observe what they are or are not doing. They have to honestly assess what

behaviors they are positively reinforcing and when they are relying on negative

reinforcement, punishment, and penalties. And they have to be willing to learn

how to analyze and change behavior.

A Method for Analyzing Behavior: The ABC Model 

of Behavior Change

In Bringing Out the Best in People (p. 34), Aubrey C. Daniels describes the ABC

Model of Behavior Change, a method for analyzing why people behave the way

they do. This model focuses on three things:

■ Antecedent: What sets the stage for a behavior to occur. 

■ Behavior: What a person does. 

■ Consequence: What happens as a result of the behavior. 

This model addresses only motivational problems, not lack of skills. In other

words, if a person could perform the task if the stakes were high enough, that

individual has the skills but not the motivation. If a person could not perform the

task under any circumstances, that individual does not have the skills and needs

training, not motivation. It is the difference between “won’t do” and “can’t do.”

In the ABC Model of Behavior Change, consequences are classified along the

following three dimensions:

■ Positive or Negative: Is the consequence positive or negative from the perspective of the performer?

■ Immediate or Future: Does the consequence occur as the behavior happens or

some time later?

■ Certain or Uncertain: What is the probability that the performer will actually

experience the consequence?

98 ❘ Chapter 5

Management

changes behavior

by its action and 

its inaction.

—Aubrey C. Daniels,

Author, Bringing Out the

Best in People

Antecedent Behavior Consequence

Source: Aubrey C. Daniels, Bringing Out the Best in People, New York:

McGraw-Hill, 1999, p. 34. Copyright© 1999. The McGraw-Hill

Companies, Inc.
Exhibit 5–3 uses the ABC Model to examine a common situation in corrections

agencies: implementing a new classification tool. Two behaviors are analyzed:

an undesired behavior (not using the tool accurately) and a desired behavior

(using the tool accurately). In this example, the implementation is not going

well. Exhibit 5–3 shows why. 

Because not implementing the classification tool accurately has many positive,

immediate, and certain consequences in terms of employee self-interest, many

staff will resist using it. Analyzing the consequences of using the classification

tool accurately reveals other problems: many immediate and certain negative

consequences, a few immediate and certain positive consequences, and only

one possible positive consequence in the future. From the point of view of the

people whose behavior must change (i.e., staff), there are not enough immediate,

positive reasons to try to use the classification tool accurately.

What could be done to change this? Managers and supervisors must create more

immediate, positive consequences for implementing the classification tool. For

example, a manager could provide resources to help an employee learn and/or

could give an employee time to get up to speed on the new instrument before

facing any negative consequences. Simply stopping by to ask about an employee’s progress could be an immediate, positive consequence. 

In short, managers and supervisors must want to understand the perspective of

those they supervise. Managers and supervisors who undertake this exercise with

a genuine desire to understand the employee’s perspective will usually discover

many things that could be done to support a positive change in behavior.

The Downside of Negative Reinforcement

Readers may wonder whether it might be easier just to use negative reinforcement or punishment to stop undesired behaviors. In fact, most managers and

supervisors rely heavily on negative reinforcement. “Do it or else” is one of the

most common management tactics. Most managers do not say this overtly, but

imply it. The problem with this approach goes back to motivation. Negative reinforcement will stop a behavior in the short term and will gain compliance, but it

will not motivate. It leaves the manager or supervisor with the problem of having

to spend enormous effort for minimal payback.

Many managers and supervisors do not even realize they are using negative reinforcement. Here are some indicators of negative reinforcement:

■ People are always rushing at the last second to meet a deadline.

■ Negative talk is common. For example, employees may frequently comment

that management’s expectations are too demanding, or managers and supervisors may make comments blaming employees or indicating that employees

just do the job because they are getting paid to do it.

Motivating Others ❘ 99
100 ❘ Chapter 5

Exhibit 5–3. Analyzing Behavior Using the ABC Model of Behavior Change:

A Corrections Management Example

Undesired Behavior: Not using a new Desired Behavior: Using a new

classification tool accurately. classification tool accurately.

Antecedents Antecedents

Didn’t attend training on the tool.

Don’t have enough time to use it.

My gut is better than any instrument.

My supervisor thinks it won’t work.

I ignored the last one. 

No feedback on my use of it.

The training and followup learning took time.

My manager audits my caseload to see if the assessment is being used properly.

My monthly report shows how my assessments

compare to other colleagues.

My manager has stopped by several times to see

how I am doing.

Performance appraisal has a section noting my ability to use the assessment.

Consequences P/N I/F C/U

Takes less time. P I C

I don’t have to take time to PIC

learn something new.

I maintain my status as PIC

“anti-management.”

I don’t have to change my PIC

routine.

I don’t have to experience the 

insecurity of not knowing P I C

what I’m doing.

P/N = positive or negative consequence. I/F = immediate or future consequence. 

C/U = certain or uncertain probability that the consequence will occur.

Consequences P/N I/F C/U

Takes longer to inter- NI C

view than the old way.

I feel awkward when I NI C

make mistakes.

My computer-generated 

reports are more readable PIC

and I can produce them 

faster.

Manager is more aware of 

what I am doing with my N I C

caseload.

Requires more concen- NI C

tration and more work.

I am receiving better 

information about my P I C

clients.

The court is pleased with 

the information that I P I C

provide now.

Good performance P F U 

appraisal.
■ After reaching a goal, performance goes flat.

■ There is no plan to celebrate achievement or success.

■ Performance drops after a requirement is removed. For example, a mandatory

meeting is now voluntary and no one goes.

Negative reinforcement works well if compliance is all that matters. However,

although it appears to save time and money, negative reinforcement ultimately

costs far more than positive reinforcement. When used properly, positive

reinforcement not only gets the job done better, it preserves the physical and

mental health of the manager.

How To Use Positive Reinforcement

Many managers and supervisors will say they hand out positive reinforcement

all day long. Yet if asked, staff will disagree. There are several kinds of positive

reinforcement, and it is important to understand what they are and how they

affect motivation.

Forms of Positive Reinforcement

Natural reinforcement occurs when a person turns a light switch on and the light

comes on. It is the immediate consequence of an action. Created reinforcement

does not occur automatically; it occurs only when someone else proactively

makes it happen (e.g., praise, a thank-you note, or public acknowledgment of

some sort). The two most common forms of created reinforcement are social and

tangible. Social reinforcement has value only to a specific individual. Tangible

reinforcement has value to others. Social reinforcement is more powerful than

tangible reinforcement, is free, and when done well, is valuable. To use social

reinforcement successfully, managers need to understand what each individual

employee values. One person’s positive reinforcement may be another’s worst

nightmare.

Sources of Positive Reinforcement

Work-related reinforcement. As Paul Hersey, Kenneth Blanchard, and Dewey

Johnson point out in Management of Organizational Behavior, most employees

are intrinsically motivated by their work (see chapter 6, “Developing Direct

Reports,” for further discussion). If the work itself provides reinforcement,

Motivating Others ❘ 101

Forms of Positive Reinforcement

• Natural.

• Created.

— Social.

— Tangible.
this natural motivation is stimulated. However, many jobs in corrections are

monotonous and routine. Improvements that make a job easier will provide

positive reinforcement, but only for a limited time. By watching how people

do their jobs, managers will discover that what someone does first is what reinforces that person most. One strategy is to structure work so that the less desirable tasks must be completed to get to the more desirable tasks. Still, relying

solely on the work to create motivation in such situations has limitations.

Peer-related reinforcement. Peers are one of the most underused and effective

sources of reinforcement at work. When peers recognize and support each

other’s positive accomplishments, improvements happen quickly. For example, a

manager who is attempting to implement a new classification tool (as in exhibit

5–3 above) might use staff who like the new tool to teach those who are less

enthusiastic. This is particularly effective when staff members assigned to teach

are highly regarded by their coworkers.

Management-related reinforcement. The manager’s job is to ensure that reinforcement for the desired behavior occurs at the appropriate frequency from the

sources that will most influence the employee. Effective managers see their job

as overseeing the planning and delivery of reinforcement. By using all of the

organization’s assets to reinforce desired behaviors, a manager can avoid being

spread too thin.

Common Mistakes in Positive Reinforcement

Some of the most common mistakes in using positive reinforcement include:

■ Choosing the wrong reinforcement. Managers often reinforce with what they

would like, not with what the employee will appreciate.

■ Using reinforcers that are not directly dependent on the behavior. For

example, because all employees get fringe benefits whether they perform well

or not, fringe benefits are not a reinforcer.

■ Not reinforcing soon enough. People need to be reinforced while performing

the positive behavior. Waiting until much later is not as effective. This is why

peers can be so powerful: they see the behavior and comment immediately.

■ Not reinforcing frequently enough. Annual, quarterly, and monthly reinforcement is not enough. Managers must reinforce when the behavior occurs

and they must reinforce often.

■ Making employees compete for positive reinforcement. Competition for

positive reinforcement is counterproductive. No team that does not work

together ever wins.

102 ❘ Chapter 5
■ Hedging praise. No “buts.” Give positive reinforcement separately from

pointers, instruction, and/or prompts. For example, do not say, “I like what

you did, but you might consider . . . .”

■ Including negative comments. Last but not least, managers and supervisors

should forget what they probably learned in basic supervisory training about

wedging negative feedback between positive comments. Most managers are

taught to open with a positive statement, give the constructive (negative) reinforcement, and close with a positive statement. It is more effective not to pair

positive reinforcement with punishment. When criticism is necessary, it should

be short and to the point; later, the manager can remind the employee of the

positive feedback.

Aligning Personal and Professional Missions

Ultimately, a manager or supervisor should attempt to determine whether an

employee’s personal interests could be aligned with his or her work interests in

some way. Alignment between an employee’s personal and professional missions

brings the highest levels of motivation. Achieving this alignment requires knowing the whole person.

How people spend their time and energy in the community says a lot about their

core values. Learning what motivates an employee outside work provides clues

about what will motivate that person at work and helps a manager align the

employee’s personal and professional interests. For example, a manager who is

attempting to implement a new assessment tool wants to motivate a particular

probation officer to use the tool correctly. Having learned that this officer is

actively helping others in the community, the manager concludes that helping

others is a central value for the officer. The manager then gains the officer’s

acceptance of the new assessment tool by explaining how it will better serve

probationers.

The most highly motivated individuals have a high level of congruence between

their personal and professional missions and are able to devote their energy to

things they care about both at work and away from work. Managers who know

employees well enough to understand what they care about personally can help

them align their personal and professional values and missions.

Summary

By determining what motivates employees, managers can help them accomplish

more. Managers first must understand that motivating others is part of their job.

They also must understand that salary and good working conditions alone do not

motivate. By understanding what motivates an employee, a manager can find

ways to get that employee more deeply involved with the work. (In their book

Motivating Others ❘ 103
104 ❘ Chapter 5

For Your Improvement, Michael Lombardo and Robert Eichinger suggest that

managers try thinking of something they have accomplished—that they are

proud of—and then asking themselves how they were motivated to do this.)

When work creates an avenue for an individual to achieve and feel a sense of

accomplishment, it becomes the source of motivation. 

Individuals are motivated by different ideals, values, and desires. The manager’s

task is to learn what motivates each employee. This requires suspending judgment and viewing the work world from that individual’s perspective. This in turn

requires a willingness to understand the broader world of the individual. What is

important to that person in his or her entire life, not just work life? How can this

information help motivate the person at work?

Managers and supervisors need to understand themselves well enough to see

what behaviors they are rewarding in the work setting and to know whether they

are relying on positive or negative reinforcement. To motivate others, managers

and supervisors must be willing to learn how to change their supervisory style

and tactics if necessary. Ultimately, openness to learning is the key to being able

to motivate others.

Key Skills and Behaviors

What Motivates? 

Skill: Understanding what factors affect job satisfaction and dissatisfaction.

Behaviors:

■ Identify security factors.

■ Identify motivating factors.

Skill: Ensuring that security and motivation needs are addressed in the

workplace.

Behaviors:

■ To reduce dissatisfaction, ensure that security factors for employees are met

in the workplace.

Skill: The ability to do something well, arising from talent, training, or

practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
Motivating Others ❘ 105

■ Provide opportunities for employees to increase the motivating factors in

their work.

Hiring Motivated Employees

Skill: Establishing the best team first and then focusing on issues of vision and

mission.

Behaviors:

■ When hiring, focus not only on technical skills (e.g., job experience and

readiness), but also on issues of character (e.g., work ethic and motivation).

■ If you make a mistake in hiring, acknowledge it and correct it. Do not let

unmotivated employees pass their probationary period.

■ If reasonable efforts to motivate an unmotivated employee have failed, remove

the employee as quickly as possible.

Behaviors That Motivate 

Skill: Employing the consequence that reinforces the desired behavior.

Behaviors:

■ Understand the four behavioral consequences and their effects.

■ Reward what you want done.

■ Focus on changing behavior, not placing blame.

■ Make the consequence immediate.

■ See the behavior through the employee’s eyes.

■ Reward with what the employee would want, not with what you would want.

Skill: Employing the ABC Model of Behavioral Change.

Behaviors:

■ Determine what sets the stage for a behavior to occur (antecedent).

■ Determine what a person does (behavior).

■ Determine what happens as a result of the behavior (consequence).

Skill: Using negative reinforcement when compliance is all that is desired.

Behavior: Look for indicators that negative reinforcement is being used

appropriately.
106 ❘ Chapter 5

Skill: Using positive reinforcement to affect motivation.

Behaviors:

■ Structure work so that it addresses employees’ interests.

■ Use peers to reinforce positive behaviors.

■ Plan for the delivery of reinforcement.

■ Celebrate success.

Skill: Supporting the alignment of the personal and professional missions of

employees.

Behaviors:

■ Learn what activities and interests motivate employees outside the workplace.

■ Help employees see the congruence between their personal and professional

values and missions.
Motivating Others ❘ 107

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work 

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems 

development, their primary focus is and service delivery, and they monitor 

on working with internal stakeholders operations for compliance with 

to create the systems and services correctional agency/organization policy.

needed to implement correctional Supervisors work primarily with internal

agency/organization policy. Managers staff but may also represent the 

are above supervisors in the chain correctional agency/organization during

of command. interactions with customers/constituents

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps

• Corrections Unit or Program above line or entry-level positions in the

Manager. correctional agency/organization.

• Deputy Jail Administrator.

• Capital Programs or Correctional Typical titles of supervisory positions:

Industries Administrator. • Adult or Juvenile Correctional Housing

• Probation, Parole, Community Unit Supervisor.

Corrections, or Community • Probation, Parole, Community

Sentencing Department Head or Corrections, or Community Sentencing

Regional/District Manager. Supervisor.

• Interstate Compact Administrator. • Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Focus Areas

What Motivates? • Managers should first see it as their • The supervisor’s task is identical to the 

job to understand the true nature of manager’s. Most supervisors have 

the workplace. Next, they should people reporting directly to them. If 

attempt to understand from the they take on program oversight and 

employee’s perspective what is work with employees outside their unit,

motivating or blocking motivation they must also address the more 

in the workplace. complex environment.

• Some managers do not have staff

reporting to them but are in charge 

of programs. They coordinate the 

efforts of staff who report to others. 

Although this adds a level of

complexity, the task of understanding the nature of the work

setting remains the same.

Appendix 5–1. Focus Matrix for Managers and Supervisors:

Motivating Others
108 ❘ Chapter 5

Manager Supervisor

Focus Areas (continued)

What Motivates? • Once the work environment is 

understood, managers must work 

to reduce factors that block 

motivation and increase those that 

enhance motivation.

• When coordinating staff who report 

to others, managers have to work 

through the other managers and 

supervisors to reduce the dissatisfying 

factors and to increase the motivating 

factors.

Hiring Motivated • Managers must work with the 

Employees human resources representative to 

ensure that, in addition to technical 

and education issues, the hiring 

process also focuses on character 

and work ethic. This should not be 

construed to mean that managers 

should attempt to hire people who 

share their own strengths and weaknesses; rather, they should look for 

people who share their core values.

• Once reasonable measures to motivate

have been taken, managers need to

remove employees who lack motivation before they have a negative 

effect on morale and productivity. 

Behaviors That • Managers need to understand the

Motivate effect their behavior has on the 

motivation of employees, including the effects of positive and 

negative reinforcement. Managers 

should know if and when they are 

reinforcing desired behaviors or

strengthening undesired behaviors.

• Managers should use negative 

reinforcement when gaining 

compliance is all that is needed.

Appendix 5–1. Focus Matrix for Managers and Supervisors:

Motivating Others (continued)

• Supervisors must work with the

human resources representative to

ensure that, in addition to technical and

education issues, the hiring process

also focuses on character and work 

ethic. This should not be construed to

mean that supervisors attempt to hire

people who share their own strengths

and weaknesses; rather, they should look 

for people who share their core values.

• First-line supervisors often do not have 

firing authority. They can engage managers up the chain of command to help 

them work with an unmotivated employee. Once reasonable measures to 

motivate have been taken, supervisors 

need to remove or initiate the process to 

remove employees who lack motivation 

before they have a negative effect on 

morale and productivity.

• Supervisors use the same strategies as

managers to motivate others.

• Supervisors need to understand the

effect their behavior has on the motivation of employees, including the

effects of positive and negative reinforcement. Supervisors should know if

and when they are reinforcing desired

behaviors or strengthening undesired

behaviors.
Resources

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the 21st

Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession Number

020474.

Collins, Jim. (2001). Good to Great. New York: Harper Collins.

Daniels, Aubrey C. (1999). Bringing Out the Best in People. New York:

McGraw-Hill.

Hersey, Paul, Kenneth H. Blanchard, and Dewey E. Johnson. (1996).

Management of Organizational Behavior. Upper Saddle River, NJ: Prentice Hall.

Herzberg, Frederick. ([1989] 2002). “One More Time: How Do You Motivate

Employees?” Harvard Business Review (Special Edition: People—Managing

Your Most Important Asset): 26–35. Boston: Harvard Business Review On Point

Enhanced Edition.

Kouzes, James M., and Barry Z. Posner. (2002). The Leadership Challenge. 3d

edition. San Francisco, CA: Jossey-Bass.

Motivating Others ❘ 109

Manager Supervisor

Focus Areas (continued)

Behaviors That • Managers should use positive 

Motivate reinforcement to motivate employees by structuring work so that 

it addresses employees’ interests 

and by using peers to reinforce 

positive behaviors.

• To successfully motivate employees,

managers should plan for the delivery 

of reinforcement and ways to celebrate success. 

• By learning which activities and 

interests motivate employees outside 

the workplace, managers can help 

employees see the congruence 

between their personal and professional values and missions. This 

task is more difficult when managers 

are working with employees who 

do not report to them and have 

limited interaction with them.

Appendix 5–1. Focus Matrix for Managers and Supervisors:

Motivating Others (continued)

• Supervisors should use negative reinforcement when gaining compliance is

all that is needed.

• Supervisors should use positive reinforcement to motivate employees by

structuring work so that it addresses the

employees’ interests and by using peers

to reinforce positive behaviors.

• To successfully motivate employees,

supervisors should plan for the delivery

of reinforcement and ways to celebrate

success. 

• Supervisors typically are well positioned to know which activities and

interests motivate employees outside the

workplace. Because they spend a great

deal of time with those who report to

them, supervisors have more opportunities than managers to learn about their

employees.
Lombardo, Michael M., and Robert W. Eichinger. (1998). For Your Improvement.

Minneapolis, MN: Lominger Limited, Inc.

Maslow, Abraham H. (1971). The Farther Reaches of Human Nature. New York:

Viking Press. 

Peters, Tom. (1987). Thriving on Chaos. New York: Alfred A. Knopf.

110 ❘ Chapter 5
Chapter 6

111

Developing Direct Reports

Marie Mactavish

This chapter addresses the role of managers and supervisors in developing

direct reports. After summarizing why direct report development is important

for organizations, the chapter describes the responsibilities of the organization,

management, and individual direct reports in ensuring that effective employee

development takes place. It outlines three stages of direct report development

(acquiring basic skills, enhancing performance, and preparing for future roles);

explains how managers and supervisors serve as coaches in the development

process; and discusses self-awareness and self-management as important factors

in direct report development. The chapter summarizes key skills and behaviors

that help managers and supervisors foster development in their direct reports and

presents a matrix (appendix 6–1) that shows the applicability of those skills and

behaviors to each of the two positions.

Definition 

Developing Direct Reports: A direct report is any individual who reports

directly to a supervisor or manager. Developing direct reports is the process of

helping individuals in an organization improve their knowledge and skills, so

they can perform well in their immediate assignments and be prepared for lateral

reassignments and opportunities for promotion. 

Knowledge Base

Why Should Correctional Managers and Supervisors

Develop This Competency?

People are an organization’s most valuable resource. In today’s knowledge

economy, the resources of an organization often reside in individual employees

or direct reports, not the organization itself. These knowledge workers possess

a wealth of valuable information. If an organization and its management do not

actively develop direct reports, a great disservice is done to all involved. 

For an organization or a group within an organization to attain maximum productivity, each employee must become a fully contributing member. The more

managers and supervisors nurture and develop their direct reports, the more

likely these employees are to stay with the organization and successfully

contribute to it.

The reservoir of

unused human

talent and energy is

vast, and learning

to tap that reservoir

more effectively is

one of the exciting

tasks ahead for

mankind. 

—John W. Gardner, 

On Leadership
112 ❘ Chapter 6

Joint Responsibility for Developing Direct Reports

The organization, managers, and direct reports all have a responsibility to

make direct report development successful. As noted by Michael Lombardo

and Robert Eichinger in For Your Improvement, direct report development is

grounded in a three-part harmony (see exhibit 6–1). First, the organization

must agree on the value it places on employees and then establish policies and

procedures to reflect that value. Second, managers need to take an active, committed role in developing their direct reports. Third, individual employees or

direct reports must be willing to make the effort necessary to gain new skills

and knowledge. When these parties work together, an optimal environment

exists for the individual employee or direct report to grow and develop in the

organization.

Organizational Responsibility

Valuing Direct Report Development

Organizations that operate under the premise that employees are their most valuable resource are more likely to promote training and development as a process.

As Stephen Covey explains in Principle-Centered Leadership, this approach

“views people as the most valuable organizational asset. Each person is recognized as capable of immense achievement.”

Viewing employees as its most valuable asset should lead an organization to

create congruent policies and mechanisms that ensure effective training and

development. These policies and mechanisms include:

■ Training managers and supervisors. Organizations should train managers

and supervisors to help direct reports understand their responsibilities and

perform successfully.

■ First-year training. The organization must train direct reports early in their

careers to ensure they acquire basic skills and knowledge. This includes an

understanding of the mission, values, and functions of the organization and

the knowledge necessary to work successfully within it. 

■ Rewards and recognition. Mechanisms must be in place to acknowledge

successful development. These mechanisms should recognize and reward

direct reports’ progress and encourage further development.

Create the kind 

of climate in your

organization where

personal growth

is expected,

recognized, and

rewarded. 

—Anonymous

Who Shares Responsibility for Direct Report Development?

• The organization.

• Managers.

• Employees (direct reports).
Developing Direct Reports ❘ 113

Three Stages of Direct Report Development

Organizations should ensure that direct reports move through three stages of

development over the course of their employment: acquiring basic skills,

enhancing performance, and preparing for future roles. Each stage improves

the performance and effectiveness of the direct report and benefits the organization. This three-stage model is an ideal system. Although organizations and

managers often fall short of this ideal, direct report development without such

a model will occur only haphazardly. 

Exhibit 6–1. Joint Responsibility for Developing Direct Reports

Source: Michael M. Lombardo and Robert W. Eichinger, For Your Improvement, Minneapolis, MN:

Lominger Limited, Inc. Copyright © 1996, 1998, 2000, 2002–2004 by Robert W. Eichinger and

Michael M. Lombardo. All rights reserved.

The organization 

values employees 

as a vital resource 

and supports 

the three stages of 

development. 

The manager sees 

his or her role as an 

individual developer 

and establishes a

coaching relationship.

Direct reports take responsibility

for understanding job 

requirements and self-managing 

their development needs 

and interests. 

When these three facets of 

development work together, 

optimal employee performance 

and growth occur. 
Acquiring Basic Skills

Both new hires and employees moving into supervisory and management positions need to acquire basic skills to function in the organization or in their new

position. This stage of career development should do the following:

New Hires

■ Provide orientation to the organization. Employees should learn about the

organization’s vision, mission, values, policies, and procedures. 

■ Teach knowledge and skills for current tasks. Employees should learn the

specifics of their job and how their job relates to the larger organization.

■ Create opportunities for practice and feedback. As new employees learn

their jobs, the organization needs to provide situations for practicing skills

so the employees can get feedback on their performance.

■ Set clear, measurable performance standards. New employees need to

understand specifically what is expected of them.

■ Establish periodic performance appraisals. The organization should require

managers or supervisors to rate each new direct report periodically on the

technical aspects of the job and on factors such as initiative, leadership,

judgment, and ability to work as part of a team.

Line-Level Employees Moving Into Supervisory Positions

■ Help individuals make the transition to management. Moving from being a

member of the group to being the leader with authority and responsibility for

the group is among the most challenging situations in a person’s career. The

organization should offer support to facilitate the process and minimize

problems.

■ Identify new expectations. The organization needs to help new supervisors

change their focus from performing tasks to getting things done through

others. 

■ Create opportunities for practice and feedback. New supervisors and their

managers need to use supervisory situations as skills practice, so the supervisors can get feedback on their performance.

114 ❘ Chapter 6

Stages of Direct Report Development

• Acquiring basic skills.

• Enhancing performance.

• Preparing for future roles. 
■ Establish new performance criteria. Examples of new skills needed for

effective performance in supervisory positions include delegation, conflict

management and mediation, budgeting and planning, and seeing the big

picture.

■ Ensure periodic performance appraisal. The organization should require

managers to establish a mentoring relationship with a new supervisor to give

effective feedback on interpersonal and leadership skills.

Enhancing Performance 

New hires and experienced employees, as well as new and existing supervisors

and managers, need to further develop specific skills to reach peak performance.

Correctional agencies/organizations routinely mandate some types of training,

such as CPR and weapons qualification. They also need to identify other, often

overlooked skills—such as conducting effective meetings, delegation, interpersonal skills, and conflict management—that are essential to meeting the many

challenges in any correctional agency/organization. The process of developing

new skills should include the following:

■ Identify a specific skill area.

■ Agree on a learning method for improvement.

■ Practice and receive feedback.

■ Increase awareness of the effects of performance on others.

■ Measure change within a well-defined timeframe.

■ Recognize and reward skill enhancement.

Preparing for Future Roles

Direct reports who are functioning well in their current positions should continue development that prepares them for future responsibilities and promotions.

Also referred to as succession planning, this development stage promotes an

organizational culture that includes continually looking for individuals with

potential to fill managerial and leadership positions. This ongoing development

may be offered to individuals in nonsupervisory or supervisory positions. The

process of preparing employees for future roles should:

■ Be mutually created and agreed on by the direct report and the manager.

■ Offer the direct report a “big picture” view of future possibilities in the

absence of immediate advancement opportunities.

■ Provide 360-degree feedback or a similar mechanism for offering individuals

currently in managerial positions new perspective on their performance and

Developing Direct Reports ❘ 115
on areas that need improvement (see chapter 2, “Self-Awareness,” in

Correctional Leadership Competencies for the 21st Century: Executives

and Senior-Level Leaders for a discussion of 360-degree feedback).

■ Continually offer new learning opportunities both inside and outside current

job responsibilities.

Comparing Stages of Direct Report Development

Exhibit 6–2 compares the three stages of direct report development, including

reasons or goals, knowledge gained, results, and type of appraisal system used. 

Managerial Responsibility 

Managers must assume a number of roles in their jobs—team builder, conflict

manager, fiscal manager, planner, and others; all are important and all require

attention. Among their many roles, managers must develop their direct reports.

Although widely recognized, this role is practiced less often than others.

Managers have a responsibility to develop people who report to them. In the

most effective organizations, managers will even work to develop employees

who report to other managers. Management experts have emphasized this role.

For example, Oscar Mink and colleagues, in their book Developing and Managing Open Organizations, note that managers can help direct reports and other

employees develop their critical thinking, analysis, problem-solving, planning,

and evaluation skills. In For Your Improvement, Lombardo and Eichinger say

that a manager has the responsibility to help design career paths, act as a

116 ❘ Chapter 6

Spectacular

achievement is

always preceded 

by spectacular

preparation.

—Robert H. Schuller,

Clergyman

Exhibit 6–2. Comparing the Three Stages of Direct Report Development

Acquiring Basic Skills Enhancing Performance Preparing for Future Roles

Reason or goal Orient new hires to their Improve performance in a Prepare direct reports for

position and the specific skill area. promotion, advancement.

organization.

Knowledge Basic knowledge and Improvement in specific areas. Knowledge and skills

gained skills for new tasks. “Doing a better job at . . . .” necessary for advancement.

“How things are done “You’re now ready to take

here.” on . . . .”

Results Satisfactory Improved performance. Expanded knowledge, with 

performance. focus on advancement. 

Appraisal system Traditional (agreed-on Traditional (agreed-on Development (360-degree 

performance criteria). performance criteria) and/or feedback or similar review

development (360-degree mechanism).

feedback).
resource person, and provide feedback. Managers should dedicate time throughout the year to helping each direct report develop in meaningful ways and

improve his or her job knowledge and performance.

To do this, managers should understand that most individuals are intrinsically

motivated by their work, rather than needing to be coaxed or coerced to work

productively. (For a more detailed explanation, refer to Management of Organizational Behavior, by Paul Hersey, Kenneth Blanchard, and Dewey Johnson.)

However, managers and supervisors in correctional agencies/organizations need

to recognize that correctional officers and staff often perform monotonous and

routine tasks that can dampen the motivation even of dedicated employees (see

chapter 5, “Motivating Others”). Assuming the best—i.e., that people value a

sense of accomplishment, personal growth, and pride in contributing to the

organization—enables a manager to take on the role of helping individual direct

reports develop their abilities.

Directive and Collaborative Approaches

In developing their direct reports, managers must be able to move between two

broad interaction strategies: directive and collaborative. In using both strategies,

managers must avoid personal ego issues that sometimes arise when employees

are promoted to management positions. The two approaches are discussed below

and illustrated in exhibit 6–3.

Directive Approach

Direct reports need different kinds of supervision at different stages in development. When a direct report needs to learn basic skills and knowledge, a manager

may need to be more directive in giving feedback and setting goals. This approach does not have to involve negative coercion; rather, it can be positive and

straightforward, addressing behaviors that need correction. 

Collaborative Approach 

Once a direct report is performing satisfactorily and is competent and confident

in the position, a manager may need to use a more collaborative style to encourage further development. 

Coaching

From a coaching perspective, a manager’s development of a direct report

involves a deeper relationship with the employee, one that encompasses both

performance goals and career paths. The concept of “manager as coach” is still

a new style of interaction in the correctional environment, requiring managers

to move away from traditional paramilitary culture and be clear and emphatic

about open relationships. 

Developing Direct Reports ❘ 117

Despite the commonly held belief

that every leader

needs to be a good

coach, leaders tend

to exhibit this style

least often. In these

high-pressure, tense

times, leaders say

they “don’t have

the time” for coaching. By ignoring

this style, however,

they pass up a powerful tool.

—Daniel Goleman,

Richard Boyatzis, and

Annie McKee,

Primal Leadership:

Realizing the Power of

Emotional Intelligence
The Coaching Relationship

For managers to be successful coaches, they should understand the following

aspects of the coaching relationship:

Designing a relationship. Because individual employees are the main resource

of organizations, managers engaged in developing direct reports need to focus on

designing and maintaining strong relationships with them. The relationship does

not have to be social, but it must be based on mutual trust and respect. Such relationships motivate direct reports to continue their development. 

Setting clear expectations. Managers must provide their direct reports with

clear job descriptions and performance criteria. It is also critical that each

employee understands the values, vision, mission, and cultural norms of the

organization. 

Providing training opportunities. Individuals need training and learning opportunities both on the job and in the classroom. 

Giving clear feedback. Managers must provide clear, timely, honest feedback

on job performance.

118 ❘ Chapter 6

Exhibit 6–3. Managerial Approaches to Developing Direct Reports

Directive

Approach

Collaborative

Approach

Directive Collaborative

Basic Skills

Development

Performance

Development

Future Roles

Development
Attending to immediate and future skill needs. Managers tend to focus primarily on developing employees’ basic job skills, forgetting that employees want

and need development of skills and capabilities for use in future roles. A successful manager attends to both.

The Five Managerial Coaching Skills

Although a manager needs many skills to function successfully, five specific

skills are essential for effective development of direct reports:

Appraisal. As Lombardo and Eichinger note in For Your Improvement, managers

cannot develop direct reports without being willing to give honest appraisals.

Managers should be proficient in three areas of appraisal:

■ Assessing skills and knowledge. Managers need to appraise the technical

aspects of job performance.

■ Assessing interpersonal skills. According to the Center for Creative

Leadership’s Benchmarks Facilitators Manual, ineffective interpersonal skills

have been found to be a main cause for career derailment.

■ Assessing how the job fits. Managers must also be aware that a direct report

may not be suited for his or her current position. After appraisal, a manager

may decide that moving the employee to a new position, assignment, or unit

may be the best way to help that employee develop. As termination in government organizations only happens in extreme cases, managers must fully

explore the options for reassignment to a position where the direct report may

be better suited to contribute. 

Listening. Managers who successfully develop their direct reports know how to

listen skillfully. Characteristics of skilled listening include practicing attentive

and active listening, having patience to hear people out, and accurately restating

the opinions of others (even when one disagrees). Unskilled listeners prepare

their own response when others are speaking, cut people off, offer a premature

Developing Direct Reports ❘ 119

Managerial Coaching Skills

• Appraisal.

• Listening.

• Questioning.

• Giving feedback.

• Planning and goal setting.
solution, or appear disinterested. (For guidelines on active listening, see

chapter 4, “Oral and Written Communication.”)

Questioning. Managers who ask powerful questions evoke clarity, discovery,

and insight. Powerful questions are open ended and do not elicit a yes or no

answer. They hold the employee’s interest and either forward the action or

deepen the understanding of the issue.

Giving feedback. Managers who successfully develop their direct reports give

feedback that is specific, frequent, and timely. They offer feedback both when

developmental opportunities arise and when an employee needs to improve performance by modifying behavior. Feedback should be kept simple.

Planning and goal setting. Effective managers help their direct reports take

time to reflect on their careers and then clarify the direction they need or wish to

take. This process involves setting specific goals and objectives that are meaningful and achievable and then identifying realistic strategies to match each goal.

Effective managers also monitor individual employees’ progress toward achieving their goals.

Employee (Direct Report) Responsibility

It is critical that direct reports take an active role in their own development.

Without such cooperation, direct report development cannot happen. Therefore,

during the development process, managers can reasonably expect their direct

reports to have, or work diligently to obtain, an understanding of job responsibilities and emotional intelligence.

Understanding Job Responsibilities

Direct reports must take the initiative to understand their job and performance

responsibilities and keep that understanding current. Employees should take full

advantage of training opportunities, both formal and informal, to develop competence in their jobs with the support of their manager.

Emotional Intelligence

Daniel Goleman’s groundbreaking work, Emotional Intelligence, has generated

an appreciation of the idea that those who know how to understand and manage

themselves and their relationships are more successful in the workplace. His

model of emotional intelligence identifies four areas of competence: selfawareness, self-management, social awareness, and relationship awareness. Two

areas of particular importance to direct report development are self-awareness

and self-management. To move along successfully in their careers and contribute

120 ❘ Chapter 6

People who are

unable to motivate

themselves must be

content with mediocrity, no matter

how impressive

their other talents.

—Andrew Carnegie
Developing Direct Reports ❘ 121

to the organization, direct reports must be self-aware and must be able to selfmanage. The personal competence model in Goleman and colleagues’ Primal

Leadership: Realizing the Power of Emotional Intelligence identifies the following elements of self-awareness and self-management:

Elements of Self-Awareness

■ Being aware of one’s emotions and the effect they have on decisionmaking

and work practices.

■ Evaluating oneself honestly and accurately.

■ Having confidence in one’s capabilities.

Elements of Self-Management

■ Maintaining self-control.

■ Acting with honesty and integrity.

■ Adapting to new and challenging situations.

■ Showing initiative in new opportunities.

■ Being optimistic.

Summary 

Developing direct reports is a critical part of an organization’s success. Most

organizations view individual employees as a valuable resource, yet employee

development is often overlooked or not fully addressed. When done well, it

engenders greater loyalty to the organization and enables employees to reach

their full potential and make the greatest contribution to the organization.

Successful direct report development requires that:

■ Organizations value development and create mechanisms and systems to

support it.

■ Managers recognize their roles as coaches. 

■ Direct reports take an active role in their own development.

When the organization, manager, and direct report share joint responsibility,

successful direct report development is likely to occur.
Key Skills and Behaviors

Organizational Responsibility

Skill: Demonstrating organizational support for direct report development.

Behaviors:

■ Offer training opportunities that will increase managers’ skills in developing

their direct reports, such as delegation, conflict management, and interpersonal

skills.

■ Establish reward and recognition mechanisms that acknowledge the progress

of direct reports and encourage further development.

Managerial Responsibility

Skill: Conducting an effective appraisal of a direct report.

Behaviors:

■ Spend time observing the direct report in work situations.

■ Identify strengths and weaknesses specific to job requirements.

■ Compare performance to established performance measures.

Skill: Demonstrating the elements of skilled listening.

Behaviors:

■ Listen for understanding before offering opinions, and be willing to consider

others’ points of view.

■ Rephrase what was said to ensure understanding.

Skill: Understanding the value of asking powerful questions.

Behaviors:

■ Use open-ended questions that generate self-reflection and understanding.

■ Ask further questions on a topic to gain deeper understanding.

122 ❘ Chapter 6

Skill: The ability to do something well, arising from talent, training, or practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
Skill: Giving effective feedback.

Behaviors:

■ Offer feedback related to specific behavior.

■ Give timely feedback related to an observed behavior.

■ Offer frequent positive and constructive criticism to support performance.

■ Relate feedback to immediate performance or to a developmental opportunity.

Skill: Setting goals effectively with direct reports.

Behaviors:

■ Discuss goals with employees.

■ Create mutual agreement on the actions to be taken.

■ Solicit agreement on strategies to achieve goals.

■ Establish a measure/standard to provide accountability.

Employee (Direct Report) Responsibility 

Skill: Taking responsibility for learning immediate job skills as well as learning

for future opportunities.

Behaviors:

■ Seek to learn all facets of job responsibilities. 

■ Take advantage of opportunities to learn skills beyond those required for the

immediate job.

■ Actively engage in self-awareness opportunities and effective 

self-management.

Developing Direct Reports ❘ 123
Manager Supervisor

Position Overview

Managers are often in classified 

positions that report to senior-level 

leaders. Although they may advise 

senior-level leaders about policy 

development, their primary focus is 

on working with internal stakeholders 

to create the systems and services 

needed to implement correctional 

agency/organization policy. Managers 

are above supervisors in the chain of 

command.

Typical titles of managerial positions:

• Corrections Unit or Program 

Manager.

• Deputy Jail Administrator.

• Capital Programs or Correctional 

Industries Administrator.

• Probation, Parole, Community 

Corrections, or Community 

Sentencing Department Head or 

Regional/District Manager.

• Interstate Compact Administrator.

124 ❘ Chapter 6

Appendix 6–1. Focus Matrix for Managers and Supervisors:

Developing Direct Reports

Supervisors manage staff who work

directly with the client or customer/

constituent group. They make recommendations to improve systems and

service delivery, and they monitor operations for compliance with correctional

agency/organization policy. Supervisors

work primarily with internal staff but may

also represent the correctional agency/

organization during interactions with

customers/constituents and external

agency staff. Supervisory positions are

typically one or two steps above line or

entry-level positions in the correctional

agency/organization.

Typical titles of supervisory positions:

• Adult or Juvenile Correctional Housing

Unit Supervisor.

• Probation, Parole, Community

Corrections, or Community Sentencing

Supervisor.

• Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Focus Areas

Organizational • Focuses on enhancing skills and • Focuses on supporting basic skill

Responsibility performance, preparing employees development of line-level employees. 

to become supervisors, and developing

new supervisors.

Managerial • Develops coaching relationship with • Develops coaching relationship with

Responsibility direct reports. direct reports.

• Sets clear performance expectations. • Sets clear performance expectations.

• Provides training opportunities. • Provides training opportunities.

• Gives clear feedback. • Gives clear feedback.

• Attends to immediate and future • Attends to immediate and future skill 

skill needs. needs.

• Understands job responsibilities. • Understands job responsibilities.

• Demonstrates commitment to • Demonstrates commitment to

self-awareness and self-management. self-awareness and self-management.
Developing Direct Reports ❘ 125

Resources

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the 21st

Century: Executives and Senior-Level Leaders. Washington, DC: U.S. Department of Justice, National Institute of Corrections, NIC Accession Number

020474.

Center for Creative Leadership. (2000). Benchmarks Facilitators Manual.

Greensboro, NC: Center for Creative Leadership.

Collins, Jim. (2001). Good to Great. New York: HarperBusiness.

Covey, Stephen R. (1990). Principle-Centered Leadership. New York: Simon &

Schuster.

Gardner, John W. (1990). On Leadership. New York: Free Press.

Goleman, Daniel. (1995). Emotional Intelligence. New York: Bantam Books.

Goleman, Daniel, Richard Boyatzis, and Annie McKee. (2002). Primal Leadership: Realizing the Power of Emotional Intelligence. Boston: Harvard Business

School Press.

Hersey, Paul, Kenneth H. Blanchard, and Dewey E. Johnson. (1996). Management of Organizational Behavior. Upper Saddle River, NJ: Prentice Hall.

Hughes, Richard L., Robert C. Ginnett, and Gordon J.Curphy. (1996). Leadership: Enhancing the Lessons of Experience. Chicago: Irwin.

Lombardo, Michael M., and Robert W. Eichinger. (1998). For Your Improvement.

Minneapolis, MN: Lominger Limited, Inc.

Mink, Oscar G., James M. Shultz, and Barbara P. Mink. (1979). Developing and

Managing Open Organizations. Austin, TX: OHRD Associates, Inc.

Stein, Steven J., and Howard E. Book. (2000). The EQ Edge: Emotional Intelligence and Your Success. Toronto: Stoddart.

Whitworth, Laura, Henry Kimsey-House, and Phil Sandahl. (1998). Co-Active

Coaching. Palo Alto, CA: Davies-Black Publishing.
Managing Conflict

Marie Mactavish

This chapter addresses the role of managers and supervisors in managing interpersonal conflicts in the workplace. After summarizing why the ability to

manage conflict is important, the chapter outlines six sources of conflict (relationships, data, interests, structure, values, and resources) and suggests selfassessment tools that can help managers and supervisors understand their own

response to conflict. The chapter then presents guidelines to help managers and

supervisors manage conflict with their boss, direct reports, and colleagues;

mediate conflicts between direct reports; and facilitate conflict management

in a team setting. Finally, the chapter summarizes key skills and behaviors for

effective conflict management and presents a matrix (appendix 7–1) that shows

the applicability of those skills and behaviors to each of the two positions.

Definition

Conflict: As defined by Joyce Hocker and William Wilmot in Interpersonal

Conflict, conflict is an expressed struggle between at least two interdependent

parties who perceive a situation differently or have incompatible goals, are competing for scarce resources, or perceive interference from the other party in

achieving their goals.

Knowledge Base 

Why Should Correctional Managers and 

Supervisors Develop This Competency? 

Conflict can be useful in achieving objectives. If managed correctly, conflict can

productively leverage diversity, unify individuals around a common goal, promote cooperation, and encourage innovative solutions. However, not all conflict

leads to beneficial results. If managed poorly, conflict can decrease the desire to

work together and eventually break apart a group or organization. Effectively

managing conflict involves using its benefits while avoiding its pitfalls.

Conflict is a fact of life in both personal and professional arenas. Acknowledging and managing conflict are especially important in the workplace, as part of

efforts to create a safe mental and physical environment, avoid negative undertones, and sustain productivity. The inability of a manager or supervisor to

manage conflict may cause situations to escalate to the point where they can

adversely affect morale, result in disciplinary actions, and create a nonproductive work environment. In the most extreme circumstances, litigation may occur. 

Chapter 7

127

In the frank expression of conflicting

opinions lies the

greatest promise of

wisdom in governmental action.

—Louis D. Brandeis,

Associate Justice,

U.S. Supreme Court
128 x Chapter 7

In the workplace, conflict may exist between employees at all levels. The focus

of this chapter is on conflict management from the perspective of managers and

supervisors, who should use their methods of managing conflict to model the

ethic they wish to establish in the workplace. 

A study featured in the Harvard Business Review (“Management Time: Who’s

Got the Monkey?” by William Oncken and Donald Wass) found that managers

spent 42 percent of their time dealing with office conflict. Because so much

time is spent on this issue, learning conflict management skills is recognized as

a crucial element of effective management. 

Causes of Conflict

Conflicts in both interpersonal and interorganizational settings have six major

causes, having to do with relationships, data, interests, structure, values, and

resources.

Relationship conflicts. These conflicts are attributable to strong negative emotions, misperceptions, stereotypes, poor communication, or repetitive negative

behaviors. In organizations, people sometimes must work together even if they

have a history of relationship issues.

Problems with data. Conflicts can arise when people lack the information they

need to make informed decisions, when they are misinformed, or when different

people interpret the same data differently.

Interest conflicts. Interest-based conflicts are caused by competition over

perceived or actual incompatible needs, such as:

n Substantive issues (money, physical resources, time, etc.). 

n Procedural issues (the way a dispute is resolved).

n Psychological issues (perceptions of trust, fairness, respect, etc.).

Causes of Conflict in Organizations

• Relationships.

• Data.

• Interests.

• Structure.

• Values.

• Resources.
Managing Conflict x 129

Structural conflicts. This kind of conflict involves disagreement about how

a situation is set up or how things are done (procedures). Limited physical

resources or authority, geographic or time constraints, or organizational factors

generally cause structural conflicts.

Differing values. Conflicts may arise when people have different value and

belief systems. This category of conflict includes disagreement over an organization’s vision, mission, goals, and objectives.

Resources (fiscal conflicts). These conflicts occur when resources are scarce

and each level and/or part of the correctional agency/organization tries to

obtain the resources it needs. Such conflicts are made worse during economic

downturns.

By examining the causes of a conflict according to these six categories, managers and supervisors can begin to determine the root of the problem. The better

they understand the causes of the problem, the more likely they are to resolve

it successfully.

Understanding One’s Own Response to Conflict

Using a self-assessment instrument is a good place for managers and supervisors to start in attempting to understand their own response to conflict. This

chapter discusses an approaches based on a conflict “lens.” Personality inventories may also be helpful in self-assessment. See chapter 2, “Self-Awareness,” in

Correctional Leadership Competencies for the 21st Century, Executives and

Senior-Level Leaders, and appendix 2–2 to that chapter, for more information

about self-assessment instruments.

Conflict LensTM

One key to understanding another person’s point of view is recognizing that

people interpret things somewhat differently based on their own previous experiences and observations. We all have different “lenses” through which we see

things.

The Conflict LensTM, a diagnostic tool developed by Creative Metrics, offers a

model to help managers and supervisors understand a variety of options for

resolving conflicts. That model, illustrated in exhibit 7–1, includes 10

dichotomies of behaviors and attitudes used in responding to conflict.

Managers and supervisors must understand how they relate to conflict before

they can skillfully manage conflict with others. Recognizing the behaviors people exhibit when responding to conflict helps managers and supervisors identify

tendencies that may hinder successful conflict resolution, and acknowledging

Speak when you

are angry and you

will make the best

speech you will

ever regret. 

—Ambrose Bierce, 

quoted in William Ury,

Getting Past No
different conflict resolution strategies can broaden their options and help them

identify ways to achieve constructive outcomes. 

When combined with skilled facilitation and training, the Conflict LensTM can

enhance managers’ and supervisors’ understanding of how they relate to conflict. Developing this self-awareness is a critical first step in successfully managing conflict with others.

130 x Chapter 7

Exhibit 7–1. Conflict Lenses

Alienate

Those who use alienation tend to focus only on the

issue at hand, ignoring the relationship aspects of

the conflict. Their goal is to settle the issue and not

be concerned with how the parties feel when the

conflict is over.

Intuit

When using intuition, it is preferable to get the

issues on the table, and then research facts if necessary. These individuals do not look for supporting

data until they know what the conflict is all about.

Stand Firm

Those who stand firm insist on getting their way.

They believe they have the right solution and are

willing to promote their ideas to the end.

Comply

Compliance means letting others have their way.

Behavior in this area tends to be nonassertive, unassuming, and accommodating. Compliant individuals

are known to give in quickly when conflicts arise. 

Egoize

People who are egotistical only see how a conflict

affects them and are primarily interested in serving

their own interests. To egoize means to put oneself

first without seeing, or attempting to see, the other

person’s point of view. 

Affiliate 

Those who consistently use high affiliation are

interested in maintaining relationships. They are

sensitive to the needs of others in a conflict situation

and try to present their views tactfully.

Analyze

Individuals who analyze try to collect all the facts

before addressing the issue. Being prepared with

relevant data is the key to this approach. 

Compromise 

In compromising, people are flexible and open to

alternative solutions. This involves maintaining

some interests but also giving up some to resolve

the conflict.

Control

Using control means taking charge of the situation

and expressing needs aggressively. Control focuses

on pushing an issue to resolution while insisting on

one point of view.

Empathize

Empathizing means trying to see the problem from

the other person’s point of view. These individuals

have good listening skills and look for common

ground. The ability to empathize is one of the most

important conflict resolution skills for constructive

problem solving.
The Roles of Managers and Supervisors 

in Conflict Situations 

Managers and supervisors play several different roles in conflict resolution,

depending on the people involved in the situation. The relationship and the level

of authority involved influence the role the manager or supervisor will likely

play in managing conflict. This section describes five situations commonly

encountered:

Managing Conflict x 131

Source: Creative Metrics, Conflict LensTM, Colorado Springs, CO: Creative Metrics, 1974.

Exhibit 7–1. Conflict Lenses (continued)

Engage

People who engage tend to be comfortable with

conflict and try to involve the other person in the

dispute constructively. They acknowledge a problem

exists and commit to solving it.

Own

Owning one’s part in a conflict means taking at

least part of the responsibility for creating a situation, as well as taking responsibility for solving the

problem.

Seek Support

Seeking support includes sharing concerns with others who are not directly involved in the conflict.

This includes gathering advice, asking for help in

thinking about the issues, and sometimes asking

others to become involved in the conflict resolution

process.

Self-Restrain

Self-restraint means keeping control of emotional

expressions. People who practice self-restraint have

the same feelings as people who emote, but they do

not become visibly upset. They approach the conflict calmly and rationally.

Trust

Trusting people have a general regard for and sense

of confidence in the other person involved in the

conflict. To trust is to believe in the basic good

intentions of the others involved.

Avoid

Avoiding means ignoring and withdrawing from the

conflict. People who use avoidance keep their viewpoints inside. They become anxious in the face of

disagreements and will not talk about the issue.

Blame

People who cast blame find it difficult to see their

role in creating a conflict. They may even see the

conflict as essentially no one’s fault (“stuff happens!”), but this is still an attempt to project responsibility away from themselves. 

Go Solo

Going solo means handling the problem alone.

People who go solo value their independence and

self-sufficiency and believe that others’ opinions

may not be relevant when dealing with an issue. 

Emote

Emoting refers to displaying emotional behavior

during conflict, expressing anger, frustration, and

distress—often by shouting or using physical gestures such as pounding on the table, shaking a fist,

or pointing fingers. 

Distrust

Distrusting is believing that the other person has

only his or her own interests at heart or is actively

trying to do harm. Like trust, this is not a reflection

of behaviors as much as it is a set of beliefs about

the other person. 
n Managing conflict with the boss. Subordinate role is clear in the

relationship.

n Managing conflict with direct reports. Authority role is clear in the

relationship. 

n Managing conflict with colleagues. Authority is equal in the relationship. 

n Mediating between direct reports. The manager or supervisor acts as a third

party, playing a neutral role while having authority. 

n Facilitating conflict resolution in a team setting. The manager or supervisor

plays the role of the team leader with authority.

Managing Conflict With the Boss

Managing conflict with the boss is an integral part of a manager’s or supervisor’s success. Perhaps the most effective approach is to work at preventing such

conflict. Although much attention is given to building and maintaining effective

relationships with direct reports (see chapter 6, “Developing Direct Reports”),

building and maintaining an effective relationship with a boss is equally

important. 

The relationship between a manager or supervisor and his or her boss, if not

consciously developed, could become strained to the point of conflict. John

Gabarro and John Kotter’s groundbreaking work “Managing Your Boss” created

a new understanding of the importance of that upward relationship—a relationship that enhances not only a manager’s or supervisor’s own success but also

that of the manager’s and supervisor’s department. Managing the boss is a simple matter of understanding each other’s strengths, weaknesses, and interests

and openly communicating goals and expectations to work together effectively

and efficiently. Exhibit 7–2 summarizes how managers and supervisors can

build and maintain effective relationships with their bosses.

Managing Conflict With Direct Reports

Based on their position, managers and supervisors have the authority and the

responsibility to accomplish tasks. However, if they abuse that authority when

interacting with their direct reports, they are likely to lose respect and trust.

Without that respect and trust, they will find it difficult to establish relationships

with integrity.

Managers and supervisors who consistently use an authoritative style will only

be able to influence a direct report with their position power. On the other hand,

if they take the time to listen to concerns and work through difficult issues with

employees, they are more likely to have both personal and position power and to

develop and maintain respectful relationships with their direct report (see chap132 x Chapter 7

Minds are like 

parachutes—they

only function 

when open.

—Thomas Dewar,

Whisky Baron
Managing Conflict x 133

ter 7, “Power and Influence,” in Correctional Leadership Competencies for the

21st Century: Executives and Senior-Level Leaders, for a discussion of the

greater effectiveness of personal power versus position power). Exhibit 7–3 is 

a tool that managers and supervisors can use in managing conflict with their

direct reports respectfully.

In managing conflicts with direct reports, managers and supervisors should take

the time to listen to concerns and maintain respectful relationships. If a solution

cannot be mutually agreed on, however, the supervisor or manager clearly has

the authority to make the final decision.

Managing Conflict With Colleagues

Although managers and supervisors spend a significant amount of time handling

conflicts with direct reports, they must also acknowledge and manage conflicts

with colleagues of equal authority. Managers and supervisors need to develop

the skills to negotiate with their colleagues in a way that addresses differences

while preserving the collegial relationship. Also, colleagues at the managerial

level are modeling methods of problem solving that direct reports may observe

and regard as a standard for their personal interactions.

Exhibit 7–2. Key Elements in Building and Maintaining an

Effective Relationship Between a Manager or

Supervisor and a Boss

Understand your boss Learn your boss’s goals, objectives, pressures,

and his or her context. strengths, weaknesses, and preferred work

style to reduce miscommunication and

ambiguous expectations.

Assess your needs as a Assess your own strengths, weaknesses, and

supervisor/manager. work style. Assess your predisposition to

authority in order to better understand your

reactions to your boss.

Develop and maintain Develop a relationship that fits both your 

an effective relationship. boss’s and your needs and work styles—one

that is characterized by mutual expectations.

Selectively use your boss’s time, and keep

your boss well informed. Base your relationship on honesty and dependability.

Source: Adapted from John J. Gabarro and John P. Kotter, “Managing Your

Boss,” Harvard Business Review, May–June 1993, pp 150–157. Boston:

Harvard Business Review On Point Enhanced Edition, 2002. Reprinted by

permission of Harvard Business Review. Copyright© 1968, 1989, 2002 by 

the Harvard Business School Publishing Corporation; all rights reserved. 
An important concept in negotiating conflicts with colleagues is the use of

position-based versus interest-based bargaining. 

134 x Chapter 7

Defining Negotiation

Negotiation is a bargaining relationship between two or more parties who 

have a perceived or actual conflict of interest. The participants commit to 

educating each other about their needs and interests, to exchange specific

resources, or to resolve one or more intangible issues. 

Source: Communication Decisions Results Associates, Conflict Resolution 

for Managers and Leaders, Boulder, CO: CDRA, 1994.

Exhibit 7–3. Steps for Dealing With Conflict Between a Manager or 

Supervisor and a Direct Report

1. Explain the situation as you Emphasize that you are presenting your perception of the problem. 

see it. Use specific facts and feelings. Use “I” statements when possible.

2. Describe how it affects Keep attention on the work-related problems and away from 

performance. personalities. Present the problem concretely, in a way that will 

be readily understood.

3. Ask for an explanation of Before proposing solutions, gather as much information as possible. 

the other person’s viewpoint. This confirms that you respect the other person’s opinion and need 

his or her cooperation. Listen carefully while he or she talks and be 

open to learning and changing. Paraphrase the other person’s concerns

and ask clarifying questions.

4. Agree on the problem. Summarize the various viewpoints and state clearly the problem that 

you and the other participant think needs to be solved. Ideally, it is 

best for the manager or supervisor and the direct report to agree on the

problem so they can more easily focus on developing solutions. However, if they cannot agree, the manager or supervisor has the rank to

define the problem at stake. 

5. Explore and discuss To ensure shared ownership of the problem’s resolution, all participants

possible solutions. in the conflict should be involved in developing solutions. Such synergy

may result in better solutions than any participant would have produced

alone. Ideally, participants will develop a solution mutually, but if they

cannot agree, the manager or supervisor has the authority to prescribe 

the solution.

6. Establish levels of account- Each person involved must clearly understand his or her role in the 

ability for each stakeholder solution and accept responsibility as an individual to make it work.

involved in resolving 

the problem.

7. Schedule a followup A followup meeting allows the manager or supervisor to evaluate

meeting. Establish clearly progress and make adjustments as necessary. People are much more 

defined benchmarks as likely to follow through if they know they will be held accountable 

appropriate. for their commitments at a followup meeting.
Position-based bargaining. This negotiating technique starts with a solution.

Parties propose solutions and make offers and counteroffers until they hit on a

solution that falls within their bargaining range. Position-based bargaining tends

to produce a win/lose situation.

Interest-based bargaining. This negotiating technique starts with developing

and preserving the relationship. The parties educate each other about their

needs, then jointly engage in problem solving on how to meet those needs.

This approach can be more efficient and productive than position-based bargaining. Exhibit 7–4 compares the attitudes involved in position-based and interestbased bargaining. 

Because interest-based bargaining reaches a solution that accommodates both

individuals’ needs, it is a preferable approach for managing differences. When

preparing for interest-based bargaining, it is important for both individuals to

define the specific needs they would like to have met. After identifying their

own interests, they should speculate on what the other person’s needs may be.

This preparation will facilitate the negotiation session.

Managing Conflict x 135

Exhibit 7–4. Comparing Attitudes in Position-Based and 

Interest-Based Approaches to Negotiating 

Conflicts Between Colleagues

Position-Based Interest-Based Bargainer’s 

Bargainer’s Attitude Attitude

The pie is limited; my goal The pie is not limited.

is to get the bigger piece.

A win for me is a loss for The goal is win/win.

you.

We are opponents. The needs of all parties must be addressed 

to reach agreement.

There is one right solution. We are cooperative problem solvers.

I must stay on the offensive. The relationship is important.

A concession is a sign There are probably several satisfactory 

of weakness. solutions.

Source: Roger Fisher and William Ury, Getting to Yes, Boston, MA:

Houghton Mifflin, 1981.
136 x Chapter 7

Exhibit 7–5 lists recommended steps for dealing with conflict between two

supervisors or managers with equal authority.

Conflict between managers or supervisors of equal authority is a particular

challenge because no one person in the conflict has the organization’s official

authority to make the final decision. Therefore, the skill of negotiating at this

level is especially important in managing differences. If these differences can

be managed well, then top leadership will not need to intervene.

Mediating Between Direct Reports 

Managers and supervisors ensure that delegated tasks are accomplished and are

responsible for ensuring satisfactory interpersonal relationships between their

direct reports. Sometimes conflicts arise between direct reports. There are times

when it is appropriate for the manager or supervisor to intervene, but sometimes

it is better to let employees work out conflicts themselves. Unfortunately,

many employees lack experience in conflict resolution and let differences go

unresolved.

Encouraging employees to work out differences and settle their own disputes is

important. When employees can effectively manage their own differences, managers and supervisors spend less of their own time intervening. However, the

following situations call for intervention by a manager or supervisor:

Exhibit 7–5. Steps for Negotiating Conflict Between Two 

Managers or Supervisors With Equal Authority

1. Establish rapport and set a positive tone. 

2. State the purpose of the negotiation.

3. Begin negotiating by educating one another on each person’s interests

(disclose and listen).

4. Frame the problem as a joint task to meet both individuals’ needs.

5. Look for ways to expand the pie (create value before value is claimed).

6. Generate multiple options for settlement. If options are not forthcoming,

go back and review the interests of both individuals. 

7. Evaluate the options on the basis of how well they meet the expressed

needs.

8. Select or modify options based on which one meets the most needs.

9. Develop a plan to implement the agreement by answering the questions

who, what, when, where, and how.
n The conflict has gone unresolved and begins affecting individual performance

and possibly the team’s performance. 

n The disagreement is between an assertive employee and a timid, less vocal

person.

n The conflict involves illegal conduct such as sexual harassment or a civil

rights violation.

Mediation is, in essence, negotiation with the addition of a third person who is

knowledgeable in effective negotiation procedures. The mediator helps people in

conflict coordinate their activities and bargain more effectively. Once managers

and supervisors learn negotiation skills, they can mediate as a third party

between two employees. Two aspects of the mediator’s role are critical:

n Neutrality. Mediators must maintain a neutral role. This includes acknowledging biases and making a conscious effort to set them aside. 

n Use of authority. If at all possible, mediators should facilitate an agreement between employees without using authoritative power. Calling on the

manager’s decisionmaking authority stretches the definition of a mediator’s

role. However, in a bureaucratic organization such as a correctional agency/

organization, some situations may escalate to a point where the manager or

supervisor must use positional authority to settle the dispute.

Exhibit 7–6 lists steps managers and supervisors can use in mediating a conflict

between two direct reports.

Managers and supervisors acting as mediators can improve interpersonal relationships on their team by helping direct reports resolve conflicts between themselves. This is an important function because unresolved conflicts can decrease

the productivity of individuals and the team.

Managing Conflict x 137

Defining Mediation

In its purest form, mediation is an intervention into a dispute or a negotiation

between others by an acceptable and neutral third party to help conflicting

individuals reach their own mutually acceptable settlement.

Source: Communication Decisions Results Associates, Conflict Resolution for

Managers and Leaders, Boulder, CO: CDRA, 1994.
138 x Chapter 7

Facilitating Conflict Resolution in a Team Setting 

Managers and supervisors are responsible for ensuring that their teams operate

in a cohesive manner. Conflicts within teams can hurt team performance and

employee morale. Managers and supervisors, therefore, need to know how to

resolve such conflicts in the team setting.

Defining Facilitation

Facilitation is the use of a third party who can provide procedural assistance

to group participants to enhance the exchange of information or promote

effective decisionmaking.

Exhibit 7–6. Steps for Mediating a Conflict Between Two Direct Reports

1. Make an opening statement.

• Extend a welcome and say words of encouragement.

• State the purpose of the session and the mediator’s role of neutrality.

• Explain what will happen.

• Assure the participants that confidentiality will be respected.

• Review ground rules and check for acceptance.

2. Give each participant uninterrupted time.

• Have each participant explain in objective terms what is happening and then state how he

or she feels about it, taking responsibility for his or her own feelings.

• Require each participant to use active listening and allow both sides to vent.

3. Structure an exchange between the individuals.

• Encourage deeper discussion of the issues, establishing the interests of each individual.

4. Build the agreement.

• Facilitate a discussion that focuses on practical considerations in resolving the conflict.

• Include specifics about the agreement: who, what, when, and how.

• Check for acceptance from both individuals.

5. Finalize the agreement.

• Write it down.

• Provide for the future by establishing means for following up.

6. Close the meeting.

• Thank participants.

• Evaluate.
Managers and supervisors of teams often are in the position of also playing the

facilitator’s role in team meetings. One of the most effective things they can do

in this role is to establish and uphold ground rules. Referring back to ground

rules can help the team reflect on what has been agreed on and commit to following the rules during the conflict resolution meeting. Exhibit 7–7 lists steps

managers and supervisors can follow as facilitators of conflict resolution in a

team setting. 

When faced with conflict in a team setting, managers and supervisors are

expected to play the role of facilitative leader. This means they must concentrate

on facilitating a process in which both sides in a dispute can express concerns

and come to an agreement. The facilitator may contribute ideas but should do so

in a way that does not dominate the discussion or push the group to his or her

point of view.

Summary 

Conflict is defined by Joyce Hocker and William Wilmot as an expressed struggle between at least two interdependent parties who perceive a situation differently or have incompatible goals, scarce resources, and interference from the

other party in achieving their goals. 

Managing Conflict x 139

Exhibit 7–7. Steps for Facilitating Conflict Resolution in a Team Setting

1. Set a positive, optimistic tone.

2. Revisit or establish ground rules to protect the process and the relationships of 

team members.

3. State the purpose of the problem-solving meeting.

4. Ask the parties about their needs and concerns. Try to get team members to 

disclose and listen.

5. Summarize what is stated. This includes listing key issues to be resolved and acknowledging

feelings, interests, and concerns.

6. Frame the problem as a joint task to meet both parties’ interests.

7. Ask parties for ideas to solve the problem.

8. Ask parties to evaluate the options based on how well their interests are met. 

9. Establish the agreement.

10. Help parties plan to implement the agreement by defining who, what, when,

and how.

11. Express appreciation for efforts and accomplishments.
140 x Chapter 7

Conflict can have a positive side. It can promote interpersonal understanding,

communication, problem solving, and positive changes for the parties involved.

Conflict in organizational settings has six major sources: relationship issues,

problems with data, interest conflicts, structural conflicts, differing values, and

resource needs. By examining the causes of conflict, managers and supervisors

can begin to determine the root of the problem.

The Conflict LensTM framework can help managers and supervisors understand

how they relate to conflict. Such self-awareness is a critical first step in becoming skillful at managing conflict with others.

The status of the individuals involved in the conflict situation influences the role

the manager or supervisor plays:

Managing conflict with a boss involves working to develop and maintain an

effective relationship that includes a mutual understanding of goals, pressures,

needs, and expectations. 

In managing conflict with direct reports, managers and supervisors should

take the time to listen to concerns and maintain respectful relationships. If a

solution cannot be mutually agreed on, the manager or supervisor clearly has

the authority to make the final decision.

Managers and supervisors also need to acknowledge and negotiate conflicts

with colleagues of equal authority. During the negotiation process, the parties

address differences while preserving the relationship.

When direct reports are in conflict with each other, managers and supervisors must first decide whether to intervene. If the situation calls for their intervention, ideally they will play a mediator role. Acting as a neutral third party

helps the direct reports resolve conflicts between themselves.

Managers and supervisors are also responsible for resolving conflict in

team settings, where it may be helpful for them to act as third-party facilitators.

Skills used in facilitating are similar to those used in negotiation and mediation,

e.g., establishing a positive tone, ensuring that all parties’ interests are

expressed, ensuring that agreements are clear and acceptable to both parties.

As noted earlier, self-awareness is the first step toward increasing competency

in the area of conflict resolution. Next, individuals can develop their knowledge

and skills in negotiation and mediation. Managers and supervisors can apply

these skills as they handle conflict within the organization. Understanding,

acknowledging, and managing conflict contribute to a more cohesive and productive work environment.
Key Skills and Behaviors

Managing Conflict

Skill: Using conflict effectively.

Behavior: Demonstrate openness and confidence to acknowledge and resolve

conflict. 

Understanding One’s Own Response to Conflict

Skill: Understanding your own responses to conflict.

Behaviors:

n Use conflict management self-assessment tools.

n Identify your personal history with conflict and your internal feelings and

thoughts about conflict.

n Accept and learn from the results of formal and informal assessments.

n Understand the types of behaviors associated with conflict.

Managing Conflict With the Boss

Skill: Maintaining an effective relationship with your boss by understanding the

boss’s needs and interests.

Behaviors:

n Learn the boss’s goals and needs. 

n Understand the boss’s pressures, strengths, and weaknesses.

n Understand your own strengths, weaknesses, and work style.

n Understand your reactions to authority.

n Develop a work style that fits the needs and style of both you and your boss.

n Use the boss’s time sparingly.

n Base the relationship on honesty and trust.

Managing Conflict x 141

Skill: The ability to do something well, arising from talent, training, or

practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
Managing Conflict With Direct Reports

Skill: Acknowledging and resolving conflict with direct reports.

Behaviors:

n Explain the situation and how it is affecting performance.

n Listen actively to the other person’s viewpoint.

n Confirm the mutual understanding of the situation.

n Explore and discuss possible solutions.

n Ensure that both parties understand their role in the solution; dictate the

solution only when necessary.

n Follow up for accountability.

Skill: Understanding how to use the authority of your position.

Behavior: Know when to step in; demonstrate a willingness to surface, resolve,

and follow up on conflicts.

Managing Conflict With Colleagues

Skill: Modeling effective negotiation techniques.

Behavior: Understand and use interest-based negotiation.

Skill: Knowing how to separate positions from issues.

Behavior: Define the problem without suggesting a solution.

Skill: Acknowledging and resolving conflict with colleagues.

Behaviors:

n Set a positive tone and state the purpose of the negotiation.

n Fully understand each party’s interest.

n Frame the problem as a joint task.

n Seek multiple options for resolution.

n Evaluate options and select the one that best meets both parties’ needs.

n Develop an implementation plan and follow through.

142 x Chapter 7
Mediating Between Direct Reports

Skill: Understanding when it is appropriate to intervene.

Behavior: Monitor the situation and allow employees to make their own

decisions and resolve conflicts whenever possible.

Skill: Mediating a conflict.

Behaviors:

n Set the ground rules.

n Listen actively to both sides.

n Structure the discussion between the parties and confirm their understanding

of the situation.

n Seek possible solutions and establish specifics.

n Allow the parties involved to agree on a resolution; finalize the agreement

in writing.

n Establish followup.

Facilitating Conflict Management in a Team Setting 

Skill: Knowing when to use third-party mediation.

Behaviors:

n Observe the team’s response to conflict. 

n Consider the implications of the conflict.

n Mediate the conflict.

Skill: Establishing ground rules of conflict management within the team.

Behaviors:

n Help the team establish ground rules and enforce them once established.

n Collectively agree on rules.

n When ground rules are broken, quickly clarify them and resolve the situation.

Skill: Facilitating conflict resolution.

Managing Conflict x 143
Behaviors:

n Set the ground rules for discussion.

n Identify the conflict.

n Listen actively to all sides; encourage all parties involved to participate.

n Summarize what is said to confirm the understanding of the situation.

n Seek ideas from the team for possible solutions.

n Have the team evaluate the proposed solutions and, if possible, make the

final decision (if necessary, the team leader can decide).

n Develop an implementation plan.

n Establish followup.

144 x Chapter 7
Managing Conflict x 145

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work 

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems 

development, their primary focus is on and service delivery, and they monitor

working with internal stakeholders to operations for compliance with 

create the systems and services needed correctional agency/organization policy.

to implement correctional agency/ Supervisors work primarily with internal

organization policy. Managers are staff but may also represent the 

above supervisors in the chain of correctional agency/organization during

command. interactions with customers/constituents

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps 

• Corrections Unit or Program above line or entry-level positions in the

Manager. correctional agency/organization.

• Deputy Jail Administrator.

• Capital Programs or Correctional Typical titles of supervisory positions:

Industries Administrator. • Adult or Juvenile Correctional Housing

• Probation, Parole, Community Unit Supervisor.

Corrections, or Community • Probation, Parole, Community 

Sentencing Department Head or Corrections, or Community Sentencing

Regional/District Manager. Supervisor.

• Interstate Compact Administrator. • Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Focus Areas

Understanding One’s • Managers need to understand how • Supervisors need to understand how 

Own Response to they generally respond to and they generally respond to and

Conflict manage conflict. manage conflict.

Managing Conflict • Managers who learn to understand • Supervisors who learn to understand 

With the Boss their boss’s needs and work style will their boss’s needs and work style will

increase the effectiveness of their rela- increase the effectiveness of their relationship and avoid conflicts due to tionship and avoid conflicts due to

miscommunication and ambiguous miscommunication and ambiguous 

expectations. In this way, conflict with expectations. In this way, conflict with 

the boss can be prevented, not merely the boss can be prevented, not merely

managed. managed.

Appendix 7–1. Focus Matrix for Managers and Supervisors:

Managing Conflict
146 x Chapter 7

Manager Supervisor

Focus Areas (continued)

Managing Conflict • Managers who effectively address • Supervisors who effectively address 

With Direct Reports conflict with direct reports establish conflict with their direct reports create 

a strong example of how their super- an environment of positive and open 

visors should handle conflict. communication.

Managing Conflict • Managers need to acknowledge and • Supervisors need to acknowledge and

With Colleagues manage conflict with peers. This manage conflict with peers. This 

reduces the time that a higher level reduces the time that a higher level

manager is required to spend resolving manager is required to spend resolving

others’ disputes. others’ disputes. 

• Positive conflict resolution between • Positive conflict resolution between

colleagues serves as a powerful role colleagues serves as a powerful role

model for others in the organization. model for others in the organization.

Mediating Between • Managers need to first allow • Supervisors need to first allow employDirect Reports employees to work out their conflicts ees to work out their conflicts on their

on their own. This will encourage own. This will encourage individuals

individuals to learn how to to learn how to communicate more

communicate more effectively effectively and how to collaborate.

and how to collaborate.

• Only in certain more serious situations • Only in certain more serious situations

should a manager intervene between should a supervisor intervene between

direct reports. When intervention is direct reports. When intervention is

necessary, managers need to use a necessary, supervisors need to use a

thoughtful mediation process. thoughtful mediation process.

Facilitating Conflict • Managers may serve as team leaders • Supervisors are likely to have only one

Management in a to multiple groups and cross-functional or two teams in which they serve as

Team Setting teams. Their direct reports may also team leader. Early in their own develbe team leaders. On both levels of opment, they need to learn the basics

interaction, managers have an oppor- of facilitating effective meetings and

tunity to mentor appropriate conflict handling team conflict.

resolution practices.

Appendix 7–1. Focus Matrix for Managers and Supervisors:

Managing Conflict (continued)
Managing Conflict x 147

Resources

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the

21st Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession

Number 020474. 

Communications Decisions Results Associates. (1994). Conflict Resolution for

Managers and Leaders. Unpublished training manual. Boulder, CO: CDRA.

Creative Metrics. (1974) Conflict LensTM. Colorado Springs, CO: Creative

Metrics. Available online at www.creativemetrics.com.

Fisher, Roger, and William L. Ury. (1981). Getting to Yes. Boston, MA:

Houghton Mifflin.

Gabarro, John J., and John P. Kotter. ([1993] 2000). “Managing Your Boss.”

Harvard Business Review (May–June): 150–157. Harvard Business Review

Onpoint Enhanced Edition.

Hocker, Joyce L., and William W. Wilmot. (1991). Interpersonal Conflict.

Dubuque, IA: Wm. C. Brown.

Kolb, Deborah M., and Judith Williams. (2003). Everyday Negotiation:

Navigating the Hidden Agendas in Bargaining. San Francisco: John Wiley

& Sons.

Oncken, William, and Donald L. Wass. (1999). “Management Time: Who’s Got

the Monkey?” Harvard Business Review (Nov.–Dec.): 75–80. 

Shell, G. Richard. (2000). Bargaining for Advantage: Negotiation Strategies for

Reasonable People. New York: Penguin.

Ury, William. (1993). Getting Past No. New York: Bantam Books.
Team Building

Marie Mactavish

This chapter addresses the importance of team building for correctional managers and supervisors. It first discusses the types of teams that are encountered

in the workplace. It then presents the 12 elements of successful work teams at

the managerial and supervisory levels of a correctional agency/organization—

clarity of purpose and goals, performance measurement, team leadership, trust,

team membership, defined roles and responsibilities, communication, decisionmaking process, managing meetings, stages of team growth, ongoing training,

and external support and recognition—and outlines key skills and behaviors

related to those elements. Finally, appendix 8–1 presents a matrix that applies

these elements to the responsibilities of correctional managers and supervisors. 

Definitions

What Is (and Is Not) a Team?

Team: A basic workplace unit wherein individual talents and abilities contribute

to a common purpose for which all are accountable. Teams are an important

workplace structure for accomplishing organizational goals.

Pseudo-Team: A group of two or more people who have a significant mutual

performance need or opportunity, but lack a focus on collective performance.

Although they may refer to themselves as a “team,” their lack of collective focus

and commitment will derail their performance.

Working Group: A group of two or more people from whom no joint performance need, accountability, work product, or service is expected. However, the

organization’s mission still drives their individual roles, responsibilities, and

performance needs. As noted by Jon Katzenbach and Douglas Smith in The

Wisdom of Teams, members come together primarily to share information, perspectives, and best practices and to make decisions together to help each other

perform within his/her area of responsibility.

Team Longevity

Teams may work together indefinitely as a unit within the larger organization or

come together to collaborate on a specific project. The two major team distinctions are:

■ Natural Work Team: The goals and deadlines of a natural (ongoing) work

team may be set to achieve more than one desired result and may therefore

have more flexibility than a project team. An ongoing work team works

together over longer periods of time and on more than one project. For 

example, a shift in a correctional institution is a natural work team.

Chapter 8

149
150 ❘ Chapter 8

■ Project Team: Unlike an ongoing work team, the project (temporary) team is

established to achieve a specific, short-term goal and is generally made up of

individuals from across the organization; for example, a committee formed to

review and rewrite an organizationwide policy. Project team milestones and

timelines are specific and have a definite ending date. 

Knowledge Base

Why Should Correctional Managers and Supervisors

Develop This Competency?

Developing a competency in team building is critical for correctional managers

and supervisors for three reasons:

■ Team performance influences overall organization performance. 

■ A large portion of management’s time is spent working in teams. 

■ Managers seeking to maximize their own potential need to develop skills

working with teams on a smaller scale before they advance to managing

multiple teams. 

Most organizations consist of a collection of groups. Correctional agencies/

organizations are no different. Successful organizations develop these groups

into cohesive teams that perform at high levels. An organization’s success

depends, in large part, on its ability to use teamwork to accomplish its mission.

Not only does the organization benefit from effective teamwork, individual managers also benefit from being skillful in team management. Studies suggest that

managers spend 50 to 80 percent of their time working in teams. Because many

managers feel that much of this time is unproductive, improving their ability to

lead teams becomes an obvious goal of managers and supervisors. Moreover, as

cited by Jean Brittain Leslie and Ellen Van Velsor in their 1996 report, A Look at

Derailment Today: Europe and the United States, studies done in the 1980s and

1990s on leadership “derailment” indicate that among the top three reasons

leaders’ careers stall is the inability to build and lead teams.

Successful teams, like individuals, require thoughtful development and support.

If a team is given sufficient attention and direction, great potential exists not

only for accomplishing its task, but also for individual and team learning opportunities. 

Elements of Successful Work Teams

Research on workplace teams continues to flood the management and leadership

literature. A review of that literature shows some common factors that differentiate successful from unsuccessful teams. Although the elements of a successful
Team Building ❘ 151

work team at the managerial and supervisory levels have a great deal in common with those at the executive and senior levels, the emphases placed on these

elements may differ, given the different levels of responsibility (i.e., for carrying

out the day-to-day operations of correctional institutions and agencies, as

opposed to forming high-level corrections policy and working with outside

stakeholders). The following are the elements of a successful work team at the

managerial and supervisory levels of a correctional agency/organization: clarity

of purpose and goals, performance measurement, team leadership, trust, team

membership, defined roles and responsibilities, communication, decisionmaking

process, managing meetings, stages of team growth, ongoing training, and external support and recognition. 

Clarity of Purpose and Goals

Every moment spent in developing and clarifying a team’s purpose, goals, and

expected results will save time and energy in planning and implementing the

team’s work. Successful teams have a clear purpose statement and set of goals.

The purpose provides the overall direction for the team, and goals and objectives give specific direction. Once a purpose statement has been developed and

goals and objectives have been set, process and outcome measurements can be

created, enabling team leaders and members to assess their own performance.

Develop a purpose statement. Developing a purpose statement is important to

team collaboration because the statement enables all team members to clearly

understand the team’s goals. A team’s purpose should be consistent with the

values, beliefs, vision, and mission of the correctional agency/organization.

Elements of Successful Work Teams

• Clarity of purpose and goals.

• Performance measurement.

• Team leadership.

• Trust.

• Team membership.

• Defined roles and responsibilities.

• Communication.

• Decisionmaking process.

• Managing meetings.

• Stages of team growth.

• Ongoing training.

• External support and recognition.
152 ❘ Chapter 8

The team’s purpose statement should convey a sense of the importance of the

team’s work, inspiring ownership and commitment by individual team members.

It may also include the values and beliefs of the team. The purpose statement

should articulate and direct the goals of the team toward accomplishing its ultimate intent by defining the “why,” “what,” “who,” and “how” of the team’s

direction:

■ Why defines the inspiration for the team’s creation or development and the

need for its existence.

■ What outlines team functions, products, and/or services.

■ Who identifies the client or other entity that benefits from the work of the

team.

■ How defines the methodologies, technologies, and activities the team uses to

reach its stated goals.

Identify goals. A team should have a well-defined set of goals and agreed-on

methods for achieving them. Identifying the team’s goals is key to achieving its

objectives. The goals statement should:

■ Elevate and challenge the members of the team as individuals and as a unit.

■ Outline a list of 9 to 12 goals that communicate what the team hopes to

achieve.

■ Clarify the expectations of the team and relate back to the purpose statement

with direction and specificity. 

Determine objectives. An objective is a statement of the desired, measurable

end results of the team’s goals. An objectives statement should:

■ Be fairly narrow in scope, including only activities that the team can reasonably and realistically expect to accomplish. 

■ Contain activities that are unique to the team and are measurable.

■ Contain two to four objectives that relate back to each goal.

Link performance measures to purpose, goals, and objectives. Once the purpose statement, goals, and objectives have been established, the team leader

and members can use them to develop performance measures and assess the

progress of the team. They can be used to monitor implementation processes

and measure results when appropriate, as discussed below. (See also chapter 13,

“Program Planning and Performance Assessment.”) 
Team Building ❘ 153

Performance Measurement

In today’s work arena, accountability is expected of leaders. Team leaders are

responsible for developing performance measures and for holding team members accountable for achieving the team’s purpose and goals. In most circumstances, team leaders should ask team members to help establish performance

measures, which include both process and outcome measures. By developing

and implementing monitoring strategies and measuring outcomes, a team provides the documentation that ensures accountability and creates credibility.

Process measures. Process measures monitor the tasks that produce a given

result. Process measurement focuses on two main evaluation areas:

■ Team members’ perceptions of internal team processes such as consistent

meeting agendas, team conflict resolution, and equitable participation by all

members. 

■ Team members’ perceptions of external services such as the number and/or

types of clients being served or number of training hours provided. 

Outcome measures. An outcome is the expected result of the team’s goals and

objectives: Did the team do what it was supposed to do? 

If a team is results oriented and the members hold themselves accountable, the

team is likely to achieve its purpose. As Michael Doyle and David Straus wrote

in their famous book, How To Make Meetings Work, if the team starts with the

end in mind it is more likely to achieve its goal.

Outcome success is determined by measuring results. From the beginning, it is

important to focus on team goals and objectives and constantly work toward

them. Teams should decide early on how they will measure success, so they can

make course corrections along the way. If procedures for measuring outcomes

are not developed or understood until the end of the process, the team will

lose the opportunity to change direction or improve its practices during

implementation. 

The following are examples of outcome measures for correctional institutions:

■ A human resources team has goals for reducing turnover and retaining

employees; the outcome could be a 10-percent reduction in annual attrition

rates.

■ An intensive supervision program (ISP) team might have a goal to increase

the percentage of offenders who successfully complete community supervision and placement; the outcome could be a 10-percent improvement in successful completion over the previous year.
For further explanation of performance measures, see chapter 13, “Program

Planning and Performance Assessment.”

Team Leadership

Team leaders have a responsibility to the correctional agency/organization

(external) as well as to the teams they oversee (internal). A team leader has an

overarching responsibility to be sure that the team’s purpose is clearly established and understood both internally, among team members, and externally,

among other critical stakeholders who operate outside the team but have a relationship to the team. Exhibit 8–1 illustrates how these internal and external

responsibilities interact with each other and with the purpose of the team, and

it provides the framework for the discussion to follow.

External Factors

External relationships. An effective team must interact with critical others,

such as other teams within the parent correctional agency/organization and

teams or groups from other criminal justice agencies/organizations and/or related

agencies (e.g., victim advocacy groups, mental/medical healthcare providers). 

Every project team should have a sponsor who charges the team with its purpose. The sponsor is often a member of the executive or senior-level team. From

time to time, the sponsor may need to meet with the team or the team may call

on the sponsor for more direction or clarification. The team leader should keep

in close communication with the sponsor regarding the team’s progress. 

Every leader of a natural work team is also a member of a higher level management team. It is critical for the team leader to be a communication link between

the two teams. 

Exhibit 8–1. Factors in Team Leadership 

TEAM LEADER

Source: Adapted from Thomas Isgar, The Ten Minute Team; Boulder, CO:

Seluera Press, 1989. Reprinted by permission of Dr. Thomas Isgar. 

External Factors

Team Focus on

External Relationships

(critical others)

Team Performance

Team Image

Internal Factors

Balance of Authority

Individual Performance

Problem Solving and

Conflict Resolution

Team Spirit

Trust

Purpose

154 ❘ Chapter 8

Leadership is 

the process of 

persuasion or

example by which

an individual (or

leadership team)

induces a group to

pursue objectives

held by the leader

or shared by the

leader and his or

her followers. 

—John W. Gardner, 

On Leadership
Team Building ❘ 155

Exhibit 8–2 illustrates a hierarchical “bureaucratic” organizational structure that

links top management to team leaders to functional teams to operational teams.

Many correctional organizations follow this traditional management structure. 

Team performance. The team leader is responsible for focusing the team on

setting, meeting, and evaluating its goals and objectives.

Team image. Team leaders have to believe in the concept of team building.

Leaders need to advocate for their team to critical stakeholders outside the correctional agency/organization as well as within the organization. 

Internal Factors

Balance of authority. A team leader has the ultimate accountability for the

team’s purpose and performance. A truly skillful leader knows when to assert

authority and be directive and when to more fully delegate decisionmaking

authority to the team members. As illustrated by the “leadership circle” in

exhibit 8–3, team leaders use a combination of four leadership styles: directive,

consultative, collaborative, and delegative. The decisionmaking model (see

“Decisionmaking Model” on page 163) guides leaders as to when one or another of these styles will be appropriate.

Exhibit 8–2. Hierarchical Organizational Structure Adapted From Likert’s 

“Linking Pin” Function 

Source: Adapted from Rensis Likert, New Patterns in Management; New York: McGraw-Hill, 1961. 

Functional

Team

Functional

Team

Functional 

or 

Regional

Leader

Functional

Team

Functional

Team

Functional 

or 

Regional

Leader

Functional

Team

Functional

Team

Functional 

or 

Regional

Leader

Functional

Team

Functional

Team

Functional 

or 

Regional

Leader

Operational

Teams

Executive Team
156 ❘ Chapter 8

■ Directive: Leaders placed in the center of the circle represent situations that

call for a more directing and/or controlling approach. The directive approach

is most appropriate when a team is newly formed. 

■ Consultative: Leaders who fall between “directive” and “collaborative” leadership styles represent situations where the leader collects suggestions and

recommendations from team members or other relevant stakeholders but

makes the decision alone.

■ Collaborative: Leaders placed on the edge of the circle represent situations

when all members (including the leaders themselves) should have an equal

voice in discussions and decisionmaking. In these situations, a consensus

model of decisionmaking would be appropriate. A collaborative approach is

often most useful when setting goals for the team. 

■ Delegative: Leaders placed outside the circle represent situations that require

assigning authority and decisionmaking to the team. The leader acts more as a

resource than a controller to the team. The delegative approach is most appropriate when the team is successfully working toward its goals and is focused

on the skills of its members. 

The internal challenge for leadership is to maintain an appropriate balance of

styles between the leader and the team. Because no two teams are alike, this

Delegative Leader

Collaborative Leader

Consultative Leader

Directive Leader

More

Less

Continuum of Inclusion

Exhibit 8–3. Team Leader Balance of Roles and

Use of Authority
Team Building ❘ 157

delicate balancing act of knowing when to set clear boundaries and expectations

and when to give up command and control varies from team to team.

Generally, team leaders will embrace each of the four styles depending on the

circumstances. It is vitally important for leaders to communicate which style

they will be using to team members so the members know what to expect,

which approach is in place, and what role they play in making decisions. 

Individual performance. Team leaders should have high expectations for their

own performance and a willingness to continue learning. Leaders should apply

the same performance and learning standards to members of their teams, offering opportunities for team members to develop their skills. 

Problem solving and conflict resolution. Every team faces problems it must

solve and conflicts it must overcome. A team leader is responsible for providing

models for the team to follow and guiding the team effectively through the

process.

Team spirit. A team leader’s role in building team spirit is to actively remind

the team members of their accomplishments and to reward and recognize contributions appropriately. 

Trust

Team leaders establish trust by demonstrating and communicating respect for

team members and the work they are doing. Although a team leader contributes

to an environment of trust, the team members are also responsible for supporting a trusting atmosphere. According to Dennis and Michelle Reina in Trust and

Betrayal in the Workplace, at least three kinds of trust are in play in any given

team: contractual trust, communications trust, and competence trust. 

■ Contractual trust: Team leaders lead by modeling trust. They expect team

members to mutually manage expectations, establish boundaries, delegate

appropriately, encourage mutual support, honor agreements, and be consistent.

■ Communications trust: The team leader sets the tone initially by establishing

trust through disclosure. Indicators of good communications trust include

sharing information, telling the truth, admitting mistakes, giving and receiving

constructive feedback, maintaining confidentiality, speaking purposefully, and

relating one’s comments to the task at hand. 

■ Competence trust: When team leaders respect the knowledge, skills, and 

abilities of team members, they demonstrate willingness and motivation to

trust the capabilities of others and themselves. Building competence trust

includes—in addition to respecting people’s knowledge, skills, and abilities—

respecting people’s judgments, involving others and seeking their input, and

helping people learn skills.
158 ❘ Chapter 8

A team leader can establish these frameworks of trust, but it is up to the team

members to work collaboratively within them in order to ensure a trusting

atmosphere. 

Team Membership

Each team member has a unique set of technical knowledge and interpersonal

skills that add richness and contribute to the team’s overall success. Five aspects

of team membership are important to consider: team size, commitment, complementary skills, philosophy of working approach, and mutual accountability. 

Team Size

Ideally, an effectively functioning team has 9 to 11 team members (including a

team leader). When a team grows to 20 or more people, the tendency is for the

group to break into smaller teams of 5 to 10 people to improve communication

and get the job done. 

Commitment

Team members should be chosen for their individual and collective commitment

to the team’s purpose and goals (the reason the team was created). 

Complementary Skills

Team members should be selected for how their individual knowledge, skills,

and talents complement those of other members and relate to the team’s purpose

and goals. In addition to skills, interpersonal competencies—conflict management and listening and verbal skills—are worth considering when a team is

formed. 

Philosophy of Working Approach 

Effective team membership requires individuals to believe in a team approach.

Although members may be committed to the goals of the team, they may not

accept teamwork as a reasonable method for reaching those goals.

Mutual Accountability

Sharing accountability among team members is essential. All team members

share mutual accountability for the progress and success of the team’s work and

for any problems that may arise. 

Defined Roles and Responsibilities

Working well together is a fundamental component of a successful team. If a

team is to function well, establishing a climate of member collaboration is key.

For team members to feel good about and take part in collaboration, team leaders and members need to have clearly defined roles and responsibilities. 

Although some of the roles and responsibilities of team leaders and team members have been previously addressed (see “Team Leadership” and “Team

If you observe a

group of people

who are truly committed and accountable for joint

results, you can be

almost certain they

have both a strong

team purpose and

an agreed-on

approach.

—Jon R. Katzenbach and

Douglas K. Smith, 

The Wisdom of Teams
Team Building ❘ 159

Membership” above), establishing a healthy and productive collaborative climate requires some team members to assume additional roles that benefit the

team. Team leaders sometimes perform a dual role, leading the team and facilitating its processes. The following are the major team roles: sponsor, team

leader, team member, facilitator, and recorder.

Sponsor

The sponsor is a member of the executive or senior-level team (or other executive or senior-level leader) who provides the team with its purpose and provides

direction and clarification to the team as needed.

Team Leader 

A team leader is a member of the team who helps the team focus on its tasks

and achieve its purpose; the team leader is the link back to management. 

Team Member 

Team members share equal responsibility for team performance and for balancing participation among all of the team’s members.

Facilitator 

Facilitators take responsibility for managing team meetings. They also oversee

the interpersonal team dynamics, making sure that a collaborative climate is

maintained. 

Ideally, a team should appoint as facilitator a member whose knowledge and

skills are conducive to that role. If a team leader takes on the additional role of

facilitator, he or she must pay attention to tasks and accomplishments while

monitoring group process. It is difficult to perform both roles well. Delegating

the task to another team member creates an opportunity for leadership talents to

emerge and contributes to overall team spirit.

Recorder

Someone on the team must assume the role of recorder. A recorder is responsible for taking minutes, timekeeping, and creating, distributing, and organizing

all of the team’s records. The recorder must have good writing skills and be

detail oriented. The job of recorder can be rotated through the team. 

Communication

Good communication between all team members is essential for them to work

together to achieve a common goal. Effective team development depends on

team members’ ability to communicate with one another clearly, openly, and

honestly. The following section reviews the basics of communication and the

benefits of self-monitoring interactions with team members. (For a detailed discussion of communications skills and their role in management, especially at the

supervisory level, see chapter 4, “Oral and Written Communication.”)
160 ❘ Chapter 8

When communication occurs, someone sends a message through a channel to a

receiver. At different times during the communication, each person is both

sender and receiver. Both the sender and the receiver play essential roles in

ensuring that the communication is effective. The sender commonly communicates to the receiver through three different channels: oral, written, and nonverbal. The receiver has three important tasks: to listen effectively, to interpret the

message, and to provide feedback to the sender. 

Role of the Sender

The sender is responsible for formulating a message that the receiver can interpret and understand. 

Speaking. When speaking, it is important to carefully construct the message to

be communicated in a way that the receiver can interpret. A good message is

formulated with the target audience in mind and in a short, to-the-point manner

that makes its goal apparent. It is important that the speaker allow for feedback

and clarification to check the accuracy of the communication. 

Writing. When writing, it is important to establish a clear objective as soon as

possible. The sender should use a writing style that is easy for the receiver to

interpret. It often takes more time to communicate in writing. However, for

written communication to be effective, responding promptly is important. 

Nonverbal. People communicate not only through words, but also through

facial expressions and body movements. Listeners get at least 65 percent of a

message through body language. Nonverbal communication can refute or reinforce the words that are said. Good communicators pay attention to their facial

expressions, gestures, and body movements when delivering a message.

Role of the Receiver

The receiver plays an important role in ensuring the message is communicated

effectively. For communication to be complete, the receiver must listen, interpret, and provide feedback. 

Listening. An effective listener pays close attention to what is communicated.

This means respecting the speaker and giving the speaker undivided attention.

It also means keeping an open mind and assuming the responsibility for thinking, but not necessarily judging, while listening.

Interpreting. To understand the speaker’s message, the listener needs to confirm that he or she has interpreted the message correctly. The listener can do

this by paraphrasing the message or asking questions. 
Team Building ❘ 161

Feedback. Feedback is a process of communicating one’s perceptions and feelings about the message presented. Feedback can be both verbal and nonverbal.

Verbal feedback can include asking questions, restating the main points, or saying out loud that the message has been understood. Nonverbal feedback can

include eye contact, facial expressions, nods, or gestures. Providing feedback to

the sender illustrates that the listener has received and responded to the message.

Foundations of Team Communication 

Exhibit 8–4 illustrates the consensus-building model of team communication at

the manager and supervisor levels. It applies the communications concepts discussed above in the team environment. The model includes the following:

■ Openmindedness: Being willing to consider other points of view.

■ Withholding judgment: Trying to understand the other person’s point of view

without judging the merit of what that person is saying and without thinking

of an instant rebuttal or forming an immediate opinion.

■ Feedback: Asking questions and paraphrasing back the answers to understand

the message.

■ Agreement: Having a mutual understanding of the message (agreement on

what is being said) without necessarily agreeing with the idea.

■ Comprehension: Understanding the message fully enough to effectively share

reactions, feelings, and opinions with the team.

Exhibit 8–4. The Consensus-Building Model of

Team Communication 

Comprehension

Feedback Agreement

Openmindedness Withholding

Judgment
162 ❘ Chapter 8

Keys to Effective Team Communication

Effective teams respect basic communication skills. For team communication to

be successful, it is necessary to:

■ Establish an interactive environment where open communication is

encouraged.

■ Understand the purpose of the message before it is communicated. 

■ Speak clearly, distinctly, and with enthusiasm, so the receiver is able and willing to accept the message.

■ Listen actively by asking questions to clarify the message, using active body

language, and providing feedback.

■ Not let preconceptions, biases, or emotional states get in the way of

communication. 

Benefits of Successful Communication

If members of a team are communicating well, they will be more likely to create

positive relationships that promote teamwork. Key relationship elements that

operate within teams are:

■ Honesty: Having integrity; without lies and exaggerations.

■ Openness: Being willing to share and being receptive to information.

■ Consistency: Exhibiting logically coherent behavior and responses.

■ Respect: Treating people with dignity and fairness.

Decisionmaking Process 

Leadership Styles

Team leaders are responsible for selecting a balance-of-authority approach to

team decisionmaking and for establishing and fostering a decisionmaking climate that is consistent with that approach and with the team’s goals and objectives. Ideally, the team leader will use a variety of decisionmaking styles and

will base the choice of style on the nature of the decision (see exhibit 8–3 earlier

in this chapter and the decisionmaking model presented in exhibit 8–5, which is

discussed below). For each leadership style chosen, a corresponding decisionmaking climate is established. For example, a team leader who uses a directive

approach inherently creates an autocratic atmosphere in which he or she makes

the final decision on most matters. Conversely, a collaborative approach results

in a climate of collective responsibility and shared authority that is understood

by all. 

Before I speak, I

have something

important to say.

—Groucho Marx
Team Building ❘ 163

One of the most important questions regarding decisionmaking is “Who

decides?” Even though best leadership practices encourage significant employee

involvement, a group should not make every decision. A team leader needs to be

aware that not all decisions require a team consensus. There are times when

only one person needs to make a decision.

Decisionmaking Model

The decisionmaking model is a tool for determining how much participation is

needed or desired to make a specific decision. Exhibit 8–5 presents a commonly

accepted decisionmaking model that illustrates how a leader can use a rational

method in deciding whether or how to use team members’ input in reaching certain decisions. This model relates back to the four styles of decisionmaking

illustrated in exhibit 8–3 and presents situations in which one or another of the

styles may be appropriate. In using the model, a leader should do the following:

■ Identify the decision or decisions to be made.

■ Explain to the team the four distinct approaches for making decisions presented in exhibit 8–3.

■ Lead a group discussion on how to address the decisions under consideration,

i.e., which decisionmaking approach to use. The team leader may inform the

team that he or she will be making the decision, and/or the team may consult

the team leader on which problem-solving approach would work best. 

■ Either poll the participants on what they each consider to be the best choice

within the model for the specific decision to be made or tell the team which

approach will be adopted. The team leader must make the final decision. 

■ Proceed accordingly. Create an action plan, including timeframes, especially

if the entire team is not involved in making the decision. 

Managing Meetings

Meetings are a time when group members get together to share information,

solve problems, make decisions, plan for the future, monitor progress, and periodically evaluate performance. Because correctional managers, supervisors, and

staff have many responsibilities and no time to waste, they must make the most

of every minute the group has together. Team leaders or facilitators must prepare

before the meeting, conduct the meeting, and follow up afterward. The discussion of meetings that follows should be read in conjunction with the discussion

of leading meetings in chapter 4, “Oral and Written Communications.”

Preparing for the Meeting

In preparing for a meeting, it is important to ask three questions that relate to

the “who” “what,” and “how” of the meeting. Answering these questions will

When people are

involved in making

a decision, they are

much more likely

to be committed to

that decision than if

some other person,

or a small group,

makes the decision

on their behalf.

Therefore, going up

the decision-making

scale (from individual decisions to

reaching team consensus) increases

commitment,

although it also

increases the difficulty in arriving at

an agreement. 

—J. William Pfeiffer

and Carol Nolde,

The Encyclopedia of

Team-Development

Activities 
164 ❘ Chapter 8

provide the team leader or facilitator with the information and resources to conduct the meeting effectively. 

Who are the participants or members? Once members are chosen to participate in the meeting, the team leader or facilitator should summarize the needs,

interests, and expectations. It is also important to recognize individual differences and similarities among group members. Once the facilitator knows the

dynamics of the team, a meeting can be designed that will cater to the team’s

needs.

Choosing the appropriate decision style is a learned skill.

less inclusion more inclusion

Team Leader 

Approach Directive Consultative Collaborative Delegative

Role of The decisionmaker Team members The team The team decides.

others? makes the decision gather problem- members share in

without input from solving recommen- decisionmaking.

others, or may dations and 

consider some suggestions from 

information that individuals or the 

others provide. team.

Who The decisionmaker The decisionmaker The decision- Others instead of 

decides? could be the team could be the team makers are the the team leader,

leader, sponsor, leader, sponsor, team members. sponsor, or board 

or board. or board. decide.

How is the The decisionmaker The decisionmaker The decisionmaker The leader delegates 

problem solved solves the problem consults with team shares the problem the decisionmaking 

or the decision or makes the deci- members or relevant with the team to team members 

made? sion individually, stakeholders to members and and they reach 

using information collect their ideas together they reach consensus or a 

he or she has and suggestions. a consensus or a majority of the team

collected. majority of the team decides.

decides.

Source: Adapted from the Normative Decision Model, Victor Vroom and Philip Yetton, Leadership and 

Decision-Making, Pittsburgh, PA: University of Pittsburgh Press, 1973. 

Exhibit 8–5. Decisionmaking Model

Answer these three questions to conduct an effective 

meeting:

• Who?

• What?

• How?
Team Building ❘ 165

What is the purpose of the meeting? Clear direction cannot be provided if

there is no destination in mind. The facilitator needs to define the goals that

should be reached during the meeting and communicate them to the participants. 

How will the meeting be conducted? The team leader or facilitator should

decide on possible activities, materials, human resources, necessary length of

the meeting, and agenda items that will facilitate achieving the goals of the

meeting. Sending participants the meeting agenda (including objectives, desired

outcomes, advance preparation, and required materials) prior to the meeting will

save valuable time, increase understanding and commitment, and greatly

enhance the success of the meeting.

Conducting the Meeting

Every meeting has the same basic structure: a beginning, a middle, and an end.

At the beginning, the facilitator sets the tone, defines goals, creates roles, and

outlines ground rules to guide participants’ behavior. In the middle, the team

works on agenda topics. At the end, the group summarizes its actions, defines

followup activity, and evaluates the meeting. 

Beginning. At the start of the meeting, participants reach a common understanding of what they are going to do and how they are going to do it. This phase

deals with five issues:

■ Purpose: The facilitator of the meeting should state the purpose for the

meeting.

■ Desired outcomes: The facilitator should elicit desired outcomes from the

participants.

■ Agenda: A prepared agenda should be distributed and discussed. The agenda

serves as a roadmap the group uses to reach the meeting’s goals.

■ Roles: In some cases, it may be necessary for the facilitator to describe certain roles members are expected to follow. This will help members understand

what is expected of them and set the tone for the meeting

■ Ground rules: If ground rules have not been set, they need to be agreed on.

Ground rules set the tone and define expectations and appropriate behavior

among team members. The two basic types of ground rules are logistic and

people process. Exhibit 8–6 illustrates examples of each. Creating ground

rules when the team is first formed is best. However, ground rules can be

established or changed at any time during the team’s existence. 
166 ❘ Chapter 8

Middle. The main task of the meeting is conducted in the middle phase. The

facilitator is responsible for managing the discussion on appropriate topics.

The following four-step process helps facilitate discussion:

■ Issue: Follow the agenda and describe the issue that is to be discussed.

Restrict discussion to one issue at a time.

■ Goal: Ask participants to define their expectations in discussing the issue.

Is the discussion being held to gather information, delegate a task, or make a

decision?

■ Process: The facilitator should explain the process that will be used in the

discussion. Will everyone get to speak? Who will be discussing the issue?

■ Time constraints: The facilitator should mention how much time is available

to discuss the issue at hand. 

End. Leave enough time to end a meeting properly. In the final part of the meeting, the team reviews the list of actions it has agreed on to ensure that everyone

knows the who, what, when, where, and why of each action item. The team also

evaluates the current meeting and decides on the time and place of the next

meeting. To accomplish these steps, the leader focuses the discussion in three

key areas:

■ Action items resulting from the meeting: The team reviews the meeting and

decides what followup is necessary. 

Logistic Ground Rules People-Process Ground Rules

Logistic ground rules govern the People-process ground rules involve

structure of the team meetings. It is the team members’ relationships with 

important that the processes of the one another. These ground rules 

meeting are clear to all members, so establish acceptable behavior 

everyone knows what to expect and between group members. They are

can plan accordingly. essential for smooth interactions

between members.

Logistic ground rules may include: People-process ground rules may

• When the team will meet. include:

• How long the meeting will last. • Affording equal opportunities for

• How often the team will meet. contribution from all members.

• How the agenda will be organized. • Agreeing to settle misunder-

• What is expected in terms standings and disagreements.

of attendance. • Providing recognition for progress.

• Focusing on win-win solutions.

Exhibit 8–6. Ground Rules for Meetings
Team Building ❘ 167

■ Future meetings: The team agrees on the next time it should meet. This is

also a time to discuss when subgroups or committees will meet. 

■ Evaluation of the meeting: Evaluation is necessary to determine if meeting

objectives were met, what went well in the meeting, and what improvements

are needed for future meetings.

One effective way to evaluate meetings is to use the “What Went Well/

Opportunities for Improvement” technique. This technique asks participants

to comment on their feelings about how the meeting went. The meeting facilitator receives feedback on what participants thought went well or was effective

and what they thought did not go so well or where there are opportunities for

improvement. The first time this technique is used, it is important for the facilitator to describe the purpose, process, and payoff of the exercise. 

The facilitator can get feedback in one of three ways:

■ Conduct a discussion with the whole group.

■ Have participants get into small groups, discuss, and report back to the whole

group.

■ Have individuals provide written feedback.

Following Up on the Meeting

Followup after the members have adjourned is necessary to ensure the meeting

has been effective. The following tasks should be completed either at the end of

the meeting or between meetings:

■ Assemble a written record of the meeting, distribute it to the team members,

and place it in a historical logbook of meeting records.

■ Clarify commitments agreed on by team members. Hold team members

accountable for following through with tasks they agreed to complete.

■ Send reminders regarding the next meeting to all members to encourage

participation.

■ When appropriate, ask team members to contribute items for the next meeting

agenda.

The successful team leader must learn the skills described above to manage a

meeting efficiently and effectively. A variety of methods, including e-mail,

phone calls, and office memos can be used to communicate before and after a

meeting. An effective leader identifies when to use which communication

method to get the best results within the team. 
168 ❘ Chapter 8

Stages of Team Growth

Many theorists who study group dynamics recognize that groups typically

evolve through predictable phases. Phases most often mentioned include orientation, conflict, and cohesion. Understanding these stages can help leaders

recognize current circumstances and predict future situations within the team.

Effectively managing team growth stages can help teams gain insight into their

process and increase their productivity.

Psychologist Bruce Tuckman, in his 1965 Psychological Bulletin article

“Developmental Sequence in Small Groups,” presented one theory that is still

widely referred to today. His model states that groups go through four distinct

stages as they evolve into a cohesive team and begin to operate efficiently and

effectively. These stages are:

■ Forming. 

■ Storming.

■ Norming.

■ Performing. 

Forming. When a team is forming, members go through an orientation phase

where they familiarize themselves with how the team will function. In this

stage, members discover the team’s:

■ Purpose and goals.

■ Organizational structure.

■ Restrictive boundaries.

■ Leadership style.

■ Culture.

■ Governing rules.

During the forming stage, team members need to feel a sense of purpose and

inclusion. Their desire to be accepted by the other team members drives their

behavior. Therefore, this stage involves little conflict. Since so much is going on

to distract team members in this stage, teams typically do not accomplish much

in terms of overall goals.

Storming. Conflicts begin to emerge during the storming stage. These conflicts may stem from personal relationships or the realization that the task is

different or more difficult than imagined. At this point, members need structural clarity and rules to learn how to handle and prevent conflicts. Conflicts
Team Building ❘ 169

may be frustrating and take time, but this stage is necessary for team members

to understand each other, agree on common goals, and establish norms.

Norming. In the norming stage, the team has evolved to develop a clear definition of its responsibilities, understand how members work together, and appreciate each other’s skills and experience. Ideally, team members listen to each

other, support each other, and learn to work cooperatively.

Performing. When a team is performing, members recognize each other’s

strengths and weaknesses, diagnose and solve problems, implement changes,

carry out clearly defined roles, and achieve synergy while working together. In

this stage, group identity, loyalty, and morale are all high. The team can now

function as an effective, cohesive unit. 

It is important to understand that groups are often forming and changing, and

each time that happens, they can move to a different Tuckman stage. A team

might be happily norming or performing, but a new member or a different task

might force it back into storming. Experienced leaders will be ready for this,

and will help the group get back to the performing stage as quickly as possible.

These stages of growth describe the normal pattern for maturing groups.

Understanding these stages will keep members from overreacting to normal

problems or setting unrealistic expectations. With patience and effort, groups of

individuals eventually evolve into cohesive teams. 

Ongoing Training

Efforts must be made to assess team members’ knowledge and skills in team

processes such as communication, decisionmaking, and conflict resolution and

to offer training to meet identified needs. Likewise, providing opportunities for

technical and professional development that are related to the team’s purpose is

important to the growth of the team. The following are examples of how a team

member might benefit from ongoing training:

■ A team member has extensive skill in risk assessment of offenders in community settings but needs additional training in decisionmaking as part of a team. 

■ A team member has a sophisticated understanding of group dynamics, but

would benefit from additional technical training in offender classification

computer software.

External Support and Recognition

An organization’s natural work teams and project teams need external support

and recognition to achieve their goals. As the primary source of this support and

recognition, the top leaders in the organization play a critical role in the success

of those teams. 
170 ❘ Chapter 8

Organizational leaders who value an environment of teamwork do the following:

■ Set high expectations for their teams.

■ Instill confidence.

■ Provide oversight, guidance, and recognition.

■ Demand excellence. 

Organizational leaders and team leaders both work toward establishing strong

lines of communication for identifying and managing challenges. The team

leader is responsible for communicating with the team’s sponsor or with the

next higher level of authority within the organization to overcome barriers outside the team’s span of control. By advocating for the team when such barriers

arise, the team leader facilitates the flow of work and ensures progress. 

In addition to providing support, top leaders should celebrate team accomplishments. Because most people thrive on having their work recognized and rewarded, positive feedback is vitally important. Leaders who provide timely and

meaningful feedback and recognition for achievement develop stronger teams. 

Summary

Clarity is the critical characteristic of purpose and goals. Team leaders are

responsible for collaborating with team members to develop a purpose statement, establish realistic goals and objectives that clarify the team’s purpose, and

monitor the team’s progress by using process and outcome measures. 

A team leader should advocate for the team and communicate its successes to

the organization. A successful team leader addresses needs inside and outside

the team. Outside the team, the team leader cultivates relationships with critical

others, promotes team performance, and builds team image. Within the team, the

leader focuses on balancing authority, enhancing individual performance, solving problems, resolving conflicts, building team spirit, and establishing trust.

Team leaders establish trust within teams by doing the following:

■ Setting clear expectations (contractual trust).

■ Creating an open atmosphere to share information (communications trust).

■ Respecting the skills and knowledge of team members (competence trust). 

Perhaps the most important attribute of a successful team leader is knowing how

to balance authority and when to apply the various styles of decisionmaking. 
Team Building ❘ 171

The team leader should be well aware of the five important attributes of successful team development:

■ Keeping the number of team members under 11 persons. 

■ Ensuring team members are committed to the purpose and goals of the team.

■ Developing a team with members who have complementary skills—both technical expertise and interpersonal communication skills.

■ Expecting team members to subscribe to the philosophy of “teamwork.”

■ Encouraging team members to personally accept accountability and hold each

other mutually accountable for the team’s work.

A healthy climate of collaboration within a team exists when clearly defined

roles and responsibilities are in place and behavioral expectations for the team

are understood and honored by all team members. Key team roles are sponsor,

team leader, team member, facilitator, and recorder.

Having strong lines of communication is critical to team success. Practicing the

basics of effective communication and understanding the roles that different

behaviors play facilitate communication within teams. Team members need to

understand and observe the cornerstones of good communication: openmindedness, withholding judgment, feedback, agreement, and comprehension. They

also need to appreciate that effective communication contributes greatly to

qualities that make teams successful, including openness, respect, honesty,

and consistency.

The team leader sets the tone and establishes the procedures for decisionmaking

within the team, determining how decisions will be made and by whom. Not all

problem-solving decisions should be made by team consensus. Situations may

arise that require the team leader or a subset of team members to make decisions without polling the entire team—and sometimes the leader must make a

decision without any team input. Nevertheless, a positive team environment is

more easily maintained when team members are a part of decisionmaking.

Team leaders or facilitators are responsible for ensuring successful team meetings. This involves preparing before a meeting, conducting an efficient meeting,

and following up after a meeting. 

Groups evolve through developmental stages while emerging into performing

teams. Understanding these stages can put current behavior in perspective and

promote an optimistic outlook as the group grows into a collaborative team. 

The team leader is responsible for assessing the technical and professional skill

levels of team members and providing ongoing training to improve those skills
172 ❘ Chapter 8

as needed. Developing skills related to the needs of the team is important to

team growth and success. 

Finally, recognition and support from the organization’s top management is critical. People thrive on being rewarded and acknowledged for their hard work and

successes. Organizational leaders who recognize this aspect of human nature

will build stronger teams and therefore a stronger organization.

Key Skills and Behaviors

Clarity of Purpose and Goals

Skill: Fostering and practicing collaboration.

Behavior: Use the team to develop a purpose statement and its goals and

objectives.

Performance Measurement

Skill: Understanding evaluation systems.

Behavior: Develop and implement process and outcome measurements.

Team Leadership

Skill: Fostering relationships with groups external to the team.

Behaviors:

■ Present information to individuals and groups outside the team to keep them

informed about the team’s work.

■ Listen to the interests and opinions of individuals and groups outside the team

as they relate to the team’s purpose.

Skill: Knowing what style of authority to use under the right circumstances.

Behavior: Implement an authority model to address the scope of the team’s

role:

■ Use a directive approach when a team is newly formed.

Skill: The ability to do something well, arising from talent, training, or practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
■ Use a consultative approach when requesting suggestions and recommendations from team members.

■ Use a collaborative approach when a team is setting goals.

■ Use a delegative approach when a team is successfully working towards its

goals and is focused on the skills of its members.

Trust

Skill: Establishing a trusting environment.

Behavior: Express clear expectations regarding tasks and group behavior, such

as telling the truth and admitting mistakes.

Skill: Trusting others.

Behavior: Respect people’s judgment, involve others and seek their input, and

help people learn skills. 

Team Membership 

Skill: Understanding the value and importance of team commitment.

Behavior: Actively engage team members in the discussion of ideas.

Skill: Knowing how to work collectively with other people.

Behavior: Share accountability for team successes as well as problems.

Defined Roles and Responsibilities

Skill: Knowing how to take responsibility for managing team meetings from a

neutral position. 

Behavior: Pay attention to group tasks and process and ensure all necessary

team roles are competently filled.

Communication

Skill: Communicating a clear message to the receiver.

Behavior: Formulate the purpose and goal of the communication before beginning to address the receiver.

Skill: Looking for common ground among team members.

Behavior: Use the consensus-building model for team communication when

warranted.

Skill: Keeping an open mind.

Team Building ❘ 173
Behavior: Listen for understanding before offering opinions and be willing to

consider others’ points of view.

Skill: Having integrity and a respectful exchange within a team and with others

outside a team.

Behavior: Choose to be a person who is honest, open, and consistent with 

others.

Decisionmaking Process

Skill: Knowing the four decisionmaking approaches.

Behaviors:

■ Instruct and model the four decisionmaking approaches to team members

(team leader).

■ Use decisionmaking approaches interchangeably as different situations arise.

Skill: Being aware of and respecting the political environment and organizational hierarchy.

Behavior: Demonstrate respect for decisions made by the team leader and others (team members).

Managing Meetings

Skill: Understanding the components of a meeting: preparing, conducting, evaluating, and followup.

Behaviors:

■ When preparing for a meeting, make sure to have a purpose statement for the

meeting.

■ When conducting a meeting, follow an agenda to ensure that needed tasks are

accomplished.

■ Solicit feedback from team members about what went well and what could be

improved.

■ When following up, assemble and distribute minutes from the meeting to reinforce commitments that were made. 

174 ❘ Chapter 8
Stages of Team Growth

Skill: Being aware that groups typically evolve through predictable phases.

Behavior: Acknowledge the group’s current phase and manage the tasks that

occur during the phase.

Ongoing Training

Skill: Knowing which skills and behaviors are relevant to the team’s purpose.

Behavior: Participate in ongoing training to acquire knowledge and skills

related to the purpose of the team.

Skill: Identifying who should provide training and what is the best

approach/method for instruction.

Behaviors:

■ Assess one’s own knowledge/skills and those of other team members.

■ Choose appropriate formal and/or informal methods to acquire needed knowledge and skills.

External Support and Recognition

Skill: Having clear expectations for teams and team leaders.

Behavior: Provide a monitoring system, such as a project timeline, to track the

team’s progress.

Skill: Keeping strong lines of communication open between top organization

leaders and team leaders.

Behavior: Communicate with the team sponsor or the next higher level of

authority in the organization and advocate for the team when barriers beyond

the team’s control arise. 

Skill: Understanding the value of acknowledging small and large

accomplishments.

Behavior: Honor team success with tangible rewards and recognition such as an

appreciation luncheon.

Team Building ❘ 175
176 ❘ Chapter 8

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work 

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems 

development, their primary focus is on and service delivery, and they monitor 

working with internal stakeholders to operations for compliance with 

create the systems and services needed correctional agency/organization policy.

to implement correctional agency/ Supervisors work primarily with internal

organization policy. Managers are staff but may also represent the 

above supervisors in the chain of correctional agency/organization during

command. interactions with customers/constituents

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps

• Corrections Unit or Program above line or entry-level positions in the

Manager. correctional agency/organization.

• Deputy Jail Administrator.

• Capital Programs or Correctional Typical titles of supervisory positions:

Industries Administrator. • Adult or Juvenile Correctional Housing

• Probation, Parole, Community Unit Supervisor.

Corrections, or Community • Probation, Parole, Community

Sentencing Department Head or Corrections, or Community Sentencing

Regional/District Manager. Supervisor.

• Interstate Compact Administrator. • Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Elements of Successful Work Teams

Clarity of Purpose • Determines the purpose and goals of • Works with the manager to determine

and Goals each team that the manager leads. the purpose and goals of the team.

• Ensures that each team meets its • Ensures that the team contributes to

goals and ultimately realizes its meeting the goals of the organization 

purpose. by meeting team goals.

Performance • Sets performance measures that are • Helps set the process and outcome

Measurement linked directly to the organization’s measures, but primary role is to ensure

mission. that team members are working toward

and meeting the set purpose and goals.

Appendix 8–1. Focus Matrix for Managers and Supervisors:

Team Building
Team Building ❘ 177

Manager Supervisor

Elements of Successful Work Teams (continued)

Team Leadership • Ensures that teams are operating at • Ensures that each team member is 

full capacity. performing at full capacity. 

• Works with groups outside the team • Uses each of the four leadership

to communicate with the organization approaches (directive, consultative,

as a whole. collaborative, and delegative) as

appropriate to the situation.

• Communicates to the manager any

barriers that need to be addressed so the

team can continue to be successful.

Trust • Establishes trust by demonstrating • Establishes trust within the team by 

and communicating respect creating clear expectations, sharing 

for supervisors and their teams. information, practicing good

communication, and respecting 

the skills, knowledge, and abilities 

of team members. 

Team Membership • Depending on degree of control • In most circumstances, does not select

over team selection, may designate team members. Nevertheless, as team

group size and select members with leader, the supervisor needs to 

complementary skills. appreciate team size in relation to 

• Clarifies expectations for the team functionality and recognize 

and holds team members accountable complementary skills among team 

for meeting those expectations. members.

• Clarifies expectations for the team and

holds team members accountable for

meeting those expectations.

• Keeps the manager updated on team

performance.

Defined Roles and • Ensures that each team has a leader, • Generally acts as the team leader. It is

Responsibilities a facilitator, and a recorder. In some critical to recognize the importance of

cases, is the team leader but in others the roles of the facilitator and recorder 

may oversee supervisors who serve to ensure more effective work sessions. 

as team leaders.

Communication • Balances roles as sender and receiver • Generally communicates with 

for effective communication. correctional officers and staff one 

• As a sender, formulates and delivers to one.

a clear message and seeks feedback • As a sender, communicates a clear 

to ensure the message was message with a purpose to ensure that 

communicated clearly and the receiver understands his or her

understood. duties.

• As a receiver, listens while keeping • As a receiver, listens attentively to

an open mind and solicits feedback requests made by team members and is

and recommendations from team open to accepting feedback.

members. 

Appendix 8–1. Focus Matrix for Managers and Supervisors:

Team Building (continued)
178 ❘ Chapter 8

Manager Supervisor

Elements of Successful Work Teams (continued)

Decisionmaking • Determines for teams which of the • Establishes for the team the same 

Process four decisionmaking approaches decisionmaking climate that is

(directive, consultative, collaborative, established by the manager.

and delegative) will be used under • Reinforces team members when 

which circumstances and for which decisionmaking approaches are used

issues. appropriately and reteaches for mastery

• Clarifies for teams which as needed. 

decisionmaking approach will be 

used and ensures that it aligns with 

the approach adopted by the team 

leaders. 

Managing Meetings • Team leaders, whether they are • Team leaders, whether they are 

managers or supervisors, need to managers or supervisors, need to know

know how to manage meetings. how to manage meetings.

Stages of Team • Respects the processes of team • Facilitates the team’s progress through

Growth development and sets reasonable its stages of development.

expectations for the team depending • Recognizes the stages of development

on the stage the team is currently in. and intervenes to help the group

proceed to the next stage.

Ongoing Training • Acknowledges the need for team • Assesses team training needs.

member training. • Seeks training resources and 

• Supports training. opportunities.

• Allocates the necessary resources • Provides training under some 

for training. circumstances. 

External Support • Sets the tone for a teamwork • Reinforces individual and team

and Recognition environment, including how performance by recognizing and

accomplishments will be monitored acknowledging team accomplishments.

and recognized.

Appendix 8–1. Focus Matrix for Managers and Supervisors:

Team Building (continued)
Resources

Butler, Eva S. (1996). Team Think. New York: McGraw-Hill.

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the

21st Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession Number

020474.

Doyle, Michael, and David Straus. (1976). How To Make Meetings Work.

Indianapolis, IN: Bobbs-Merrill Co.

French, Wendell L., and Cecil H. Bell, Jr. (1984). Organization Development,

3d ed. Englewood Cliffs, NJ: Prentice Hall.

Gardner, John W. (1990). On Leadership. New York: The Free Press. 

Harvard Business School. (2000). “Why Some Teams Succeed (and So Many

Don’t),” Harvard Management Update 5(1) (January): 5–7. Boston: Harvard

Business School Publishing. 

Isgar, Thomas. (1989). The Ten Minute Team. Boulder, CO: Seluera Press.

Katzenbach, Jon R., and Douglas K. Smith. (1993). The Wisdom of Teams. New

York: Harper Business.

Larson, Carl E., and Frank M.J. LaFasto. (1989). Teamwork. Newbury Park,

CA: Sage Publications.

Leslie, Jean Brittain, and Ellen Van Velsor. (1996). A Look at Derailment Today:

Europe and the United States. Greensboro, NC: Center for Creative Leadership. 

Likert, Rensis. (1961). New Patterns in Management. New York: McGraw-Hill.

Luftig & Warren International. (1993). Team Effectiveness. Detroit: Luftig &

Warren International.

Pell, Arthur R. (1999). The Complete Idiot’s Guide to Team Building.

Indianapolis, IN: Alpha Books.

Pfeiffer, J. William, ed., and Carol Nolde, assoc. ed. (1991). The Encyclopedia

of Team-Development Activities. San Francisco: Jossey-Bass Pfeiffer Publishers.

Reina, Dennis S., and Michelle L. Reina. (1999). Trust and Betrayal in the

Workplace. San Francisco: Berrett–Koehler Publishers.

Schindler-Rainman, Eva, Ronald Lippit, and Jack Cole. (1988). Taking Your

Meetings Out of the Doldrums. San Diego, CA: University Associates. 

Team Building ❘ 179
Scholtes, Peter R. (1988). The Team Handbook. Madison, WI: Joiner Associates.

Schwarz, Roger M. (1994). The Skilled Facilitator. San Francisco: Jossey-Bass

Publishers. 

Tuckman, Bruce W. (1965). “Developmental Sequence in Small Groups,”

Psychological Bulletin 63: 384–399.

Vroom, Victor, and Phillip Yetton. (1973). Leadership and Decision-Making.

Pittsburgh, PA: University of Pittsburgh Press.

180 ❘ Chapter 8
Collaboration

Marie Mactavish

This chapter addresses collaboration in correctional agencies/organizations from

the perspective of managers. After discussing the importance of collaboration,

the chapter addresses the need for both internal and external collaboration, and

then covers in depth the four opportunities for collaboration—informal or interpersonal, work team, organizational, and external—and the elements of each of

those collaborative opportunities. The chapter then outlines key skills and

behaviors related to collaboration. Finally, it presents a matrix (appendix 9–1)

that relates the four opportunities to the responsibilities of correctional managers

and supervisors.

Definition 

Collaboration: The Latin root of the word collaboration means simply “to work

together.”

In its broadest meaning, collaboration is a reciprocally beneficial association

between two or more participants who work toward shared goals by equally distributing responsibility, authority, and accountability. It is nonhierarchical in

nature and assumes that power is based on knowledge or expertise, rather than

on one’s role or function in a community or organization. According to Donna

Wood and Barbara Gray, in their 1991 article “Toward a Comprehensive Theory

of Collaboration,” collaborators “can constructively explore their differences and

search for solutions that go beyond their own limited vision of what is possible.”

Knowledge Base 

Why Should Correctional Managers and Supervisors

Develop This Competency?

Collaboration is important from two perspectives in correctional agencies/

organizations: internal and external. Too often correctional agencies/

organizations have viewed collaboration as solely externally focused but

this provides only a partial understanding of what collaboration offers. Being

collaboratively competent means understanding how to apply collaborative principles effectively both inside and outside the correctional agency/organization.

Internal Collaboration 

Managers and supervisors who take advantage of collaborative opportunities

within the correctional agency/organization provide openings for employees to

become more actively engaged in their work. When internal collaboration is

Chapter 9

181

In unity there is

strength. Consider

the fragile snowflake that flutters

slowly to earth and

disintegrates; however, if enough of

them stick together

they can paralyze

an entire city.

—William Rosenberg, 

founder of 

Dunkin’ Donuts
182 ❘ Chapter 9

encouraged, employees become more invested in the success of their organization, and they develop a greater understanding of and commitment to its goals.

This benefits both the organization and its employees. All too frequently, managers and supervisors in correctional agencies/organizations become so accustomed to “putting out fires” and operating in crisis mode that they continue

to function in that mode even when the situation does not demand it. Unfortunately, this means that many useful opportunities for internal collaboration are

overlooked.

External Collaboration

It has long been acknowledged that criminal justice and corrections resemble the

parable of the blind men who each touched a different part of an elephant and

learned only from their narrow experience what the elephant was like—the tail

like a rope, the trunk like a snake, and the leg like a tree. According to former

NIC Correctional Program Specialist Eduardo Barajas, Jr., “We tend to view the

individual components as independent of the others and serving different, competing purposes. We need to see the overall system.” Barajas contends that this

kind of thinking about the comprehensive system “lets us see that we are all

interconnected, interdependent parts of the whole, working for a common,

greater good,” and that “no one component of the system is better or worse than

the others, but each serves a specific function.”

Criminal justice and correctional agencies/organizations can no longer afford to

be isolated from one another or from other public service delivery systems. The

importance of collaboration stems not only from the rewards of working together toward the common good, as Barajas asserts, but also from its potential usefulness in controlling the increasing costs of expanding correctional systems. 

Collaboration is most useful when applied both internally and externally to the

correctional agency/organization. The next section focuses on how managers

and supervisors can effect a collaborative atmosphere in carrying out their dayto-day responsibilities.

The Four Collaborative Opportunities 

Collaboration is not a discipline or practice unto itself; it has meaning only

when rooted in a specific interaction. Managers and supervisors in correctional

agencies/organizations have many occasions to act collaboratively. These occasions can be categorized into four collaborative opportunities. They may exist in

the internal environment (within an organization) in informal or interpersonal

opportunities for one-to-one or group interaction; in structured settings such as

work teams that include employees, managers, and supervisors working as a

unit or between teams; or on an organizationwide, division, or office level (for

example, the divisions of a state correctional agency or the branch offices of a
Collaboration ❘ 183

city probation agency). They may also exist in the external environment (outside

the organization) in interactions with stakeholders, community partners, other

governmental agencies, and nongovernmental groups, such as the media, local

businesses, and vendors (see exhibit 9–1).

Informal or Interpersonal Opportunities

Informal and interpersonal opportunities, usually between two individuals or

through informal group discussion, are the simplest and most common form of

collaboration. Activities tend to be unstructured and casual. Managers and

supervisors do much of the work of collaboration at the interpersonal level. 

Interpersonal collaboration has three elements: social skills, communication, and

diversity. Managers who appreciate the importance of these concepts can

increase their understanding of how people behave in relationships and their

managerial style will promote more collaboration within the organization.

Three Elements of Interpersonal Collaboration

• Social skills.

• Communication.

• Diversity. 

Interpersonal 

Opportunities

Work Team 

Opportunities

Organizational

Opportunities

External 

Opportunities

COLLABORATION

Exhibit 9–1. The Four Collaborative Opportunities
184 ❘ Chapter 9

Social Skills

In Working With Emotional Intelligence (1998), Daniel Goleman points out that

managers with emotional intelligence—that is, the ability to monitor their own

emotions and those of others, to differentiate emotions, and to use that knowledge of emotions to guide their thoughts and behavior—are vastly more effective on the job than those who ignore people’s emotional states.

Effective managers and supervisors need to be able to relate well to others, build

positive relationships, control their egos, and manage conflict. Empathy enables

a manager to make intelligent decisions that make sense to people even when

they disagree with those decisions.

Relate well to others. A key aspect of collaboration is the ability to relate to

others. Are you comfortable talking with others? Are others at ease when interacting with you? 

Build relationships. Managers and supervisors must be able to create and sustain relationships. Building relationships goes beyond merely relating with people; it establishes a long-term basis for trust and mutual influence. Managers

with strong social skills tend to have a wide circle of acquaintances and friends

and are able to differentiate between various types of relationships. They are

adept at managing teams and influencing others, manifesting the qualities of

self-awareness, self-control, and empathy. 

Control one’s ego. One of the biggest challenges to building positive relationships is controlling both one’s ego and one’s temper. Managers and supervisors

who do not realize how their behavior affects other people, lose control of their

emotional impulses or outbursts, and lack empathy have little chance of developing effective relationships.

Manage conflict. To promote successful collaboration, a manager must objectively hear all sides of an issue and separate the issue from the person who raises it. Managers and supervisors should quickly address conflict before it derails

a collaborative relationship (see chapter 7, “Managing Conflict,” for a discussion of techniques for addressing conflicts within organizations).

Communication

Open communication that allows the free exchange of ideas creates the foundation for effective collaboration. People feel respected and valued when they can

speak and are heard. Within this atmosphere, trust can be established and maintained. Managers and supervisors improve their communication when they listen, speak purposefully, understand nonverbal cues, and appreciate silence. (For

a more indepth discussion of communication, particularly at the supervisor

level, see chapter 4, “Oral and Written Communication.” See also the discussion

of communication within teams in chapter 8, “Team Building.”)
Collaboration ❘ 185

Listen. The most important concept in listening effectively is suspending judgment until one fully understands what the other person is saying. This may take

special concentration and frequent clarifying questions to reach an accurate

understanding. 

Speak purposefully. Managers and supervisors should take time to organize

their thoughts before speaking. After they have spoken, they should follow up

with their listeners to ensure they were understood. 

Understand nonverbal cues. Managers and supervisors should pay attention to

their tone of voice and body language as they speak and as they listen. They

should match their body language to the message they wish to convey. And they

should look for any nonverbal messages from other people and ask for clarification if the body language appears inconsistent with the verbal message.

Use silence. Too often people are uncomfortable with silence. Managers and

supervisors often think they need to be speaking or listening to be communicating. However, silence is a necessary step in effective communication. It allows

for a period of reflection and thoughtful analysis.

Diversity 

The third element of interpersonal collaboration is acknowledging and valuing

diversity. Diversity not only involves differences in ethnicity, religion, and gender, but also includes personality traits and differences in thought, education,

and socioeconomic background. Together, these factors contribute to the unique

orientation or approach that each individual brings to collaboration. Managers

and supervisors who understand diversity can identify, value, and use these differences among individuals in the collaborative process. 

Identify differences. Managers and supervisors should acknowledge that each

person is a distinct individual and recognize that insight can come from others

who have had different experiences. They should elicit specific information

about where they and another person may have differences that can either benefit or challenge effective collaboration.

Value differences. Appreciating the differences between individuals enables

managers and supervisors to collaborate with others more effectively. Where little to no appreciation of differences exists, collaboration rarely occurs.

Use differences. Take time to consider diverse inputs. Be enthusiastic about

incorporating diverse comments and perspectives.

Work Team Opportunities

Work team opportunities are activities within the organization that involve

employees, managers, and supervisors working together as a unit on a specific
186 ❘ Chapter 9

or an ongoing project. This kind of collaboration is usually quite structured.

For example, project teams usually have a beginning and an ending date. For

natural (ongoing) work teams, accomplishments relating to established goals

are reviewed periodically. Managers and supervisors often collaborate with the

senior-level leaders who organize and oversee their teams to accomplish particular goals, as well as collaborating with one another and with frontline staff at the

work team level.

Six elements help managers and supervisors understand how team members

behave collaboratively in a unit. When managers and supervisors value and

appreciate the importance of these six elements, their actions become more collaborative. These concepts, which are discussed below, and other elements relating to work teams in general, are also discussed in greater detail in chapter 8,

“Team Building.”

Clarity of Purpose and Goals

Successful teams have a clear purpose statement and set of goals. The purpose

provides the overall direction for the team, and goals and objectives give specific, measurable direction. A team’s purpose should be consistent with the values,

beliefs, vision, and mission of the organization. Refer to chapter 8, “Team

Building,” for procedures for creating a purpose statement and establishing

goals. Once a purpose statement has been developed and goals and objectives

have been set, performance measurements (both process and outcome measurements) can be created, enabling team leaders and members to assess their own

performance.

Performance Measurement

Team leaders are responsible for developing performance measures and holding

team members accountable for achieving the team’s purpose and goals. In most

circumstances, leaders should ask team members to help establish performance

measures, which include both process and outcome measures. By developing

and implementing monitoring strategies and measuring outcomes, a team provides the documentation that ensures accountability and creates credibility. 

Six Elements of a Collaborative Work Team

• Clarity of purpose and goals.

• Performance measurement.

• Team leadership.

• Decisionmaking processes.

• Team membership.

• Defined roles.
Collaboration ❘ 187

Process measures. Process measures monitor the tasks that produce a given

result. Process measurement focuses on two main evaluation areas:

■ Team members’ perceptions of internal team processes, such as the consistent

use of meeting agendas, addressing topics in a predictable manner, and reasonable participation by all members. 

■ Team members’ perceptions of external services, such as the number and/or

types of clients being served or number of training hours provided. 

Outcome measures. An outcome is the expected result of the team’s goals and

objectives: Did the team accomplish what it was supposed to accomplish? 

Outcome success is determined by measuring results. From the beginning, it is

important to focus on team goals and objectives and constantly work toward

them. Teams should decide early on how they will measure success so they can

make course corrections along the way. If measurement procedures are not

developed or understood until the end of the process, the team will lose the

opportunity to change direction or improve its practices during implementation.

(For further explanation of performance measures, see chapter 13, “Program

Planning and Performance Assessment.”) 

Team Leadership

Team leaders play a dual role. They have responsibilities to the correctional

agency/organization (external) as well as to the teams they oversee (internal). A

team leader has an overarching responsibility to be sure that the team’s purpose

is clearly established and understood both internally, among team members, and

externally, among other critical stakeholders who operate outside the team but

have a relationship to the team. The following paragraphs will address the internal role, while the discussion of organizational collaboration later in this chapter

will explain the external role.

A team leader has the ultimate accountability for the team’s purpose and performance. A truly skillful leader knows when to assert authority and be directive, and when to more fully delegate decisionmaking authority to the team

members. Using discretion is especially important in a collaborative setting.

(For more information on the different leadership styles and the application of

these styles in decisionmaking, see chapter 8, “Team Building,” and exhibit 8–3

and exhibit 8–5.)

Effective team leaders develop both position and personal powers. The team

leader needs to understand the difference between position power, derived from

a manager’s or supervisor’s job title, and personal power, derived from goodwill

and expertise. (For more discussion of the differences between position power

and personal power, see chapter 7, “Power and Influence,” in Correctional
188 ❘ Chapter 9

Leadership Competencies for the 21st Century: Executives and Senior-Level

Leaders.) Developing both kinds of power, but especially personal power, is

important in creating an environment where people feel free to collaborate.

Collaboration is just one style of team leadership, but it is often the most appropriate style for accomplishing a given task. During a collaborative team effort,

all members (including the team leader) should have an equal voice in discussions and decisionmaking. In these situations, the consensus model of decisionmaking is appropriate.

Decisionmaking Processes 

Team leaders are ultimately responsible for choosing the decisionmaking

process used by the team and making that choice clear to the other team members. The leader needs to understand the nature of the task to determine if a collaborative process is the best choice. 

Collaborative decisionmaking is most effective when the need for buy-in is high,

the issue is of great importance, and sufficient time is available to go through

the collaborative process. Collaboration should occur in a climate of collective

responsibility and authority.

In a collaborative process, the whole team is involved and committed to the

process and solution. The ultimate decisionmaker is not the team leader, but all

the team members together. The team leader shares the problem with the team

members, and together they reach a consensus. This takes time but usually leads

to higher levels of commitment.

Team Membership

Each team member has a unique set of technical knowledge and interpersonal

skills that adds richness and contributes to the team’s overall success. Five

aspects of team membership are important to consider: team size, commitment, complementary skills, philosophy of working approach, and mutual

accountability.

Team size. Ideally, an effectively functioning team has 9 to 11 members

(including a team leader). When a team grows to 20 or more people, the 

When people are

involved in making

a decision, they are

much more likely

to be committed to

that decision than if

some other person,

or a small group,

makes the decision

on their behalf.

—J. William Pfeiffer 

and Carol Nolde, 

The Encyclopedia of

Team-Development

Activities

Collaborative decisionmaking is most effective when—

• Buy-in is important.

• The issue is critical.

• Sufficient time is available.
Collaboration ❘ 189

collaborative process is difficult to maintain. Divide the group into smaller

teams of 5 to 10 persons to improve communication and get the job done. 

Commitment. Team members should be chosen for their individual and collective commitment to the team’s purpose and goals (the reason the team was

created).

Complementary skills. Team members should be selected for how their individual knowledge, skills, diverse background, and talents complement those of

other members and relate to the team’s purpose and goals. In addition to these

skills, interpersonal competencies—conflict management, and listening and verbal skills—are worth considering when a team is formed. 

Philosophy of working approach. Effective team membership requires individuals to believe in a team approach. Although members may be committed to the

goals of the team, they may not accept teamwork as a reasonable method for

reaching those goals.

Mutual accountability. All team members share mutual accountability for the

progress and success of the team’s work and for any problems that may arise. 

Defined Roles

Working well together is a fundamental component of a successful team. If a

team is to function well, establishing a climate of member collaboration is key.

For team members to feel good about and take part in collaboration, team leaders and members need to have clearly defined roles and responsibilities.

Although some of the roles and responsibilities of team leaders and team members have been previously addressed (see above, “Team Leadership” and “Team

Membership”), establishing a healthy and productive collaborative climate

requires some team members to assume additional roles. This includes team

leaders who sometimes perform dual roles—leading the team and facilitating its

processes. The major team roles—sponsor, team leader, team member, facilitator, and recorder—are described briefly below. 

Sponsor. The sponsor is a member of the executive or senior-level team (or

other executive or senior-level leader) who provides the team with its purpose,

and direction and clarification as needed.

Team leader. A team leader is a member of the team who will help the team

focus on its tasks and achieve its purpose; the team leader is the link back to

management.

Team member. Team members share equal responsibility for team performance

and balancing participation among all of the team’s members.
190 ❘ Chapter 9

Facilitator. A facilitator takes responsibility for managing team meetings. The

facilitator also oversees the interpersonal team dynamics, making sure that a

collaborative climate is maintained. 

Ideally, a team should appoint a facilitator whose knowledge and skills are conducive to that role. If a team leader takes on the additional role of facilitator, he

or she must pay attention to tasks and accomplishments while monitoring group

processes. Performing both roles well is difficult. Delegating the task to another

team member creates an opportunity for leadership talents to emerge and contributes to the overall team spirit.

Recorder. Someone on the team must assume the role of recorder. A recorder is

responsible for taking minutes, timekeeping, and creating, distributing, and

organizing all of the team’s records. The recorder plays an important role on the

team. The recorder must have good writing skills and be detail oriented. The job

of recorder can be rotated through the team.

Organizational Opportunities

Organizational or internal opportunities are activities inside the correctional

agency/organization that involve managers, supervisors, and employees working

together to achieve the mission and goals of the organization. These activities

could occur in a state correctional agency with multiple sites and institutions or

in an individual office such as the branch office of a city probation agency.

As an organizational strategy, collaboration not only supports the organization’s

goals, but also creates commitment and improves performance among members

of the organization. Leaders play an integral part in setting a collaborative tone

for the entire organization. They must understand that a collaborative environment encourages open communication between levels and between functions

within an organization.

Once they understand the collaborative environment, managers and supervisors

can implement the three other necessary elements to create a collaborative

organization: collaborative leadership, trust, and cooperation across teams.

Collaborative Leadership

Collaborative leaders set a tone that helps all teams align with a common organizational purpose. Establishing and maintaining a collaborative relationship

Each individual,

each team, each

unit has to know

the results it is

achieving in order

to fulfill its contract

with the larger

institution.

—Peter Block,

Stewardship

Three Elements of a Collaborative Organization

• Collaborative leadership.

• Trust.

• Cooperation across teams.
Collaboration ❘ 191

with other teams within the organization is critical. With this in mind, a manager

or supervisor who wishes to form collaborative relationships with other teams

should do the following:

■ Encourage loyalty to the whole organization, not just to the individual team.

■ Not become too self-involved and refuse to work with other teams.

■ As required by the team’s task, create interteam processes that promote interaction with other teams.

■ Be aware of opportunities for sharing power and responsibility with other

teams.

■ Include a high degree of participative decisionmaking.

Trust

Team leaders establish trust by demonstrating and communicating respect for

other team leaders and members and the work they do. When team leaders show

respect, other team leaders will reciprocate that respect. This causes a ripple

effect throughout the organization, creating unity and a desire to collaborate.

According to Dennis and Michelle Reina in Trust and Betrayal in the

Workplace, relationships between team leaders and members from different

units can be described using three types of trust: contractual trust, communications trust, and competence trust.

■ Contractual trust: Team leaders model trust. They expect other team leaders

to mutually manage expectations, establish boundaries, delegate appropriately,

encourage mutual support, honor agreements, and be consistent.

■ Communications trust: The team leader sets the tone initially by establishing

trust through disclosure. Indicators of good communications trust include

sharing information, telling the truth, admitting mistakes, giving and receiving

constructive feedback, maintaining confidentiality, speaking purposefully, and

relating one’s comments to the task at hand.

■ Competence trust: When team leaders respect the skills, knowledge, and

abilities of other team leaders, they demonstrate willingness and motivation

to trust the capabilities of others and themselves. Building competence trust

includes—in addition to respecting people’s knowledge, skills, and abilities—

respecting people’s judgment, involving others and seeking their input, and

helping people learn skills.

A team leader can establish these frameworks of trust, but other team leaders

must reciprocate this trust. These relationships of trust can promote a collaborative atmosphere throughout the organization. 
192 ❘ Chapter 9

Cooperation Across Teams

Collaboration, especially for members of a temporary team or task force, often

requires working with other teams. Managers and supervisors who act as team

leaders must learn to balance their roles when assigned to both temporary and

ongoing teams. They need to be loyal to the whole organization, not just to their

own teams, especially when they are assigned to a cross-functional team or task

force in addition to their ongoing team. Team leaders need to understand their

role within a temporary team and how that team relates to the organization’s

purpose. 

Task forces should not distance themselves from more permanent units. Instead,

task force members should seek to cooperate and to balance their roles in all the

teams with which they need to interact. Maintaining the integrity of one’s team

memberships encourages mutually beneficial relationships and sets a collaborative tone throughout the organization. 

External Opportunities

External opportunities for collaboration include activities outside the correctional organization that involve stakeholders, community partners such as victim

advocacy groups and mental/medical healthcare providers, other criminal justice

and government agencies, and nongovernmental groups such as the media, local

businesses, and vendors. Creating collaborative alliances is important because

many problems cannot be solved by one organization acting alone. Only

through an alliance that involves multiple agencies and/or units sharing

resources and skills can complex problems be solved. 

The four concepts described below help us understand elements needed for successful collaborative alliances: a shared need for the alliance, alliance membership, collaborative leadership, and support from top leaders.

Shared Need for the Alliance

Both at the beginning of the alliance and as the work progresses, members’

understanding of the alliance’s overall purpose and how each member contributes to achieving this purpose is critical. Frequently asking alliance members

to reassess and clarify their part in the alliance can strengthen the collaborative

initiative.

For people to treat

each other as teammates, they have to

believe it is in their

best interest to cooperate; they must be

more concerned with

how the system as a

whole operates than

with optimizing

their own little

piece.

—Brian Joiner, Author,

Fourth Generation

Management Four Elements of a Collaborative Alliance

• Shared need for the alliance.

• Alliance membership.

• Collaborative versus position-based leadership.

• Support from top leaders.
Collaboration ❘ 193

Each partner in the alliance must be committed to the goals of the alliance and

to collaboration as a means of achieving these goals. A casual attitude about collaborative action can lead to mediocre results. When participating organizations

have a clear vision of the alliance, are committed to its purpose, and act with

decisiveness, then the alliance can achieve high-quality results. 

Alliance Membership 

Strong alliance members are characterized by the following:

■ Decisionmaking authority.

■ Knowledge of the issues.

■ Concern about the problem.

■ Sustainable participation.

The members of an alliance strongly affect its success. Therefore, alliance members should be chosen because of what they bring to the alliance and how they

will contribute to its success. This is true whether the members are correctional

agency/organization representatives, representatives of other criminal justice and

related agencies, or members of citizen groups. For example, a few years ago

when correctional agencies/organizations were starting to address victims’ interests and concerns, community activists were included in the discussions because

of their involvement in and passion for the topic. Often, the inclusion of such

passionate people was challenging because time was not taken to develop their

understanding of the criminal justice system. Those who are passionate about an

issue need to be willing to learn how the bigger system works, and correctional

agencies/organizations need to be willing to assist them.

Agency representatives should be selected based on their organizational authority or their ability to access it, knowledge of or expertise on the issue, and interest in the problem. Alliance members represent their agencies/organizations

more effectively when they have the authority to make important decisions,

know the background of the issue, and care about the problem at hand.

Another consideration in choosing stakeholders is their willingness to stick with

the alliance. Coming to the first couple of meetings is easy, but fully participating throughout the life of the alliance is hard. Stakeholders need to be able to

build and sustain ownership and commitment within the alliance and with their

home agency. 

Collaborative Versus Position-Based Leadership

A prominent leadership consultant, John P. Kotter, in his 1990 book A Force for

Change, states that leadership is effective “when it moves people to a place in

Despite growing

recognition of the

need to collaborate

to solve public policy problems, there

is a substantial gap

between intention

and results. In most

places, leaders and

citizens simply do

not know how to

collaborate.

—David Chrislip 

and Carl Larson,

Collaborative Leadership
194 ❘ Chapter 9

which both they and those who depend on them are better off.” This positive

movement usually occurs through a collaborative leadership style instead

of a position-based one. (For more discussion of the differences between

position power and personal power, see chapter 7, “Power and Influence,” in

Correctional Leadership Competencies for the 21st Century: Executives and

Senior-Level Leaders.)

A position-based leadership approach emphasizes setting goals, plans, and

strategies without necessarily including others in the process. Collaborative

leadership promotes crossing boundaries, values diverse perspectives, and shares

vision and goal setting. In essence, it encourages results-driven participation that

includes everyone in the alliance and earns the commitment of all. Collaborative

leadership inspires action, builds broad-based involvement, and fosters joint

problem solving.

Support From Top Leaders

The sponsoring agencies/organizations need to make the alliance a priority. If

the head of the correctional agency/organization is not directly involved in the

collaborative initiative, he or she needs to show strong support in other ways.

For example, he or she can delegate to his or her representative the appropriate

decisionmaking authority. The point is always to convey that the alliance is valued and important. Support from top leaders brings credibility to the alliance. If

agency/organization leaders do not pay attention to or encourage the alliance,

the collaborative effort will be far less likely to succeed.

Summary 

Collaboration is a reciprocally beneficial association between two or more participants who work toward shared goals. As noted by Donna Wood and Barbara

Gray, through collaboration the participants “can constructively explore their

differences and search for solutions that go beyond their own limited vision of

what is possible.”

Collaboration is important from two perspectives in correctional agencies/

organizations: internal and external. Too often correctional agencies/

organizations have considered collaboration to be only externally focused.

This is a partial understanding of what collaboration offers. Being collaboratively competent means understanding how to apply collaborative principles

effectively both inside and outside the organization. 

Collaboration works well when a leader and/or an organization understands the

benefits of collaboration and is willing to use collaborative strategies when

opportunities present themselves. Four common types of collaborative opportunities exist: informal or interpersonal, work team, organizational, and external. 
Collaboration ❘ 195

When collaboration is encouraged within an organization, value is placed on

building sound employee relationships. Managers and supervisors have the

responsibility for encouraging these relationships as they build strong teams.

Managers and supervisors need to promote open communication among all

levels and functions in the organization. This also must be true as external

alliances are created and maintained. Overall, collaboration helps employees

become more invested in the success of their organization and to better understand and accept organizational goals. 

Key Skills and Behaviors

Interpersonal Collaboration

Skill: Relating to others in an open, accepting manner; showing sincere interest

in others and their concerns.

Behavior: Evaluate one’s behavior and how others respond to it.

Skill: Bringing conflicts into the open and attempting to resolve them

collaboratively.

Behavior: Manage disagreements and build consensus.

Skill: Demonstrating attention to and conveying understanding of comments.

Behavior: Actively listen to others.

Skill: Speaking clearly and expressing one’s self well in one-to-one and group

situations.

Behavior: Speak clearly and purposefully, and follow up to ensure

understanding.

Skill: Demonstrating respect for people of different backgrounds.

Behavior: Treat people of all backgrounds in ways that they perceive as fair.

Work Team Collaboration

Skill: Building effective teams committed to organizational goals.

Behavior: Help team members understand how their team’s purpose fits into the

goals of the organization.

Skill: The ability to do something well arising from talent, training, or practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
196 ❘ Chapter 9

Skill: Recognizing when to assert and share authority with one’s team members. 

Behaviors:

■ Develop and use both position and personal power.

■ Use the appropriate decisionmaking process for the situation.

Skill: Demonstrating an ability to develop team performance measures.

Behavior: Gather input from team members and others to develop performance

measures and monitoring strategies.

Organizational Collaboration

Skill: Fostering collaboration among teams.

Behaviors:

■ Create interteam processes. 

■ Build participative decisionmaking processes.

■ Collaborate with others inside the organization to achieve objectives.

Skill: Understanding the importance of establishing and maintaining mutual

respect and trust between individuals. 

Behavior: Demonstrate trust and belief in the integrity of others by consulting

them, including them in decisionmaking, and recognizing their contributions.

External Collaboration

Skill: Collaborating with others outside the organization to achieve alliance

goals.

Behavior: Use alliance members to jointly solve problems.

Skill: Challenging the status quo and championing new initiatives.

Behaviors:

■ Pursue initiatives from an alliance perspective. 

■ Set performance measurements that reflect alliance goals.

Skill: Understanding the importance of top leadership support.

Behaviors:

■ Solicit top leaders for their input.

■ Keep top leaders informed.
Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems

development, their primary focus is on and service delivery, and they monitor

working with internal stakeholders to operations for compliance with 

create the systems and services needed correctional agency/organization policy.

to implement correctional agency/ Supervisors work primarily with internal

organization policy. Managers are staff but may also represent the 

above supervisors in the chain of correctional agency/organization during

command. interactions with customers/constituents 

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps

• Corrections Unit or Program Manager. above line or entry-level positions in

• Deputy Jail Administrator. the correctional agency/organization.

• Capital Programs or Correctional

Industries Administrator. Typical titles of supervisory positions:

• Probation, Parole, Community • Adult or Juvenile Correctional Housing

Corrections, or Community Unit Supervisor.

Sentencing Department Head or • Probation, Parole, Community

Regional/District Manager. Corrections, or Community Sentencing

• Interstate Compact Administrator. Supervisor.

• Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Four Opportunities for Collaboration

Informal or • Continues to develop expertise in • Develops expertise in social skills,

Interpersonal social skills, communication, and communication, and diversity and

Opportunities diversity and model these behaviors models these behaviors for his or her 

for his or her direct reports. direct reports.

• The manager’s behavior sends a • Builds and maintains strong 

strong message as to what relationships with others. Skills include

interpersonal skills the organization learning to control one’s ego and 

values. Builds and maintains strong manage conflict.

relationships with others. Skills

include learning to control one’s ego

and manage conflict.

Collaboration ❘ 197

Appendix 9–1. Focus Matrix for Managers and Supervisors:

Collaboration
198 ❘ Chapter 9

Manager Supervisor

Four Opportunities for Collaboration (continued)

Work Team • Adeptly develops and manages • Adeptly develops and manages a team

Opportunities multiple teams through frequent through the frequent practice of sound

practice of sound team-building team-building principles.

principles. • Understands the difference between an

• Understands the difference between authoritative and collaborative approach

an authoritative and collaborative and when to use each in leading a team.

approach and when to use each in

leading a team.

Organizational • Helps accomplish the team’s purpose • Helps accomplish the team’s purpose

Opportunities while striving to accomplish the while striving to accomplish the overall

overall goal(s) of the correctional goal(s) of the correctional agency/

agency/organization. Needs to support organization.

individual direct reports and teams • Keeps the “big picture” in mind when

to accomplish this. working with individual direct reports,

• Keeps the “big picture” in mind when the whole team, and in interteam

working with individual direct reports processes.

and teams. Supports positive

relationships between teams to

reduce territoriality.

External • May be selected as a representative for • May be selected as a representative for

Opportunities the correctional agency/organization. the correctional agency/organization.

Knows what is expected as a repre- Knows what is expected as a representasentative and transmits information tive and transmits information back to

back to the appropriate stakeholders the appropriate stakeholders in the

in the organization. organization.

Appendix 9–1. Focus Matrix for Managers and Supervisors:

Collaboration (continued)
Collaboration ❘ 199

Resources

Barajas, Eduardo, Jr. (1996). “Moving Toward Community Justice.” In LIS, Inc.,

Community Justice: Striving for Safe, Secure and Just Communities.

Washington, DC: U.S. Department of Justice, National Institute of Corrections,

NIC Accession Number 013227.

Bellah, Robert, ed. (1985). Habits of the Heart: Individualism and Commitment

in American Life. Berkeley and Los Angeles: University of California Press.

Beyerlein, Michael M., Sue Freedman, Craig McGee, and Linda Moran. (2003).

Beyond Teams. San Francisco: John Wiley and Sons.

Block, Peter. (1993). Stewardship. San Francisco: Berrett-Koehler Publishers.

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the 21st

Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession Number

020474.

Center for Effective Public Policy. (2002). “Collaboration: A Training

Curriculum To Enhance the Effectiveness of Criminal Justice Teams.”

Unpublished manuscript cosponsored by the State Justice Institute and the U.S.

Department of Justice.

Chrislip, David D., and Carl E. Larson. (1994). Collaborative Leadership. San

Francisco: Jossey-Bass Publishers.

Dyer, William G. (1987). Team Building. Reading, MA: Addison-Wesley

Publishing Company.

Goleman, Daniel. (1998). Working With Emotional Intelligence. New York:

Bantam Books. 

Gray, Barbara. (1989). Collaborating: Finding Common Ground for Multiparty

Problems. San Francisco: Jossey-Bass Publishers. 

Harvard Business School. (2001). Harvard Business Review: Special Issue on

Leadership (vol. 79, no. 11, Dec. 2001). Boston: Harvard Business School

Publishing.

Joiner, Brian. (1994). Fourth Generation Management. New York: McGrawHill.

Katzenbach, Jon R., and Douglas K. Smith. (1993). The Wisdom of Teams. New

York: Harper Business. 
Kennedy, David J., Phillip Thompson, Lisbeth B. Schorr, Jeffrey L. Edleson,

and Andrea L. Bible. (1999). Viewing Crime and Justice from a Collaborative

Perspective: Plenary Papers of the 1998 Conference on Criminal Justice

Research and Evaluation. Washington, DC: U.S. Department of Justice,

National Institute of Justice, NCJ 176979.

Kotter, John P. (1990a). A Force for Change: How Leadership Differs From

Management. New York: Free Press. 

Kotter, John P. (1990b). “What Leaders Really Do.” Harvard Business Review

(May–June): 103–111. 

Kouzes, James M., and Barry Z. Pozner. (1987). The Leadership Challenge:

How To Get Extraordinary Things Done in Organizations. San Francisco:

Jossey-Bass Publishers. 

Mattessich, Paul W., and Barbara R. Monsey. (1992). Collaboration: What

Makes It Work. St. Paul, MN: Amherst H. Wilder Foundation.

Mohrman, Susan Albers, Susan G. Cohen, and Allan M. Mohrman, Jr. (1995).

Designing Team-Based Organizations. San Francisco: Jossey-Bass Publishers.

Peck, M. Scott. (1987). The Different Drum. New York: Simon and Schuster.

Perry, John G., and John F. Gorczyk. (1997). “Restructuring Corrections: Using

Market Research in Vermont.” Corrections Management Quarterly 1: 26–35. 

Pfeiffer, J. William, ed., and Carol Nolde, assoc. ed. (1990). The Encyclopedia

of Team-Development Activities. San Francisco: Jossey-Bass Pfeiffer Publishers. 

Reina, Dennis S., and Michelle L. Reina. (1999). Trust and Betrayal in the

Workplace. San Francisco: Berrett-Koehler Publishers.

Washington State Law and Justice Advisory Council Web site:

http://www.wsljac.wa.gov.

Wood, Donna J., and Barbara Gray. (1991). “Toward a Comprehensive Theory

of Collaboration.” Journal of Applied Behavioral Science 27(2): 139–162.

200 ❘ Chapter 9
Problem Solving and

Decisionmaking

Barbara Lucey

Teddi Edington

This chapter addresses problem solving and decisionmaking in correctional

agencies/organizations from the perspective of managers and supervisors. After

discussing the importance of problem solving and decisionmaking, the chapter

presents a seven-step approach to problem solving along with a case study that

applies each of the seven steps to a problem of customer/constituent dissatisfaction in a particular correctional facility. The chapter then addresses techniques

for creative and proactive problem solving. It follows that discussion with techniques for intuitive decisionmaking in situations where limited time or information prevents managers and supervisors from using a more structured

decisionmaking approach. The chapter then outlines key skills and behaviors

related to problem solving and decisionmaking. Finally, appendix 10–1 presents

a matrix that relates those key skills and behaviors to the responsibilities of correctional managers and supervisors. 

Definitions 

Problem Solving: A process for eliminating or reducing the causes or potential

causes of performance deficiencies that interfere with the productive functioning

of an organization. 

Decisionmaking: The process of selecting between alternative courses of action.

Decisions are the logical outcome of problem solving.

Knowledge Base 

Why Should Correctional Managers and Supervisors

Develop This Competency?

Solving problems and making decisions are a natural part of the work environment. Changes in materials, methods, tools, equipment, people, and policies are

occurring constantly. Managers’ and supervisors’ responses to problems and the

effectiveness of their decisions have a crucial impact on the people who work

for them and the organizations they manage. Using problem-solving and decisionmaking skills improves both the quality of decisions and the degree to

which others support them.

Chapter 10

201

Within each problem lies a disguised

opportunity . . . 

but it is the art of

unmasking the 

disguise that 

distinguishes

between the two.

—Anonymous
202 ❘ Chapter 10

The Problem-Solving and Decisionmaking Process:

The Seven Steps of Problem Solving

Managers and supervisors solve problems and make decisions every day.

However, they often approach those problems and decisions randomly. As

a result, the same problems continually recur, wasting precious energy and

resources. Using a proven approach brings together people’s knowledge, analytical skills, and creative talents to develop innovative solutions to problems.

Exhibit 10–1 presents a seven-step problem-solving process that provides one

effective approach to dealing with problems. It begins with developing an understanding of the cause-and-effect relationships between the root or underlying

causes of the problem and the undesirable results, also known as “finding the

problem.” This involves defining the problem and analyzing the potential causes (steps one and two).

Decisionmaking in this approach requires looking at alternative solutions and

selecting the best one for implementation (steps three and four). 

The last series of steps deals with taking action to implement and evaluate the

solution. Effective and lasting solutions become reality when an action plan is

developed and a solution based on that action plan is implemented (steps five

and six). Finally, the implemented solution is evaluated to determine if the problem was actually solved (step seven). This last step provides an opportunity to

capture lessons learned so that better solutions can be created in the future.

This seven-step approach presents a framework that is particularly effective for

problems that can be clearly defined and for recurring problems that have a significant impact on staff, operations, or inmates and other customers/constituents.

Understanding the basic problem-solving process is important; however, this

1. Define

 the

 problem

2. Analyze

 potential

 causes

3. Identify

 alternative

 solutions

4. Select

 the best

 solution

5. Develop

 an action

 plan

6. Implement

 the

 solution

7. Evaluate

 progress

Finding the problem Decisionmaking Taking action

Exhibit 10–1.The Seven Steps of Problem Solving

Source: Adapted from Richard Y. Chang and P. Keith Kelly, Step-by-Step Problem Solving, Lake

Forest, CA: Richard Chang Associates, Inc. (www.richardchangassociates.com), 1993. 

Used by permission. All rights reserved.
and other models can be adapted to particular situations. For example, some of

the steps may overlap, or each step may not need to be followed in depth or may

be adapted to deal with time or resource constraints. More complex problems

require looking at the problem from a larger or systemic perspective to identify

cause-and-effect relationships.

Define the Problem

Why?

■ Focuses energy in the same direction.

■ Ensures common understanding of the problem.

How?

■ Identify the symptoms of the problem and write a brief one-sentence

description. 

■ Write a one-sentence description of the goal that solving the problem will

achieve or how the situation will look different when the problem is solved.

■ Answer the “so what” question. Why is the problem worth solving? What

would happen if it weren’t solved?

Tips:

■ Limit the initial problem scope; take time and resource constraints into

account.

■ Don’t combine problems; write separate problem statements for each

problem.

■ Tackle problems that are under the control of the manager, supervisor,

or team.

■ Avoid including an implied cause or solution in the problem statement.

“County Detention Facility Case Study: Customer/Constituent Satisfaction

Survey” (sidebar on page 204) presents a series of actions for identifying a

problem in a correctional environment. This and the other steps in the case study

present a hypothetical that shows how the seven-step approach may be applied

to a specific problem in a correctional facility. 

Problem Solving and Decisionmaking ❘ 203

A problem well

defined is a problem half-solved. 

—John Dewey, American

Philosopher and

Educator
204 ❘ Chapter 10

Eighty percent of

the effect/problem

can be attributed 

to 20 percent of 

the cause.

—The Pareto Principle,

Vilfredo Pareto, 19th

Century Italian

Economist

Each quarter the County Detention Facility (CDF) conducts a customer/constituent satisfaction survey to assess how well it serves the public. The latest

customer satisfaction rating had dropped from 80 to 72 out of a possible 100

points. Senior-level management sponsored a cross-functional team to look

more closely at the problem and recommend possible solutions and a course

of action.

After much discussion, the team agreed that the problem was definitely worth

solving because the drop in the customer satisfaction ratings indicated that

the facility was not serving the public as well as it might. High-quality 

customer/constituent service was one of the most important values of the

facility. The CDF team wrote the following problem definition.

At this point, the only symptom of the problem was the decrease in the survey ratings. Although some team members had ideas about the causes of the

problem, further investigation would be needed to better understand why the

ratings dropped. 

The problem statement should not imply a cause of or solution to the problem. The goal statement reflects what the desired end result would look like

and how it would be measured.

County Detention Facility Case Study:

Customer/Constituent Satisfaction Survey

Problem Definition

Problem Statement:

The customer satisfaction survey rating dropped from 80 percent in

the first quarter to 72 percent in the fourth quarter of this year.

Problem Goal:

The customer satisfaction survey rating will meet or exceed 80 percent

by the third quarter of next year.

Analyze Potential Causes

Why?

■ Ensures that root causes as opposed to symptoms of the problem are dealt

with. 

How?

■ List potential causes of the problem.

■ Consider categories of possible causes such as materials, methods, tools,

people, systems, skills, and environment.

■ Narrow the list down to the most likely causes.
Problem Solving and Decisionmaking ❘ 205

■ Gather information to better understand the most likely causes of the problem.

■ Identify the true root cause(s) of the problem.

Tips:

■ Determine whether the problem is within the manager’s or supervisor’s sphere

of influence or if it is a systemic problem that senior leadership must resolve.

■ Get input from critical decisionmakers and those people closest to the 

problem.

■ Be open to information that may contradict original assumptions.

“County Detention Facility Case Study: Analyzing Causes of Visitor

Dissatisfaction” (sidebar on page 206) presents an example of the use of the

Pareto Principle and a Pareto chart (exhibit 10–2) to analyze potential causes of

customer/constituent dissatisfaction in a correctional facility and to prioritize

and identify the most likely underlying causes. 

Identify Alternative Solutions 

Why?

■ Encourages creative and unexpected approaches to the problem.

■ Guards against settling on a predetermined solution.

How?

■ Generate a broad list of potential solutions.

■ Compare the problem to similar problems solved before.

■ Narrow the list to a manageable number of solutions.

Tips:

■ Save all criticism until after a list of alternative solutions is generated.

Discourage premature discussion that can dampen creative energy and stifle

participation.

“County Detention Facility Case Study: Identifying Potential Solutions to

Causes of Visitor Dissatisfaction” (sidebar on page 208) presents an example of

brainstorming to identify a number of potential solutions to the problem of visitor dissatisfaction in a correctional facility and then, by voting among the team

members, narrowing the possible solutions to the two or three most likely to

succeed.

There are 

few things as 

useless—if not 

as dangerous—

as the right 

answer to the

wrong question.

—Peter F. Drucker, 

Father of Modern

Management
206 ❘ Chapter 10

The County Detention Facility team analyzed the

customer surveys and determined that the customer/

constituent group with the highest levels of dissatisfaction was visitors to the detention facility. The

team then brainstormed possible causes of visitor

dissatisfaction and decided on the following:

• Visits are denied. 

• Visitors have long waits for visits.

• Visitors perceive staff as rude and/or 

unprofessional.

• Visits are too short.

• Visitors are unable to give items (food,

magazines, toiletries) to detainees.

• Visiting area lacks privacy.

• Number of visits and types of visitors are 

restricted.

• Waiting area is crowded and uncomfortable.

The CDF team conducted a number of interviews

with visitors and staff to understand the causes of the

problem better. The interviews revealed that the four

major causes of dissatisfaction were long waits,

denials of visitation, restrictions on items for

detainees, and the perception of staff as rude and

unprofessional.

The team used a Pareto chart (exhibit 10–2) to prioritize the potential causes. Team members understood

the Pareto Principle—that the greatest impact on

solving the problem could be achieved by focusing

attention and resources on the most relevant cause(s).

The bars represent the causes and the height of the

bars represents what percentage of the time that

cause was considered critical to the problem.

County Detention Facility Case Study: Analyzing Causes of Visitor Dissatisfaction 

Exhibit 10–2. Pareto Chart of Causes of Visitor Dissatisfaction

0

10

20

30

40

50

60

70

80

90

100

Cause A Cause B Cause C Cause D

% of Time Cause Contrib

utes to 

Visitor Diss

atisfaction

Cause A—Long waits.

Cause B—Denial of visits.

Cause C—Restrictions on items brought for detainees.

Cause D—Perception of staff as rude or unprofessional.

Causes of Visitor Dissatisfaction
Problem Solving and Decisionmaking ❘ 207

County Detention Facility Case Study: Analyzing Causes of Visitor Dissatisfaction 

(continued) 

Because customer feedback revealed that long waits

for visits represented 50 percent of the problem, the

team’s next task was to determine the underlying or

root cause of the long visitor waits. The team came

up with the following list of possible causes:

• No visits during shift change.

• Each visiting group for five detainees lasts 30–45

minutes.

• Bare, uncomfortable, crowded waiting room exacerbates problem.

• Visitors come too early and must wait a long time

before visiting hours begin.

• Current visiting process results in a backlog of

several visiting groups. 

• Visitors receive inaccurate information regarding

visitation rules/hours from probation staff and

attorneys.

• Increase in detention population has resulted in

more visitors.

After discussing the potential causes, the team felt

confident that the major causes could be attributed to

the current visiting process, which resulted in a backlog of people waiting for visits and inaccurate information regarding visiting hours/rules. The team was

now ready to identify solutions. 

Select the Best Solution

Why?

■ Provides an objective way to select a solution based on agreed-on and clearly

understood decision criteria. Taking this step will help explain the rationale

for making a decision.

How?

■ Develop criteria that the solution must meet to achieve the desired result.

Define the criteria to ensure that all team members share a common understanding of those criteria. Common decision criteria include:

– Cost.

– Time.

– Ease of implementation.

– Probability of success.

– Degree of resistance or acceptance.

– Degree of risk.

■ Use a matrix to rate each solution against the criteria.

■ Select the solution most likely to achieve the goal.

Tips:

■ Use common sense, judgment, and intuition when selecting among alternatives that are closely rated. Decisionmaking is often as much art as science.
208 ❘ Chapter 10

The County Detention Facility team brainstormed and generated the following list of potential solutions to reduce the wait time for visitors:

• Add additional visiting hours/days.

• Make visits shorter.

• Allow more visits in each visiting group.

• Prominently post visiting rules/hours. 

• Provide probation staff and detainees’ attorneys with accurate visiting

information and convey to them the importance of providing detainees’

families with correct information.

• Make the waiting area more comfortable so waiting is less onerous.

• Reduce the number of visits detainees are allowed.

• Split detainees’ visiting days by last name (A–L and M–Z visit on 

alternate days).

• Give visitors an estimate of how long the wait will be when they sign 

in for a visit.

• Allow visitors to sign in early and return in time for a later visiting 

session.

• Restrict who can visit and reduce the number of visitors per visit.

Each team member was then asked to vote for the two best solutions. 

Voting narrowed the list to three potential solutions:

• Allow more visits in each visiting group.

• Split detainees’ visiting days by last name (A–L and M–Z visit on 

alternate days).

• Make the waiting area more comfortable so waiting is less onerous.

Now the team would have to determine which of these three solutions 

would best increase visitor satisfaction.

County Detention Facility Case Study: Identifying Potential

Solutions to Causes of Visitor Dissatisfaction

■ Understand that no one solution may be adequate to solve a difficult problem.

Many partial solutions taken together are often necessary to address complex

issues.

“County Detention Facility Case Study: Using Criteria Rating To Select the 

Best Solution” (sidebar on page 209) presents an example of the use of a criteria

rating matrix (exhibit 10–3) to select the best solution, based on a set of agreedon and weighted criteria, to the problem of long visitor waits in a correctional

facility. 
The County Detention Facility team decided to use a criteria rating technique to select the best solution. This

approach would provide an objective way for the team to reach consensus by comparing alternative solutions

using agreed-on decision criteria. The CDF team agreed that cost, time, and probability of success were the

most important criteria to use to evaluate each solution. The team developed a matrix (exhibit 10–3) that

showed each decision criterion and gave it a weight to signify its relative importance in making the decision.

For example, the team felt that a solution’s probability of success was critical and assigned it the highest relative

weight—50 percent. 

Each proposed solution was then assigned a score of 1 (low) to 5 (high) based on the criteria. For example, for

the “Time” criterion, Solution A (assigning visiting days by last name) would require 3 to 4 weeks to implement

and so was given a score of 4. Solution B (increasing the number of visits in each group) could be implemented

immediately, so it received a score of 5. Solution C (improving the waiting room environment) would require

several months to implement, so it was scored a 2. 

The initial scores were then multiplied by the weight assigned to each criterion to generate a weighted score.

The weighted scores for each solution were then added. The total weighted scores ranged from a high of 3.65

for Solution A to 1.15 for Solution C.

Solution A, assigning visits on alternate days based on the detainees’ last name, had the highest score. The team

agreed that this solution would best solve the problem given the criteria established. However, Solution B,

increasing the number of visits allowed in each visiting group, could be implemented immediately and at no

cost. Although it would not be an adequate long-term solution, it was agreed that Solution B would also be

implemented as a partial, short-term fix. The team was now ready to develop action and contingency plans for

implementing the solutions.

Problem Solving and Decisionmaking ❘ 209

County Detention Facility Case Study: Using Criteria Rating To Select the Best Solution

Exhibit 10–3. CDF Criteria Rating Matrix

Decision 

Criteria

Relative

Weight

Solution A:

Assign visiting 

days by last name

Solution B:

Increase number of

visits in each group

Solution C:

Improve waiting

room environment

Weighted Weighted Weighted

Score* Score Score* Score Score* Score

Cost 35% 3 1.05 5 1.75 1 0.35

Time 15% 4 0.60 5 0.75 2 0.30

Probability

of success 50% 4 2.00 1 0.50 1 0.50

Total Score 100% 3.65 3.00 1.15

* Rating scale 1 (low) to 5 (high)
Develop Action and Contingency Plans

Why?

■ Provides a clear roadmap so that employees are better able to implement the

solution and solve the problem.

■ Increases commitment to make the solution work.

■ Ensures that potential obstacles are identified and dealt with.

How?

■ Develop an action plan specifying tasks, responsible persons, and scheduled

start and finish dates.

■ Develop measures to gauge progress toward the goal (e.g., cost, quality, time,

customer satisfaction).

■ Develop a method for monitoring results.

■ Identify potential difficulties that could impact momentum; develop contingency plans to prevent them or minimize their impact.

Tips:

■ Consider those who will be affected.

■ Given the available resources, plan for required resources, training, communication, and information sharing.

“County Detention Facility Case Study: Developing the Action and Contingency

Plans” (sidebar on page 211) presents an example of an action plan (exhibit

10–4) for changes in a correctional facility’s visitation policies and rules to

reduce the problem of long waits for visits and resulting visitor dissatisfaction.

It also presents a contingency plan (exhibit 10–5) for reducing or eliminating

potential obstacles to the implementation of the new policies and rules. 

Implement the Solution 

Why?

■ Turns solutions into reality by actually implementing the solutions and solving the problem.

How?

■ Implement the action plan. Gather information and talk to people to ensure

tasks, targets, and success measures are being met. 

■ Implement contingency plans as necessary to ensure continued progress

toward the goal.

210 ❘ Chapter 10
Problem Solving and Decisionmaking ❘ 211

The County Detention Facility team developed the following action plan (exhibit 10–4) by first listing and 

then sequencing all the tasks that had to be completed, when, by whom, and at what cost.

County Detention Facility Case Study: Developing the Action and Contingency Plans

Action

Write proposed changes

to visiting policy.

Secure management

review and approval.

Hold stakeholder

meetings and training.

Print signs and new

visiting rules.

Post rules and 

implement.

Write proposed rule

change.

Amend post orders.

Communicate to staff.

Implement.

Check customer

satisfaction ratings.

Lead

Supervisor

Detention

Manager

Supervisor

Facilities

Supervisor

Supervisor/

Staff

Supervisor

Supervisor

Supervisor

Supervisor/Staff

Detention

Manager

Begin Date

Jan. 1

Jan. 8

Jan. 16

Jan. 16

Jan. 31

Jan. 1

Jan. 2

Jan. 2

Jan. 5

Quarterly

End Date

Jan. 7

Jan. 15

Jan. 30

Jan. 30

 –––

Jan. 1

Jan. 4

Jan. 4

–––

–––

Cost

-0-

-0-

-0-

$500

–––

-0-

-0-

-0-

–––

–––

Solution B Solution A

Time

1 wk

1 wk

2 wks

2 wks

Ongoing

1 day

2 days

2 days

Ongoing

Ongoing

Exhibit 10–4.Action Plan Matrix

Potential Obstacle

Visitors show up on the wrong day and 

are angry when they cannot visit.

Increased number of visits in each group 

results in a breach of security.

How To Reduce or Eliminate

Have a grace period as the new process is 

adopted. Give all new visitors a copy of the 

new visiting rules/times.

Increase size of visiting group incrementally 

and be alert for any security issues.

Sol

ution B Sol

ution A

Exhibit 10–5. Contingency Plan Matrix

Even the best plan will not solve the problem if it is not properly executed. The team’s next task was to turn

the plans into reality.

Even with the best action plan, things may and often do go wrong. Along with the action plan, developing a

contingency plan by thinking through what obstacles might be encountered and how to deal with them is a good

idea. The CDF team developed the Contingency Plan (exhibit 10–5) below.
Tips:

■ Implementation needs to be planned, managed, and monitored; otherwise the

hard work done up to this point will have been in vain. The loss of credibility

and the lowered morale and commitment will be devastating, not only for this

project but also for future improvement projects, if no action is taken.

“County Detention Facility Case Study: Implementing the Solution” (sidebar on

this page) presents an example of steps taken to follow up on the implementation of an action plan and to ensure that the contingencies identified in the contingency plan did not need to be dealt with.

Evaluate Progress

Why? 

■ Determines if the problem was solved or if corrective action needs to be

taken.

■ Captures lessons learned so that better solutions can be created in the future. 

How?

■ Compare actual results with intended results; compare actual measures with

target measures.

■ Identify what worked and what did not work; determine if changes are needed.

■ Celebrate successes.

212 ❘ Chapter 10

The County Detention Facility team leader, in this case the supervisor, held

weekly meetings to ensure that tasks were completed on time and problems

were dealt with promptly. Team members gave brief status reports on their

action items and kept in close contact with detainee visitors to ensure issues

were improving. None of the potential obstacles identified in the contingency

plan became a reality, indicating that the team was being proactive in heading

off potential roadblocks and was continuing to stay on track.

The CDF team’s hard work was still not complete. The team needed to evaluate whether the action taken increased the customer/constituent satisfaction

survey results from 72 percent to the goal of 80 percent or higher.

County Detention Facility Case Study: Implementing 

the Solution
Tips:

■ Solving problems is all about learning and often involves trial and error. 

■ Do not be discouraged if initial solutions do not work out as planned. 

■ Review critical problems encountered during the project, discuss how things

could have been done more effectively, and apply the lessons learned to

another solution.

“County Detention Facility Case Study: Evaluating Progress Through Customer/

Constituent Surveys and Critical Incident Review” (sidebar on this page) presents an example of the use of customer satisfaction surveys, a critical incident

review, and a debriefing to measure the success of the implementation, identify

techniques for preventing a recurrence of the problem, and look for improvements in the problem-solving process. 

Problem Solving and Decisionmaking ❘ 213

The County Detention Facility team gathered customer data on a quarterly

basis to check its progress in solving the problems in prison visitation. The

customer/constituent survey results indicated a steady improvement in customer satisfaction. The team met its goal—the satisfaction rating rose from

72 percent in the fourth quarter of the previous year to 85 percent by the 

third quarter of the following year.

The CDF team also used a critical incident review to identify what went

wrong in the first place and how similar problems could be avoided in the

future. The team then debriefed the problem-solving process, discussing 

what went well and how its approach could be improved. Most importantly,

the team members took time out to recognize their accomplishments and 

celebrate their success.

County Detention Facility Case Study: Evaluating Progress

Through Customer/Constituent Surveys and Critical

Incident Review

Creative Problem Solving

Advantages of Involving Others

As leaders, managers and supervisors expect and encourage staff to solve their

own problems. However, in today’s work environment many problems are too

complex for one person to solve alone. Managers and supervisors should

determine when problems need to be solved by more than one person and who

should be involved in the solution. Involving others has a number of advantages

including:
■ Access to broader knowledge, information, and expertise.

■ Input from multiple perspectives.

■ Increased creativity and more rigorous analysis.

■ Increased commitment from those responsible for making the solution work.

Determining Who Should Be Involved

The appropriate people to involve are usually those closest to the problem or

issue. This may mean pushing decisions down to a lower level than has been

customary. To clarify who should be involved, consider:

■ Who is ultimately responsible for the results of the decision/problem?

■ Who is critically affected now and in the future?

■ Who has the vital information?

See chapter 8, “Team Building,” and exhibit 8–5, the Decisionmaking Model,

for a useful tool in determining who should be involved in making a particular

decision and to what extent. 

Encouraging Participation and Creativity

Problem solving requires creative as well as analytical thinking. Managers and

supervisors can maximize commitment and creativity by taking the lead in facilitating problem-solving sessions and using these techniques:

■ Make sure that all significant sides of an issue are fully discussed. Reserve

your own views until everyone has contributed his or her input.

■ Show appreciation for contributions, to encourage openness and risk taking.

■ Ask people directly for their opinions.

■ Play the devil’s advocate to examine new viewpoints.

■ Inject thought-provoking questions or comments to encourage creativity and

prevent “groupthink.”

■ Use creative problem-solving tools such as mind mapping, analogies, and

brainstorming (see chapter 11, “Strategic Thinking,” for an explanation of

these techniques).

For additional ideas on how to encourage participation and creativity by team

members, see chapter 8, “Team Building,” and chapter 9, “Collaboration.”

214 ❘ Chapter 10
Proactive Problem Solving

Being Proactive

The most progressive organizations are proactive in identifying problems that

could damage operations and taking the necessary actions to ensure those problems are avoided. Not all problems can or should be avoided. The important

point is to anticipate problems that could interfere with service delivery, customer or employee satisfaction, or other significant aspects of the organization’s

performance. Avoiding a problem in the first place ensures that valuable

resources are not wasted.

Proactive Strategies

Although not all problems can be anticipated ahead of time, effective leaders

ensure that serious problems are contained in the early stages before they

become major crises. A number of strategies can be used to avoid potential

problems:

■ Establish measures that signal problems before a service or program is provided and monitor the change during implementation.

■ Regularly engage the project team in identifying factors that support the program and those that work against the solution to a problem so that negatives

can be eliminated or reduced. 

■ Manage by being “out in the field” on a regular basis. Being accessible,

understanding issues, and encouraging staff to share concerns will often

uncover potential problems.

■ For critical projects, develop formal contingency plans that identify potential

obstacles. Include management reporting systems in monitoring and reviewing progress.

Intuitive Decisionmaking 

Making Decisions Under Time Pressure

The ability to make sound, timely judgments is a critical leadership skill

because management decisions can have such a significant impact on the

organization’s employees, customers/constituents, stakeholders, and environment. Using a decisionmaking process such as the seven-step approach presented earlier in this chapter can improve the quality of decisions. However,

decisions frequently must be made when time and information are limited. In

these cases, managers must place greater reliance on their intuition, values, and

past experiences.

Problem Solving and Decisionmaking ❘ 215

One’s philosophy is

not best expressed

in words; it’s

expressed in the

choices one makes.

—Eleanor Roosevelt
Improving the Quality of Decisions

Managers and supervisors can use the following techniques to improve the

quality of their decisions:

■ Determine if this is your decision to make alone or if others should be

involved.

■ Know how much data are needed to make a decision and how to get the

information quickly.

■ Do not get bogged down in “analysis paralysis.”

■ Cultivate relationships with reliable, knowledgeable colleagues who can help

on short notice.

■ Use systems thinking to look at the larger context within which a decision is

being made.

■ Ensure that decisions are in alignment with the mission, goals, and values of

the correctional agency/organization.

■ Consider the potential short- and long-range impact of decisions on the organization and its customers/constituents.

■ Use ethical principles to ensure fairness and consistency of decisions.

Exhibit 10–6 details the different roles of each level of management in problem

solving and decisionmaking. 

Summary 

Using a proven problem-solving process can help managers and supervisors

approach problems consistently and logically, whether they are working by

themselves or with a team. It may be necessary to go through the process more

than once, as true root causes of problems are rarely ferreted out and permanently eliminated in one cycle.

Problem solving requires creativity as well as discipline. It relies on the collective intelligence and educated intuition of the team. Creativity is restricted when

team members feel bound by rules and procedures, what they think is acceptable, or what has been done before. Leaders can unleash creativity by promoting

original thinking and encouraging full participation, openness, and risk taking.

216 ❘ Chapter 10
Leaders can be proactive by identifying potential problems and taking action to

eliminate them or reduce their impact. Recognizing individuals or teams that

have smooth-running operations can encourage proactive behavior throughout

the organization. Avoid inadvertently rewarding crisis management by applauding those who “save the day” when the problem could have been prevented in

the first place. Manage by the quality principle: “Do it right the first time.”

Good judgment and decisionmaking skills are honed through day-to-day learning on the job and gaining an understanding of the organization and the larger

context within which it operates. Effective decisionmaking combines common

sense and logic with a measure of intuition and a commitment to do what is

right.

Problem Solving and Decisionmaking ❘ 217

Executive Senior-Level

Officer Leader Manager Supervisor

Type of • Issues that have • Internal system • Linkage of processes • Service delivery.

problem or broad societal and problems. and programs across • Continuous service

decision environmental • Breaking down functions. or program 

impact. functional silos. improvement.

Problem- • External criminal • Internal and external • Cross-functional • Problem solving

solving justice agencies agencies with teams within the within own team.

partners and system similar missions correctional 

stakeholders. and needs. agency/organization.

Scope and • Long-term, highly • Intermediate and •Intermediate focus. • Short-term focus 

complexity complex. long-term, complex. on day-to-day 

of problem Political and operations. 

or decision societal implications.

Critical • Greater reliance on • The ability to • Thinking outside the • Greater use of

competencies decision judgment. frame questions box creatively to rational decision

• Aligning decisions and issues. resolve longstanding models.

with correctional • Systems thinking; systemic issues. • Quick decisionagency/organization analyzing issues • Systems thinking. making to resolve

mission and values. within a systems problems that 

• Considering long- framework. interfere with

range impact of service delivery.

decisions.

Exhibit 10–6. Matrix of Management Problem-Solving and Decisionmaking Roles
Key Skills and Behaviors

The Problem-Solving and Decisionmaking Process:

The Seven Steps of Problem Solving

Skill: Using a model or process framework to solve problems and make 

decisions.

Behaviors:

■ Clearly define/frame a problem to ensure understanding before taking action.

■ Identify the true root cause(s) of the problem.

■ Analyze alternative solutions using cost-benefit or other appropriate criteria.

■ Make objective decisions using facts and data to verify assumptions, perceptions, and intuition.

■ Support and clearly explain the reasons for a decision or course of action.

■ Review problems encountered and discuss how they could be addressed more

effectively in the future. 

Creative Problem Solving

Skill: Involving others in a creative problem-solving process.

Behaviors:

■ Involve others in decisions that affect them; push decisions down to the lowest appropriate level.

■ Ask for opinions and suggestions from others.

■ Encourage different viewpoints and rigorous discussion.

■ Encourage original thinking to solve complex problems. 

■ Take risks by proposing new ideas and solutions and encouraging risk taking

in others.

218 ❘ Chapter 10

Skill: The ability to do something well arising from talent, training, or practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
Problem Solving and Decisionmaking ❘ 219

Proactive Problem Solving

Skill: Anticipating potential problems.

Behaviors:

■ Identify problems central to the mission of the correctional agency/

organization.

■ Develop contingency/risk management plans to prevent or minimize

problems.

■ Take the initiative to make decisions when data and time are limited or solutions may produce unpleasant consequences.

■ Recognize and reward proactive behavior in others.

Intuitive Decisionmaking

Skill: Making sound decisions even in conditions of uncertainty.

Behaviors:

■ Combine analysis, experience, and intuition when making decisions.

■ Examine decisions for fairness and consistency and ensure they do not reflect

personal biases.

■ Consider the short- and long-range impact of decisions.

■ Ensure that decisions align with the correctional agency/organization’s mission, goals, and values.
220 ❘ Chapter 10

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work 

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems 

development, their primary focus is on and service delivery, and they monitor

working with internal stakeholders to operations for compliance with 

create the systems and services needed correctional agency/organization policy.

to implement correctional agency/ Supervisors work primarily with internal

organization policy. Managers are staff but may also represent the 

above supervisors in the chain of correctional agency/organization during

command. interactions with customers/constituents

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps

• Corrections Unit or Program above line or entry-level positions in the

Manager. correctional agency/organization.

• Deputy Jail Administrator.

• Capital Programs or Correctional Typical titles of supervisory positions:

Industries Administrator. • Adult or Juvenile Correctional Housing

• Probation, Parole, Community Unit Supervisor.

Corrections, or Community • Probation, Parole, Community

Sentencing Department Head or Corrections, or Community Sentencing

Regional/District Manager. Supervisor.

• Interstate Compact Administrator. • Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Key Skills and Behaviors

The Problem-Solving • Promotes a systemwide, structured • Uses a structured process as a 

and Decisionmaking approach to problem solving and framework for problem solving and

Process: The Seven decisionmaking. decisionmaking.

Steps of Problem • Taps the collective knowledge, • Encourages staff to use their 

Solving analytical skills, and creative talents experience, skills, and creative talents

of the correctional agency/ to solve problems. 

organization to address complex • Determines whether a problem is 

issues. within his or her sphere of influence 

• Gets input from critical decision- or is a systemic problem that upper 

makers and those closest to the management must resolve.

problem as part of the problem- • Acknowledges and publicly celebrates

solving and decisionmaking process. problem-solving and structured 

• Acknowledges and publicly decisionmaking efforts.

celebrates problem-solving and

structured decisionmaking efforts. 

Appendix 10–1. Focus Matrix for Managers and Supervisors:

Problem Solving and Decisionmaking
Problem Solving and Decisionmaking ❘ 221

Manager Supervisor

Key Skills and Behaviors (continued)

Creative Problem • Determines when a team, rather than • Involves staff in problem-solving and

Solving an individual, should solve the decisionmaking processes whenever 

problem. possible.

• Maximizes commitment and • Maximizes commitment and creativity

creativity by encouraging openness by encouraging openness and risk 

and risk taking. taking.

Proactive Problem • Learns to anticipate problems that • Learns to anticipate problems that 

Solving could interfere with service delivery could interfere with service delivery or

or negatively affect stakeholders, employee satisfaction.

inmates and other customers/ • Takes timely action or alerts superiors

constituents, or employees. to potentially serious problems so they

• Takes timely action to ensure that a can be resolved in the early stages.

potentially serious problem is • Gathers data to monitor performance

resolved in the early stages before and service delivery.

it becomes a major crisis.

• Establishes and monitors measures

that signal problems at both 

program and system levels.

Intuitive • Pushes decisions down to the lowest • Determines if the decision is the 

Decisionmaking appropriate level. supervisor’s to make alone or if others

• Understands the limitations of should be involved.

structured decisionmaking processes; • Understands the limitations of 

relies on intuition, values, and structured decisionmaking processes; 

experience when time and relies on intuition, values, and 

information are limited. experience when time and information

• Gathers the data needed to make an are limited.

informed decision but does not get • Gathers the data needed to make an 

so bogged down in details and informed decision but does not get so

examining options that no action bogged down in details and examining

is taken. options that no action is taken.

• Uses systems thinking to look at

the larger context within which a 

decision is being made.

Appendix 10–1. Focus Matrix for Managers and Supervisors:

Problem Solving and Decisionmaking (continued)
Resources

Arnold, John. (1992). The Complete Problem-Solver: A Total System for

Competitive Decision Making. New York: John Wiley and Sons.

Bazerman, Max H. (1997). Judgment in Managerial Decision Making.

Hoboken, NJ: John Wiley and Sons.

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the 21st

Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession Number

020474.

Chang, Richard Y., and P. Keith Kelly. (1993). Step-by-Step Problem Solving.

Lake Forest, CA: Richard Chang Associates, Inc.

(www.richardchangassociates.com). 

Covey, Stephen. (1989). The 7 Habits of Highly Successful People. New York:

Simon and Schuster Trade.

Fobes, Richard. (1993). The Creative Problem Solver’s Toolbox: A Complete

Course in the Art of Creating Solutions to Problems of Any Kind. Corvallis, OR:

Solutions Through Innovation.

Hoch, Stephen J. (2001). Wharton on Making Decisions. Hoboken, NJ: John

Wiley and Sons.

Hodgson, Kent. (1992) A Rock and a Hard Place: How to Make Ethical

Business Decisions When the Choices Are Tough. New York: AMACON. 

Jones, Morgan D. (1998). The Thinker’s Toolkit: Fourteen Powerful Techniques

for Problem-Solving. New York: Times Books.

Russo, Edward J. (2001). Winning Decisions: Getting It Right the First Time.

New York: Doubleday.

Von Oech, Roger. (1990). A Whack on the Side of the Head: How to Unlock

Your Mind for Innovation. New York: Warner Books.

222 ❘ Chapter 10
Strategic Thinking

Nancy M. Campbell 

This chapter addresses the importance of strategic thinking for managers in correctional agencies/organizations and how to expand one’s capacity to think and

act strategically. The chapter first discusses the challenges that correctional managers face that require strategic thinking and outlines the benefits of strategic

thinking. It then explains the elements of strategic thinking, including the different types and modes of thinking; presents techniques for expanding one’s thinking; and discusses the use of the framework Management by Groping Along to

support strategic thinking. The chapter then presents key skills and behaviors

that relate to strategic thinking. Finally, appendix 11–1 presents a matrix that

shows the applicability of these elements to managers and supervisors.

Definition

Strategic Thinking: Strategic thinking is the ability to recognize the relationships, complexities, and implications of a situation, anticipate possibilities, and

plan what to do. Strategic thinking is an attempt to develop a best guess about

the future.

In its most basic form, strategic thinking involves three questions:

■ What seems to be happening?

■ What range of possibilities do we face?

■ What are we going to do?

Knowledge Base 

Why Should Correctional Managers Develop

This Competency?

As Susan Gebelein and her colleagues note in the Successful Manager’s

Handbook (p. 27), the strategic thinker sees issues in the context of systems and

their relationships to other systems. The skilled strategic thinker knows how to

take advantage of opportunities that others might miss, recognize the relationships between seemingly disparate entities, and view the daily tactical issues in

a broader and longer term context. The strategic thinker is able to consider a

broad range of alternatives when addressing a challenge. 

The need to develop and use a capacity for strategic thinking is one of the primary ways in which the responsibilities of correctional managers differ from

those of supervisors. Most supervisors’ actions are largely tactical, not strategic.

Chapter 11

223

The significant

problems we face

cannot be solved at

the same level of

thinking we were

at when we created

them.

—Albert Einstein
224 ❘ Chapter 11

They work primarily within their own units and focus on ensuring that policies

and procedures are implemented. Supervisors are most often solving problems

within one or two systems—seeing things primarily in the context of a handful

of systems. They rely most heavily on analytical and critical thinking skills,

although some may also rely on intuitive thinking skills. 

In contrast, correctional managers work with many customers/constituents and

staff outside their program or department, both inside and outside the correctional

agency/organization. The scope of a manager’s role is greater than that of a supervisor and requires more attention to how different systems might work together.

Managers are responsible for understanding the larger organizational context and

culture and interpreting them for those both inside and outside their chain of command. To do this well requires strategic thinking skills and abilities. 

The complexity of correctional agencies/organizations requires managers to do

their own thinking and to carve out the direction that best suits their environment. They cannot just implement the policy of others. Managers are expected

to ensure that their program fulfills the correctional agency/organization’s vision

and mission.

As Gebelein and colleagues note (p. 27), another significant challenge for managers is to rely not solely on a thinking process that has brought success in the

past. On the face of it, this idea seems to make no sense. Why not continue to

use an approach that has worked well? The reason is that the nature of problems

and conditions changes. Ironically, the more familiar people are with an issue,

the more limited they are in identifying possible solutions. Their prior thought

patterns lead to implicit assumptions that limit their ability to think differently

about the problem. Mental flexibility is required to adjust to new information

and to conceptualize new alternatives.

How, then, is a correctional manager to build on the wealth of accumulated

organizational knowledge without missing new opportunities for needed

change? Clearly, organizational learning should not be undervalued, nor should

innovations be ignored. Combining the capacity to see what might be with the

understanding of how to make it happen in the day-to-day reality of an organization is the art of strategic thinking. 

Looking closer at this art, we can see that personality and temperament 

influence one’s ability to conceptualize and think strategically. Some people

inherently conceptualize easily and think at a strategic level; others find it challenging. However, certain skills and behaviors can, with practice, help one think

more strategically. Both naturally gifted strategic thinkers and those who are

struggling to master this aspect of leadership need to understand which tools

and practices will help them develop and refine their capacity to think 

strategically. 
Strategic Thinking ❘ 225

What Is Strategic Thinking?

How Do Managers Think?

Strategic thinking is an approach, not a plan. This chapter focuses solely on

how to think strategically. It is not about strategic planning; before they start

planning, managers first need to understand how they think.

For the most part, managers don’t think about thinking. All managers have

preferences or natural proclivities regarding how they think. They unconsciously

approach a problem with the form of thinking with which they are most comfortable. However, the problem may not be easily understood by applying the

mode of thinking they typically use. It is useful for leaders to develop many

ways to think so that when a situation arises, they have many options for analyzing and understanding the issues involved. Some of the many different types of

thinking include:

■ Analytical thinking: The ability to break issues down into their component

parts.

■ Critical thinking: The ability to judge or evaluate carefully.

■ Conceptual thinking: The ability to generalize an abstract idea from a particular instance.

■ Creative thinking: The ability to make, invent, or produce, rather than simply

imitate.

■ Intuitive thinking: The ability to understand or agree with an idea without

using rational thought or inference.

Strategic thinking requires the ability to use the last four types of thinking in

this list: critical, conceptual, creative, and intuitive. Analytical thinking usually

does not raise the types of queries that lead to strategic thinking. The self-aware

manager recognizes that he or she is unlikely to be skilled in all of these areas.

In fact, most correctional agencies/organizations and other public-sector agencies neither teach people how to think in different ways nor provide forums in

which they can demonstrate their natural thinking abilities. Most correctional

managers have worked in systems that place the greatest value on analytical and

critical thinking. Some would argue that many correctional agencies/organizations seriously limit thinking by promulgating policies and procedures that

attempt to tell staff how to act and what to do in every situation. Such agencies

seek control and compliance, not creativity. The work environment must encourage thinking before managers can think strategically.

I think, therefore

I am.

—René Descartes,

Discourse on Method
226 ❘ Chapter 11

The challenge for managers is to consciously find ways to develop all of these

forms of thinking in themselves and in others. Several frameworks can support

the development of strategic thinking; one of these, Management by Groping

Along, which relates most closely to the types of implementation challenges that

managers face, is discussed later in this chapter. Others are discussed in chapter

5, “Strategic Thinking,” in Correctional Leadership Competencies for the 21st

Century: Executives and Senior-Level Leaders. First, however, leaders need an

understanding of how people think—the basic modes of thought.

Thought Modes

Managers who rely on a particular thought mode are often uncomfortable with

other modes of thinking. Highly intuitive people are frustrated by sensory people’s need for data. People who are more comfortable working in hierarchies see

little value in networks. A strategic thinker works to understand his or her thinking process. Only after understanding one’s own thinking process can one see

its limitations and the value in a process that is different. The adept strategic

thinker understands that his or her way of thinking and digesting information

is only one way of approaching a problem. Skilled strategic thinkers seek out

opportunities to use a different way of thinking. They know that new solutions

only come by seeing a problem in a different way. To do this requires understanding the most common thought modes.

Understanding Common Thought Modes

As noted by Stuart Wells in his 1998 book Choosing the Future: The Power of

Strategic Thinking (p. 35), thought modes are the mechanisms by which a mind

processes order and patterns to build paradigms. The thought modes appear 

to be pairs of opposite qualities but actually are points along a continuum of 

patterns the mind uses to order thinking. Common thought modes include the

following:

■ Logic and intuition. 

■ Synthesis and analysis.

■ Convergence and divergence.

■ Holistic and divided.

■ Sequential and simultaneous. 

■ Hierarchy and network. 

Logic and intuition. Logic and intuition are two of the most dominant thought

modes. Logic relies on the ability to build a rational sequence of steps that

stem from what is already known. Using logic makes it easy to defend one’s

thoughts. Logic’s weakness is that it builds on what is already known, and many

We are what we

think—the way we

think creates what

we see and hence

the future for

which we can conceive a strategy.

—Stuart Wells, 

Professor of 

Organization and

Management,

San Jose State

University, 

Author, Choosing

the Future
Strategic Thinking ❘ 227

times data are insufficient to begin the sequence. Often, the sequence begins

with an assumption that relies on the complementary thought mode of intuition.

Difficult to articulate, the intuitive thought pattern is based less on data and

more on the synthesis of a person’s experience.

The logic mode is best used when trying to refine ideas, whereas the intuitive

mode works best when trying to explore areas for which the data are not clear

or are unknown. Both modes are necessary for strategic thinking, but intuition

most often leads to new ways of viewing existing issues or challenges. Once

intuition has helped one understand possible new approaches, logic can be used

to choose and refine a solution.

Correctional agencies/organizations, like the rest of our culture, tend to place

more value on logic than intuition. Yet, intuition is most useful when exploring

the unknown and confronting problems that do not have simple technical 

solutions.

Synthesis and analysis. Synthesis is the use of abstract thinking to understand

how things fit together. One looks less at the elements of a system and more

at the systems themselves. The goal is to see how the systems can be joined

together to create new solutions or ideas. Analysis is the ability to break a system down into its parts to understand the relationships between elements of the

system. It is used to gain a better understanding of the way a particular system

functions. Together, synthesis and analysis allow for creating and testing an

idea.

First-line supervisors rely most heavily on analysis as a thought mode in making

decisions. Supervisors most often solve problems within one or two systems. In

contrast, as the scope of a manager’s role expands, decisionmaking requires

more attention to how different systems might work together.

Convergence and divergence. The American culture values highly the ability to

be decisive and to move quickly, often pushing for the convergence required to

reach agreement. Convergence is best demonstrated in legislative bodies where

pressure to reach agreement within narrow timeframes often requires ignoring

some data to reach closure. In corrections, the paramilitary structure, heavy

workload, and tight timeframes can create pressures for convergence. Divergent

thinking is important not only to ensure full understanding of issues but also to

reach true ownership of ideas. Often, divergent thinking is used to explore an

array of possible solutions once a problem statement is agreed on. In strategic

thinking, convergence and divergence tend to alternate throughout the process.

Holistic and divided. The holistic mode involves seeing the “big picture.” An

essential step in the strategic thinking process, holistic thinking is used to conceptualize and make choices about ideas and possibilities. It tells the “why” of
a given situation. The divided mode, on the other land, promotes thinking about

the “how” of the same situation. More tactical than strategic, the divided mode

is good for developing the tactics to implement a given idea. The same factors

that push correctional managers toward convergence push them to focus on

“how” more than “why” and to solve problems before really understanding their

nature. This tendency often explains why a solution does not work.

Sequential and simultaneous. Sequence is an order in time. Implementing a

new initiative often requires a sequence of events, which typically involves completing one action or thought before moving on to the next. The simultaneous

mode moves from one idea or activity to the next with no specific order or reference to time.

Hierarchy and network. Hierarchy is a series in order of importance, not time.

A hierarchy can tell who in an organization is important in making a particular

decision or who can apply resources to an issue. It can also tell which issue

takes precedence over another. The network thinking mode, on the other hand,

ignores the importance of the individual or issue. Issues are typically viewed in

the network mode until more information provides a context for determining

their level of importance.

Using Different Thought Modes

One way for managers to understand which thought modes they most commonly use is for them to consider a problem and attempt to devise a solution. As

they develop the solution, they can reflect on the initial modes they used. Most

likely, these are the modes they typically rely on. Developing the capacity to

use less familiar thought modes expands strategic thinking capacity. 

One way for managers to expand their strategic thinking capacity is to observe

other staff or family members as they participate in meetings or activities and

attempt to identify which thought modes they are using. Another way is for

managers to try to use thought modes different from the ones they usually use to

address a problem. Consciously observing how they and others think is one of

the best ways for managers to expand their strategic thinking capability.

Expanding Your Thinking

Many correctional managers find strategic thinking quite challenging. They are

used to relying on analytical and critical thinking skills that, although essential

for many tasks, do not raise the types of questions and possibilities needed for

strategic thinking. Viewing the daily tactical issues in a broader and longer term

context is an important part of strategic thinking. To do this requires the ability

to see the possibilities and to recognize the relationships between seemingly disparate entities. Therefore, strategic thinking relies heavily on critical, conceptual, creative, and intuitive thinking. Because conceptual, creative, and intuitive

228 ❘ Chapter 11
skills are rarely taught or encouraged in corrections, they are the focus of the

following discussion.

Conceptual Thinking

Conceptual thinking is the ability to understand a situation or problem by identifying patterns or connections and addressing key underlying issues. Conceptual

thinking includes organizing the parts of an issue or situation in a systematic

way. Exhibit 11–1 describes what conceptual thinking is and what it is not. 

Conceptual thinkers can:

■ See basic relationships. Link parts of a problem to a broader set of issues or

relationships. See patterns or trends when looking at information. 

■ See multiple relationships. Analyze relationships among several parts of an

issue or situation. Use multiple associations of events and apply concepts

from other fields when analyzing events or situations.

Strategic Thinking ❘ 229

Conceptual Thinking 

Means . . . Does Not Mean . . .

Looking for the common factors in “Reinventing the wheel” with 

different situations and using or every situation and overlooking 

modifying previously successful common sources of difficulty or

approaches to meet the unique needs focusing on the peculiarities of 

of the situation. each situation.

Identifying key factors in a complex Trying to position every complex 

problem and associating seemingly detail for your audience without 

unrelated information to analyze a giving them the “big picture.”

situation and simplify it for others.

Integrating and applying different Trying to force-fit standard 

ideas and approaches to accomplish approaches without considering 

a goal. alternatives.

Coming up with a new or different Using the same ideas or concepts 

way of describing or explaining a to describe or explain a different 

situation or opportunity. situation or opportunity. 

Responding to changes or constraints Assuming that changes or 

by formulating new concepts or constraints are inevitable and

approaches. that the department will adapt.

Source: Excerpted from Saskatchewan Public Service Commission,

Management Competency Development Resource Guide, 1998. Available

online at http://www.gov.sk.ca/psc/hrmanagement/competencies/mancomp/

guide/resourceguide.pdf. 

Exhibit 11–1. Conceptual Thinking
■ Clarify complex data or situations. Use alternative ways of looking at issues

and link complex information to a solution. Analyze, plan, and integrate

concepts into a structured and rational process. Make complex ideas or situations clear, simple, and understandable. Assemble ideas, issues, and observations into clear and useful explanations and solutions.

■ Apply complex concepts to an area of responsibility. Adapt and apply concepts in new ways that improve the delivery of information and programs in

support of departmental priorities. Identify several solutions and weigh the

value of each to move the work of the department forward.

■ Create new concepts that advance departmental priorities. Create and apply

concepts that are new and different to advance the department’s direction.

Demonstrate leadership in integrating efforts with stakeholders internally

and externally that clearly influence program management.

Creative Thinking

Creative thinking assumes experimentation. By its very nature, creativity is

about trial, error, and taking risks. To most correctional managers, this sounds at

best counterintuitive, at worst dangerous. When dealing with security issues,

risk is commonly viewed as negative. Even for staff who do not work directly

with custody and security matters, the issue of safety pervades most correctional

agencies/organizations and their departments. To think creatively, managers

must shed some of their “safety consciousness” to experiment and risk failure.

Creative thinking can mean learning or relearning different skill sets. 

Identify when to use creative approaches. Different situations require different problem-solving approaches. Exhibit 11–2 can help a manager determine

when a creative problem-solving approach may work best or when a traditional

problem-solving approach is called for.

Develop ways to enhance creative thinking. If managers believe traditional

problem solving is not working, they need to develop methods to enhance their

creative thinking ability and that of their team. As outlined by Gebelein and her

colleagues in the Successful Manager’s Handbook (p. 27), ways to enhance creative thinking include the following:

■ Listen, and listen some more. Do not rebut or respond immediately when

someone else is speaking. Listen to understand, not to refute. Force yourself

to find the “kernel of truth” in what others are saying.

■ Explore new options. When discussing options, reject your first reaction and

push yourself to entertain another option. Argue for this option and see what

it teaches you about possibilities.

230 ❘ Chapter 11

Failure is our most

important product.

—R.W. Johnson, Jr.,

Former CEO,

Johnson and Johnson
■ Speculate. Speculate—even when you think you have the answer or do not

have enough information.

■ Think out loud. Force yourself to examine the thinking process that brought

you to your initial conclusion.

■ Get feedback. If you are overly rigid or opinionated, ask others whom you

trust to give you feedback on your responses.

■ Change sides. Challenge yourself to defend the viewpoint opposite from the

one you hold.

■ Play games. Practice “brain games” that increase mental flexibility (examples

of such games are in Richard Fisher’s 1982 book, Brain Games). 

■ Seek to understand the problem better. When generating ideas, spend more

time in the initial phases of understanding the problem than in crafting the

solution. Force yourself to think of the problem from the perspective of three

different stakeholder groups (e.g., legislators, other justice system agencies,

and crime victims and their families). Use the “W” questions:

— Why?

— Where?

— What?

Strategic Thinking ❘ 231

Use Creative Problem Use Traditional Problem 

Solving When Solving When 

• The problem keeps recurring.

• You want to do things 

differently.

• Problems are ambiguous.

• You are not sure how to 

evaluate the problem.

• Facts are unknown; feelings 

abound.

• Unpredictable and risky solutions 

are acceptable.

• Something that has not been a 

problem becomes one.

Source: Adapted from Susan H. Gebelein et al., Successful Manager’s

Handbook, 6th ed., Minneapolis: Personnel Decisions International,

2000, p. 28. Reprinted by permission of PDI.

Exhibit 11–2. Creative and Traditional Problem Solving

• The problem seldom occurs.

• You want to do things better.

• Problems are well defined. All

essential criteria for evaluating

the problem are known.

• Facts are central to the process.

• Causes are definite and

defined.

• Corrective solutions are

acceptable.
— Who? 

— When? 

— How?

■ Form cross-functional and cross-cultural teams. By having team members

with different functions, backgrounds, and styles, you will gain different

perspectives on the problem and find different solutions. 

■ Brainstorm. Most leaders believe they understand the concept of brainstorming but in reality, because of past experience or the behavior of those

involved, true brainstorming does not occur. If staff are ridiculed for “crazy

ideas” or penalized for taking risks, brainstorming will be stymied. To use

brainstorming to encourage more creative thinking, follow the guidelines

presented in exhibit 11–3.

232 ❘ Chapter 11

• Set a goal of establishing as many novel ideas as possible.

• Limit the session to no more than 30 to 45 minutes. 

• Have people write down some suggestions before the group begins

sharing ideas.

• Make sure there are no interruptions.

• Make it fun and fast. Offer supportive comments and even prizes for the

zaniest ideas and/or the most ideas offered.

• Be clear about the definition of the challenge. What is the problem?

• Convey how the ideas will be evaluated and by whom. Be sure to follow 

up with the group and let them know what was decided.

• Set brainstorming ground rules such as:

– Aim for quantity, not quality. 

– Focus on concepts, not detail.

– Set no constraints on implementation.

– Never criticize an idea.

– Evaluate all ideas after the session.

– Allow participants to enhance or add to a suggestion or to combine 

ideas but not to change an idea.

• Use the results to think strategically.

– Review the results for any patterns, connections, or interrelationships.

– Share your observations with others to see if they see those

relationships and/or patterns. 

– Let the observations inform your next steps.

Source: Underdog Consulting, Inc., 2000. Reprinted by permission of

Underdog Consulting. Contact: underdog@entermail.net. 

Exhibit 11–3. Guidelines for Brainstorming
Intuitive Thinking

Managers who use intuitive thinking approach a problem as a whole, not as a

sequence of steps. Intuition, like creativity, is valuable for understanding a problem and developing possible new solutions, especially when the data are inconclusive and/or the problem is not clearly defined. Once the problem is fully

understood, logic can be used to choose or refine a solution.

Intuition is based on experience. One unconsciously draws on one’s experiences

to test them against the current situation. The brain rapidly cycles through the

past and provides a base of comparison.

Correctional managers typically have training in logical thinking processes like

force-field analysis, Gantt charts, and stakeholder mapping. They also need

training in how to use their intuition. Activities that can help develop intuitive

thinking include:

■ Imagery.

■ Analogies.

■ Mind mapping.

Imagery. Imagery involves creating images of preferred futures or having team

members imagine how something might or might not work. Those images or

words are then explored for linkages. An example of this is the “premortem”

exercise described by cognitive psychologist Gary Klein in a 2000 profile by

Bill Breen for Fast Company, “What’s Your Intuition?” When a team gathers

to kick off a new project, have the team conclude the meeting by pretending to

gaze into a crystal ball. They look 6 months into the future and the news is not

good. Despite their hopes, the project has failed. Then ask team members to

take 3 minutes to run a mental simulation and write down why they think their

work derailed. All sorts of reasons will emerge.

Analogies. Identifying similarities or parallels between two dissimilar situations

helps make an unfamiliar situation more understandable and can be useful in

developing new insights.

Mind mapping. This technique, created in the 1960s by Tony Buzan, uses

imagery to help understand the linkages between seemingly diverse elements.

The visual and nonlinear nature of the mind map (exhibit 11–4) makes it easy to

see linkages and to cross-reference different elements of the map. Exhibit 11–5

presents the steps for developing a mind map. 

Strategic Thinking ❘ 233

Intuition is really a

matter of learning

how to see—of

looking for cues

or patterns that

ultimately show

you what to do. 

—Gary Klein,

Cognitive Psychologist,

in “What’s Your

Intuition?”

Fast Company,

August 2000
234 ❘ Chapter 11

• Use just key words or, wherever possible, images. 

• Start from the center of the page and work out. 

• Make the center a clear and strong visual image that depicts the general

theme of the map. 

• Create subcenters for subthemes. 

• Put key words on lines. This reinforces the structure of notes. 

• Use color to depict themes and associations and to make things stand out. 

• Anything that stands out on the page will stand out in your mind. 

• Think three-dimensionally. 

• Use arrows, icons, or other visual aids to show links between different

elements. 

• Don’t get stuck in one area. If you dry up in one area, go to another

branch. 

• Put ideas down as they occur, wherever they fit. Don’t judge or hold back. 

• Break boundaries. If you run out of space, don’t start a new sheet; paste

more paper onto the map. (Break the 81

/2 x 11 mentality.) 

• Be creative. Creativity aids memory.

Source: Peter Russell, “How To Mind Map,” from Web site,

“The Spirit of Now,” http://www.peterussell.com. Available online at

http://www.peterussell.com/MindMaps/HowTo.html.

Exhibit 11–5. How To Mind Map

Desired?

Previous?

In-House T3?

Outsource—BLI?

Timeframe?

Contact?

Timeframe?

Contact?

Project 

Mind Map

Data

People

Numbers?

Levels?

Specific Points?

Budget

Range?

History?

Outcomes

Needs?

Goals?

Expectations?

Training

Exhibit 11–4. Project-Related Mind Map

Source: Adapted from Vanda North’s “Hot Tea Questions?”

Mind Map, Vanda North Ltd., 2004. Available online at

http://www.MindMappingSuccess.com. Reprinted by permission of Vanda

North. Contact: 1–866–896–1024.
A Framework for Strategic Thinking: Management by

Groping Along

Frameworks can help managers ensure they are using problem-solving

approaches that engage their strategic thinking skills. Which framework a leader

chooses will depend on personal preferences regarding learning styles and

thought modes. Although many possible frameworks can be used to encourage

strategic thinking, this chapter concentrates on one that applies usefully to

problems about which management must think strategically, Management by

Groping Along. (For a discussion of other frameworks for strategic thinking,

see chapter 5, “Strategic Thinking,” in Correctional Leadership Competencies

for the 21st Century: Executives and Senior-Level Leaders.)

Robert Behn created the concept of Management by Groping Along (MBGA)

in his 1991 book, Leadership Counts, as a technique for helping leaders think

about how to guide implementation when the goal is clear, but the steps for

reaching it are not. This framework requires leaders to use intuitive, creative,

and conceptual thinking as well as critical and analytical thinking.

Behn posits that skilled leaders often know where they want to go but do not

necessarily know how to get there. For a manager who is focusing on strategy,

not just tactics, this is often the case. Managers understand that the people who

are closer to service delivery are better positioned to figure out the details of

implementation but often are not well positioned to see or understand issues

beyond their area of responsibility. If given full responsibility for implementing

a task, they often struggle to see new ways of approaching existing problems or

fail to see new problems that may arise.

In some circumstances, the senior-level leaders do not have adequate time to

develop a thorough implementation plan and, as a result, managers must simply

push ahead on an issue. In developing MBGA, Behn has provided a framework

for how to think strategically at such times. 

Behn’s MBGA framework assumes that managers use their experience, intuition, and current knowledge base to develop strategy. All correctional managers

are confronted by situations that are unique to their own organizations. Despite

the best training and experience, no manager can ever be fully prepared for

some circumstances.

MBGA is a process of adaptation. Knowing the goal to be achieved, the manager experiments—trying some approaches, having some successes, and adapting

the more successful approaches. Behn provides several practical steps that support strategic thinking during this process:

■ Know the goal.

■ Do the doable first.

Strategic Thinking ❘ 235

Good managers

have a good sense

of where they are

going—or at least

of where they are

trying to go. They

are constantly looking for ideas about

how to get there.

They know that

they have no

monopoly on good

ideas about how to

accomplish their

purposes. Thus,

given their bias for

action, they spend

less time analyzing

these ideas than

experimenting with

them.

—Robert D. Behn,

Author, Leadership

Counts
■ Fix as you go.

■ Seek feedback, fix mistakes, and stay flexible.

■ Describe the purpose.

Know the goal. A basic assumption of MBGA is that the manager knows the

goal. The correctional environment by its very nature is complex and dynamic.

A strategic thinker is someone who can maintain focus on a goal in the midst of

many competing interests and can tolerate the ambiguity of not having a defined

plan to get to the goal.

Do the doable first. This concept is often known as the “small wins” approach.

While knowing the ultimate goal, the strategic thinker moves in incremental

steps. This allows the strategic thinker to learn from success and failure. The

strategic thinker understands the organization’s capabilities and builds on them

before stepping into more unfamiliar and complex arenas. When a reasonable

incremental step is achieved, others can be convinced the ultimate goal is

achievable.

Fix as you go. Not having a fully fleshed-out implementation plan requires a

willingness to constantly learn from mistakes and make changes throughout

implementation. In fact, even with tightly crafted implementation plans, the

reality in all new endeavors is that nothing works perfectly, and addressing

problems throughout implementation is part of the process.

Seek feedback, fix mistakes, and stay flexible. In many ways, implementation

is a stage of error correction. The idea that was expected to work may not work.

Fixing as you go requires managers’ having the ability to get honest and accurate feedback from those who are implementing the plan or project. Once this

feedback is provided, strategic thinkers are flexible enough to seek out new

solutions and try them out.

Describe the purpose. Managers who have dutifully crafted a mission statement that they believe conveys what the organization is trying to achieve can

attest to how hard it is both to explain the mission and to gain understanding of

and commitment to it. As with everything else in MBGA, the development of

the best words to express the mission is an iterative process. Strategic thinkers

try different phrases and approaches with different audiences to find what resonates with staff members. After trial and error, the best descriptors are agreed

on and then shared repeatedly at every level of the organization.

MBGA is a framework that supports the use of intuitive, creative, conceptual,

and critical thinking. It is an iterative process that requires a leader to use and

trust forms of thinking that are essential to developing strategic thinking skills.

236 ❘ Chapter 11

The problem before

us [managers] is

not to invent more

tools, but to use the

ones we have.

—Rosabeth Moss Kanter,

The Change Masters
Summary 

Strategic thinking is, at its core, an attempt to develop a best guess about the

future. The challenge in strategic thinking is that our knowledge base and experience rely on data from the past. To think strategically requires an ability to

grasp the full complexity of the problem and to envision a range of possible

solutions. The ability to use analytical, conceptual, creative, and intuitive thinking is essential. 

Most managers approach problems tactically. They focus on the here and now

and what their past experience tells them. Strategic management requires the

ability to move beyond tactics. A strategic manager sees the connections

between seemingly disparate ideas and concepts. 

Strategic thinking is an act of discovery. Assumptions are made to be explored,

not to defend a position. Complexity is understood to be part of understanding

a problem and not a roadblock to implementation. Different skill sets and styles

are seen as essential to finding the best solutions.

Strategic thinking can be used to support planning efforts by providing a way to

approach the future and the unknown. Strategic thinking is an ongoing activity

that complements any planning effort. The skills needed to think strategically

can be developed by anyone—including correctional managers and the people

they work with.

Key Skills and Behaviors

What Is Strategic Thinking?

Skill: Understanding different types of thinking; understanding your thinking style.

Behaviors:

■ Determine the thought modes and ways of approaching issues that you typically use. 

■ Observe which thought modes your organization values.

■ Identify and understand your dominant thinking modes.

■ Complete behavioral assessments that address thinking style.

■ Identify the thinking and beliefs that underlie your conclusions and decisions.

Strategic Thinking ❘ 237

Skill: The ability to do something well, arising from talent, training, or 

practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
Expanding Your Thinking

Skill: Developing new ways of thinking.

Behaviors:

■ Explore and experiment with new ways of thinking and approaching issues.

■ Practice using other complementary thinking modes.

■ Try to see and understand many perspectives of an issue at once. 

■ Cultivate flexibility in problem solving.

■ Identify others who are skilled at strategic thinking and consult with them.

Frameworks for Strategic Thinking

Skill: Using frameworks that support strategic thinking.

Behaviors:

■ Explore various frameworks that support strategic thinking.

■ Process ideas through the frameworks to expand your thinking when making

decisions.

■ Recognize the relationships and connections between issues and/or people.

■ Use frameworks to help identify the relationships between people and/or 

business processes.

238 ❘ Chapter 11
Strategic Thinking ❘ 239

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work 

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems 

development, their primary focus is on and service delivery, and they monitor

working with internal stakeholders to operations for compliance with 

create the systems and services needed correctional agency/organization policy.

to implement correctional agency/ Supervisors work primarily with internal

organization policy. Managers are staff but may also represent the 

above supervisors in the chain of correctional agency/organization during

command. interactions with customers/constituents 

and external agency staff. Supervisory

positions are typically one or two steps

Typical titles of managerial positions: above line or entry-level positions in the

• Corrections Unit or Program correctional agency/organization.

Manager.

• Deputy Jail Administrator. Typical titles of supervisory positions:

• Capital Programs or Correctional • Adult or Juvenile Correctional Housing

Industries Administrator. Unit Supervisor.

• Probation, Parole, Community • Probation, Parole, Community

Corrections, or Community Corrections, or Community Sentencing

Sentencing Department Head or Supervisor.

Regional/District Manager. • Accounting, Budget, Legal, Purchasing,

• Interstate Compact Administrator. and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Steps for Strategic Thinking

Understanding • Begins to observe which thought • Begins to observe which thought modes

Different Thinking modes he or she typically uses. he or she typically uses.

Types • Observes which thought modes his • Observes which thought modes others

or her superiors at the organization in the unit, particularly the successful

value. problem solvers, use. 

• Observes which departments are • Observes which thought modes his or

most successful at problem solving her boss and other managers both use 

and whether they use different and seem to value.

thought modes. • Identifies the thinking and beliefs that

• Identifies the thinking and beliefs underlie his or her conclusions and

that underlie his or her conclusions decisions.

and decisions.

• Seeks out opportunities for training

that include behavioral assessments

providing insight into thought

modes.

Appendix 11–1. Focus Matrix for Managers and Supervisors:

Strategic Thinking
240 ❘ Chapter 11

Manager Supervisor

Steps for Strategic Thinking (continued)

Developing New Ways • Works with correctional agency/ • In staff meetings, explores and 

of Thinking organization or contract trainers to experiments with techniques that 

incorporate different forms of support the development of new ways

thinking into staff training and of thinking and approaching issues.

development. • Practices using other complementary

• When working with staff, explores thinking modes.

and experiments with techniques • Tries to see and understand many 

that support the development of new perspectives of an issue at once.

ways of thinking and approaching • Cultivates flexibility in problem 

issues. solving.

• Practices using other complementary • Identifies and consults with others who

thinking modes at staff meetings. are skilled in strategic thinking.

Models the practice for supervisors • Volunteers to serve on task forces that

in the unit or program. have complex and difficult problems to

• Tries to see and understand many solve. These task forces will often draw

perspectives of an issue at once. on people with different strategic 

• Identifies and consults with others thinking skills.

who are skilled in strategic thinking. • Encourages and rewards staff in the 

• Rewards staff who expand their unit who demonstrate many ways of 

thinking capacity by trying new thinking.

approaches and/or using other staff

who are skilled strategic thinkers as

mentors and coaches.

Using Frameworks • Explores various frameworks that • Explores various frameworks that 

That Support Strategic support strategic thinking by support strategic thinking.

Thinking participating in training on strategic • Searches the Internet or the library for

planning. Planning consultants literature on the topic.

typically use a variety of frameworks. • Uses the MBGA framework to assist in

• Searches the Internet or the library solving a challenging problem.

for literature on the topic. • Asks managers what frameworks they

• Uses the MBGA framework to assist find useful and when and where they 

in solving a challenging problem. use them.

• Asks executives and senior-level

leaders what frameworks they find

useful and when and where they use

them. 

Appendix 11–1. Focus Matrix for Managers and Supervisors:

Strategic Thinking (continued)
Strategic Thinking ❘ 241

Resources 

Behn, Robert D. (1991). Leadership Counts. Cambridge, MA: Harvard

University Press.

Breen, Bill. (2000). “What’s Your Intuition?” Fast Company 38 (August): 290

(interview with cognitive psychologist Gary Klein). Available online at

http://www.fastcompany.com/online/38/klein.html.

Buffalo State College, State University of New York. (2004). Performance

Evaluation and Professional Development System: Manager Success Factors:

Conceptual Thinking. Available online at http://www.buffalostate.edu/offices/

hr/PEPDS/sf/concept.asp.

Buzan, Tony, with Barry Buzan. (1994). The Mind Map Book: How To Use

Radiant Thinking To Maximize Your Brain’s Untapped Potential. New York:

E.P. Dutton. 

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the

21st Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession

Number 020474.

Collins, James C., and Jerry I. Porras. (1994). Built To Last: Successful Habits

of Visionary Companies. New York: Harper Business.

Fisher, Richard B. (1982). Brain Games: 134 Original Scientific Games That

Reveal How Your Mind Works. New York: Schocken Books.

Gebelein, Susan H., Lisa A. Stevens, Carol J. Skube, David G. Lee, Brian L.

Davis, and Lowell W. Hellervik, eds. (2000). Successful Manager’s Handbook:

Developing Yourself, Coaching Others, 6th ed. Minneapolis, MN: Personnel

Decisions International.

Kanter, Rosabeth Moss. (1983). The Change Masters: Innovation and

Entrepreneurship in the American Corporation. New York: Simon and Schuster.

Moore, Mark H. (1995). Creating Public Value: Strategic Management in

Government. Cambridge, MA: Harvard University Press.

North, Vanda. (2004). “Hot Tea Questions?” Mind Map. Vanda North, Ltd.

Available online at http://www.MindMappingSuccess.com.

Russell, Peter. (n.d.). “How To Mind Map.” From Web site, “The Spirit of

Now.” http://www.peterussell.com. Available online at http://www.

peterussell.com/MindMaps/HowTo.html.
Russell, Peter. (1979). The Brain Book. New York: E.P. Dutton.

Russell, Peter, and Roger Evans. (1992). The Creative Manager: Finding Inner

Wisdom in Uncertain Times. San Francisco: Jossey-Bass.

Saskatchewan Public Service Commission. (1998). Management Competency

Development Resource Guide. Regina, Saskatchewan: Saskatchewan

Public Service and Hay Management Consultants. Available online at

http://www.gov.sk.ca/psc/hrmanagement/competencies/mancomp/guide/

resourceguide.pdf.

Schwartz, Peter. (1991). The Art of the Long View. New York: Doubleday.

Wells, Stuart. (1998). Choosing the Future: The Power of Strategic Thinking.

Woburn, MA: Butterworth-Heinemann.

242 ❘ Chapter 11
Managing Change

Nancy M. Campbell

This chapter addresses managing change in correctional agencies/organizations

from the perspective of managers and supervisors. After discussing the importance of managing change, the chapter addresses the change dynamic and presents Geoffrey Bellman’s model of its four elements. The chapter then discusses

the change process and presents John P. Kotter’s eight-step model for transforming organizations. Next comes guidance on how to manage transitions and

William Bridges’ three-stage model for transition. The chapter then outlines key

skills and behaviors related to managing change. Finally, the chapter presents a

matrix (appendix 12–1) that relates these skills and behaviors to the responsibilities of correctional managers and supervisors.

Definition

Managing Change: Managing change is the art of anticipating the need for and

leading productive change. Change is moving the organization from where it is

to a new, more desirable place—closing the gap between what it has and what it

wants. 

Knowledge Base 

Why Should Correctional Managers Develop This

Competency?

Most public sector managers and supervisors are good analysts and decisionmakers. They are able to define a problem and develop a strategy to solve it.

What distinguishes the effective manager or supervisor is the ability to implement the proposed solution. 

Implementing an idea generally requires the involvement and commitment of

affected stakeholders. The art of managing change lies in getting them to believe

in an idea and bring it to life. Many great ideas and proposals have died because

the manager could not garner the support needed for implementation. In hierarchical organizations like correctional agencies/organizations, managers and

supervisors often try to order others to implement change. This approach typically results in resistance or, at best, short-term compliance.

Getting stakeholders to agree to change requires an understanding of how people respond intellectually and emotionally to change. It requires that managers

and stakeholders be willing to consider and understand different perspectives.

Finally, gaining support for change requires a willingness to change oneself.

This last is the most challenging for many managers and supervisors to 

understand.

Chapter 12

243

The responsibility

of a leader is to

bring about change

that is responsive to

the true and longterm needs of all

constituencies.

—James O’Toole, Author,

Leading Change: The

Argument for ValuesBased Leadership
244 ❘ Chapter 12

No magic bullets for successful change implementation exist, but certain strategies have proven effective and some common mistakes can be identified.

Understanding how and why people change can help a manager or supervisor

develop more effective change strategies. Several change implementation frameworks have been designed that, if used effectively, will increase the probability

of success.

Understanding the Change Dynamic

Four Elements of the Change Dynamic

To understand how to manage change, one needs to understand how change

works. Geoffrey Bellman, in his 1992 book, Getting Things Done When You Are

Not in Charge, has created a model of the key elements of what he labels the

“change dynamic” (p. 24). Bellman’s model, which consists of four elements

arranged in a triangle with “You” in the center and “Is,” “Want,” and “Players”

at the three corners, helps managers develop a better understanding of the circumstances and interactions that are required for change to take place.

Defining the Four Elements

The first two elements for change involve a desire for something to be 

different—an expectation of closing the gap between what exists and the 

preferred future. Bellman labels these the “is” and the “want.”

The third element is the “players”—all those who are potentially affected,

directly or indirectly, by the proposed change. The players may support the

change, oppose the change, or be neutral. Even when their job duties are not

directly affected by the proposed change, how their expertise is used or how

they interact with those who are directly affected can create concerns among

them.

The fourth and final element of change is “you.” You are distinguished from the

other players because you want to make a change. You are the catalyst for the

change process. 

Note that you are in the center of the triangle. The model assumes that you, as

a manager, have taken responsibility for the gap between the current state of

affairs and the desired future and are willing to serve as the change catalyst.

It does not mean you have the solution, but that you understand the need for

change and are willing to work with all the affected players to develop the best

possible solution. Many stakeholders may be aware of the gap but you are the

force that is willing to bring the elements together to close it.

Clarifying the Change Elements

By asking questions about each of the dynamic change elements, managers can

deepen their understanding of the potential for change. Too often managers

assume that they know what the problem is and what the best solution is. This

Our hope of influencing change is

increased by our

understanding of it.

—Geoffrey M. Bellman,

Author, Getting Things

Done When You

Are Not in Charge
Managing Change ❘ 245

often leads them to develop solutions that do not work, which in turn deepens

the fear of change throughout the organization. As a manager, questions that

might deepen your understanding include:

WANT:

■ What do you want?

■ What do the other key players want?

■ How do the wants differ? Overlap?

■ What do the various wants have in common?

■ How do the wants align with the correctional agency/organization’s current

vision, mission, values, and goals?

IS:

■ What are the boundaries of the situation?

■ How do the various players describe what exists right now?

■ How do their descriptions of the situation differ? Overlap?

■ How would you describe the present situation?

PLAYERS:

■ Who are they?

■ What investments aid or block movement from “is” to “want”?

■ What power do the players feel they have to make change or to maintain the

“is”?

■ What special talents or resources do they possess?

YOU:

■ Why are you invested in making this change happen?

■ What special talents or resources do you bring?

■ How well do you work with the various players?

■ How do your “wants” fit with the players’ “wants”?

Beginning the Change Process

Correctional managers and supervisors have been exposed to a wide range of

change techniques. Techniques such as total quality management, reengineering,

and learning organizations are often presented as tools that will help managers
246 ❘ Chapter 12

and supervisors overcome their subordinates’ resistance to change. These tools

and strategies can be helpful but they often overlook a critical underpinning of

change management. To manage change effectively requires a willingness to

change oneself.

The focus on overcoming the resistance of others fails to identify an essential

truth—the greatest impediment to change is often not the other players but oneself! Many managers and supervisors opine about why their subordinates and

bosses “resist change.” People naturally object to someone else’s imposing his

or her will. Organizations, like people, normally resist change at all levels.

Given this natural resistance to change, James O’Toole asks a critical question

in Leading Change: The Argument for Values-Based Leadership, “Why do leaders fail to do the things necessary to overcome their followers’ natural resistance

to change?” (p. xi). Overcoming the resistance to change in others begins with

understanding oneself.

Requirements for Effective Change Management 

To lead and manage change effectively requires managers to do the following:

■ Listen with intent.

■ Understand your values and motives. 

■ Submerge your ego. 

■ Be flexible.

Listen With Intent

It is a rare manager or supervisor who knows how to listen at a deep enough

level to understand the real organizational and personal challenges and opportunities inherent in change. Effective change agents do not just listen to what is

being said but also read body language and listen to what is not said. (See chapter 4, “Oral and Written Communication,” and the section on communication in

chapter 8, “Team Building,” for discussions on the unspoken elements in communication.) True active listening pushes for the deeper meaning of words and

behavior. Listening with intent helps a manager or supervisor understand the

“wants” and needs of his or her players. Managers and supervisors who want

to see their changes implemented should learn to listen carefully.

Understand Your Values and Motives

To be an effective force for change, managers and supervisors must understand

why they truly want something to be different. Is change really in the organization’s best interest or is it for personal gain? Do they resist an idea because it is

not a good one or because they do not like the person who suggested it? Often

managers and supervisors fail to examine their own values to determine the

underlying motivation behind their desired change or their resistance.

Simply put, effective change begins

when leaders begin

to change themselves.

—James O’Toole, Author,

Leading Change:

The Argument for

Values-Based

Leadership
Managing Change ❘ 247

Submerge Your Ego

Knowing when to step out of the way and let go of an idea or proposal is a

valuable skill in finding solutions that meet the needs of the critical players.

It requires changing one’s behavior to achieve the greater good or a long-term

objective. One must be able to let go of ownership. Great change can be

accomplished when receiving recognition is less important than achieving

implementation.

Be Flexible

A common complaint of line staff and less astute supervisors is that senior managers do not stay the course but often change their minds. It can appear (and

sometimes may be true) that senior staff focus only on what is politically viable.

It also may be that they have learned that problems have many potential solutions and the best solution is the one that is stable and lasting. To craft such a

solution requires modifying one’s behavior and remaining detached from any

one solution to a problem. 

In sum, although managers and supervisors may not have fully developed all

these skills because they are abilities rarely viewed as necessary to manage

change, they can be learned. Managing change involves articulating a vision and

finding ways to get others to buy into that vision. To accomplish this and to

shape and implement viable solutions that can endure, managers and supervisors

need to develop self-awareness.

The Change Process in Action: Eight Steps to

Transforming Organizations

A model that provides concrete steps for organizational change is John P.

Kotter’s “Eight Steps to Transforming Organizations,” presented in exhibit 12–1.

Although Kotter often speaks of large-scale organizational change, the principles of his model also apply to smaller unit or division change. As the steps of

Kotter’s model are being discussed below, the work of other change experts will

be cited to highlight particular points or to provide examples. 

Establishing a Sense of Urgency 

Kotter argues that half of all change efforts fail at the start because those who

need to change are not motivated to do so. Managers and supervisors spend a

great deal of time analyzing the “want,” what “is,” and the “players.” By the

time a manager or supervisor has decided to be a force for change, he or she

believes fully in the need for the change. It is easy for managers and supervisors

to forget that others may not be so convinced of the need for change.

Creating a sense of urgency for the change is essential. The majority of the

affected players must not only understand, but also want the change. William

Bridges, in Managing Transitions (p. 53), says to sell the problems before the

They always say

time changes

things, but you

actually have to

change them

yourself. 

—Andy Warhol 
solutions. People most commonly resist change because they do not understand

the purpose behind it or they see it as a criticism of how things are now being

done.

Players will be most open to potential change that they believe is genuinely

needed. They must understand the purpose behind the change, and they must see

248 ❘ Chapter 12

Exhibit 12–1. Eight Steps to Transforming Organizations

Source: Adapted from John P. Kotter, “Leading Change: Why Transformation Efforts Fail,” Harvard Business

Review, March–April 1995. Boston: Harvard Business Review OnPoint Enhanced Edition, 2000. Reprinted by

permission of Harvard Business Review. Copyright © 1995, 2000 by Harvard Business School Publishing

Corporation; all rights reserved. 

Establishing a Sense of Urgency

Examine market and competitive realities.

Identify and discuss crises, potential crises, and major opportunities.

Forming a Powerful Guiding Coalition

Assemble a group with enough power to lead the change effort.

Encourage the group to work together as a team.

Creating a Vision

Create a vision that helps direct the change effort.

Develop strategies for achieving that vision.

Communicating the Vision

Use every vehicle possible to communicate the new vision and strategies.

Teach new behaviors by the example of the guiding coalition.

Empowering Others To Act on the Vision

Get rid of obstacles to change.

Change systems or structures that seriously undermine the vision.

Encourage risk taking and nontraditional ideas, activities, and actions.

Planning for and Creating Short-Term Wins

Plan for visible performance improvements.

Create those improvements.

Recognize and reward employees involved in the improvements.

Consolidating Improvements and Producing Still More Change

Use increased credibility to change systems, structures, and policies that do not fit the vision.

Hire, promote, and develop employees who can implement the vision.

Reinvigorate the process with new projects, themes, and change agents.

Institutionalizing New Approaches

Articulate the connections between the new behaviors and corporate success.

Develop the means to ensure leadership development and succession.

2

3

4

5

6

7

8

1
that the manager or supervisor genuinely believes that the change is necessary

and that it is consistent with the manager’s or supervisor’s values. This is not to

imply that the manager or supervisor must have all the answers. Most players

react better to hearing that certain details have not been worked out or that some

issues are unclear than to being told nothing. Genuine, honest communication is

best, even if it simply says that you do not know.

Forming a Powerful Guiding Coalition 

Depending on the scope of the proposed change, the guiding coalition will cut

across the organizational hierarchy or remain within a division or unit. In either

case, a group is needed to shepherd the change process. This coalition must listen to all the players affected by the proposed changes and keep them informed

and engaged in the change process.

The coalition should function as a high-performing team (see chapter 8, “Team

Building,” for guidelines on building a team). It must be empowered to help

shape the proposed change, create a viable implementation plan, and communicate the vision to the affected players.

John P. Kotter, in his 1996 book Leading Change, identifies four key characteristics of effective guiding coalitions (p. 57):

■ Position power: Enough key players are on board so that those not participating cannot easily block progress.

■ Expertise: The skill sets needed to make the best informed decisions are

present.

■ Credibility: The group has enough people with good reputations that it will be

taken seriously.

■ Leadership: The group has proven leaders who can drive the change process.

Creating a Vision

Understanding the purpose of a change is essential, but players immediately

move on to wanting to know what the change will look like. Players need 

tangible images of the future. They also need to hear what the strategies for

making the change will be.

Communicating the Vision

A magnificent and compelling vision, poorly communicated, will fail.

Communication is not just about explaining the vision; it is about developing

rapport and trust.

In correctional agencies/organizations, managers and supervisors often communicate too little in terms of both quantity and quality. Workload, lack of

resources, shift work, and the hierarchical nature of corrections make effective

Managing Change ❘ 249
communication difficult. The more disruption and behavioral adjustments a

change entails, the greater is the need for good communication. A memo, email, or verbal explanation is not adequate for complex change. Several forms

of communication will be required to explain the purpose of change before

implementation issues can be considered. Adults learn differently so ensuring

that the meaning behind the proposed change is communicated in different formats increases the number of people who will be reached.

Guidelines for communicating the vision effectively include the following:

■ Repeat and repeat again. A rule for implementing a simple change is to

communicate it three different times in three different ways. Complex changes

require even more repetition. Address different learning styles by meeting

visual, auditory, and kinesthetic needs.

■ Use metaphors, analogies, and examples. Be sure these are from a frame of

reference that the audience will understand. The simpler they are, the better.

Give the audience a simple way of understanding something more complex.

■ Walk the talk. Actions impress more than words, so model the behavior you

expect. For example, if you are asking for budget cuts, then cut your budget

first. 

■ Use different communication vehicles. Use group meetings, newsletters,

shift changes, informal one-to-one conversations, audio/video presentations,

e-mail, memos, posters, etc. Apply the rule of three; make the message be

seen, heard, and experienced.

■ Explicitly address seeming inconsistencies. If the proposed vision conflicts

with current behavior in any areas, explain why.

Empowering Others To Act on the Vision

The need for change in one area often signals the need for change in other areas

as well. These areas will likely impede the change effort that you are making.

Four steps that a manager or supervisor can take to support employees’ efforts to

implement change are:

■ Make structures support the change. Do current operating policies and

practices create barriers to implementing the change? How might they need to

be changed?

■ Provide needed training. Training, more than almost any other activity, will

help staff get over resistance to the change. Yet training often is not provided

or is so cursory as to be meaningless.

250 ❘ Chapter 12
■ Align personnel and information systems with the change. Do personnel

and information systems support the proposed change? Managers and supervisors should do what they can to help players support the vision.

■ Confront those who undercut change. Failure to confront those who knowingly and willfully block the change will stymie support from other players.

Planning for and Creating Short-Term Wins

Consciously creating milestones and events to celebrate is an effective way

to keep the change momentum going. Ellen Schall, a recognized corrections

expert, speaks of “chunking the work” and “celebrating small wins.” By this she

means setting concrete and doable goals. If change is to take hold, employees

have to be a part of it and they need to see progress. John P. Kotter says a good

short-term win has three characteristics:

■ It is visible. People can see for themselves that it is real.

■ It is unambiguous. 

■ It is clearly related to the change effort.

Another reason for short-term wins is to create opportunities for success and

celebration. They are a way to link rewards with performance. Planning for

opportunities to celebrate is part of the guiding coalition’s job. All who are

invested in the change must seek opportunities to reward those who are making

the change happen.

Celebrations should be done in the way that is most meaningful to the individual

or group being honored. This assumes that the manager and other leaders know

the players well enough to determine what would be meaningful to them. Would

it be an honorary plaque, being served lunch, or receiving a desirable assignment? Would it be a public or private acknowledgment? James Kouzes and

Barry Posner, in The Leadership Challenge, provide ideas on how to celebrate

and “encourage the heart.”

Consolidating Improvements and Producing Still More Change

Beware of declaring victory too soon. It takes years for even a moderate change

to take hold. Creating monitoring systems is essential in preventing organizations from quickly slipping back into the old way of doing things. The leadership for monitoring the ongoing implementation of the change(s) must reside

with someone who has the time, power, and passion to ensure that erosion does

not occur.

Managing Change ❘ 251

Never underrate the

importance of visibly appreciating

others and their

efforts.

—Joan Nicolo,

Computing Resources,

Inc., quoted in 

James M. Kouzes and

Barry Z. Posner, The

Leadership Challenge
Institutionalizing New Approaches

Organizational culture is a powerful force that greatly influences staff behavior.

It is typically composed of many unspoken values and norms that may compete

with the values articulated in the correctional setting. New employees learn

shared values and norms by observing how more senior employees perform

their jobs. In this way, organizational values persist over time even as staff

change.

The final stage of organizational change is to anchor the change in the culture.

Changing a unit’s or organization’s culture is challenging, and the resistance

to a proposed change increases in direct proportion to the degree of cultural

change required. If, however, employees see a benefit to the change, over time

they will find a way to make it fit with the organization’s culture or will change

the culture.

Kotter offers the following insights into how change becomes part of the organizational culture:

■ Comes last, not first. Most alterations in norms will follow the change.

■ Depends on results. If the change has a benefit, the new approach will usually be incorporated into the culture.

■ Requires a lot of talk. People often require verbal instruction and support to

admit the validity of the change.

■ May involve turnover. Sometimes organizations have to change key people

to change the culture.

■ Decisions on succession are crucial. If promotion practices are not made

compatible with the new change(s), the old culture will reassert itself.

Managing Transitions

Moving From “IS” to “WANT”

The greatest challenge in managing change is not discerning what needs to

change, but managing the transition from “what is” to “what is desired.”

Whereas John P. Kotter provides a useful framework for organizing a change

process, William Bridges focuses attention on how to manage the human side of

change. Bridges helps managers understand the emotional impact of change and

how to manage the transition from “is” to “want.”

Bridges points out that before one can begin, one must end. As human beings,

we must transition from what we are losing before we can embrace what we are

beginning. Resistance is even greater when one is letting go of a way of doing

things that seems to work well and has no idea if the new way will be successful

once it has been implemented.

252 ❘ Chapter 12

Before you can

begin something

new, you have to

end what used

to be.

—William Bridges,

Author, Managing

Transitions
Three Stages of Transition

As has been noted, before people and organizations can begin, they must end.

The ending is usually followed by what Bridges calls the neutral zone, a time

when the organization has not fully left the old behind and has not fully

embraced the new. Ultimately this passes into the beginning of the new. If managers and supervisors understand these three stages of transition, they can support the players as they move through the phases. The change process on an

emotional level is like the five-stage grieving process defined by Elizabeth

Kübler-Ross in her book, On Death and Dying. Just as one moves through the

grieving stages of denial, anger, bargaining, and depression into acceptance, so

one might move through these stages during the change process. 

Ending

Understanding the impact of an ending, even something as simple as giving up a

familiar form or a minor change in protocol, requires managers and supervisors

to acknowledge both intellectually and emotionally that those affected feel a

sense of loss. 

For example, elimination of a form seems straightforward enough. Why would

anyone experience a loss over something so seemingly insignificant? A skilled

change agent watches and listens to understand why such an obviously innocuous change might engender resistance. For example, staff members who worked

hard on a committee to create that form take pride and ownership in it. Others

might resist the change because of what losing the form symbolizes—more

change in an agency suffering from organizational fatigue. 

Guidelines for responding to endings include the following:

■ Describe in detail what is going to change.

■ Determine if this will cause secondary changes.

■ Identify who is going to have to let go of something.

■ Acknowledge what is “over” for everyone.

Perhaps most challenging when attempting to understand loss is suspending

judgment. A skilled change agent does not argue about the validity of the loss

and accepts the reality and importance of the loss for the affected players. Often

one discovers history or information that was not fully understood. 

Managing Change ❘ 253

Change has a considerable psychological impact on the

human mind. To the

fearful it is threatening because it means

that things may get

worse. To the hopeful it is encouraging

because things may

get better. To the

confident it is inspiring because the

challenge exists to

make things better. 

—King Whitney, Jr.,

President, Personnel

Laboratory, Inc.

Ending ➡ Neutral Zone ➡ Beginning

Three Stages of Transition
Guidelines for helping affected players with an ending include the following:

■ Listen. Do not argue.

■ Do not be surprised by overreaction.

■ Acknowledge the losses openly and sympathetically.

■ Treat the past with respect.

Show how endings are necessary to move forward, ensuring the continuation of

what the players value and supporting the mission. 

A manager or supervisor can try to compensate for a loss in many ways. In the

forms example, the manager or supervisor could enlist the affected staff to help

craft the replacement form. The more that can be given to replace the loss, the

easier the transition will be. Managers and supervisors can give the following as

compensation:

■ Turf.

■ Status.

■ Recognition.

■ Team membership.

Neutral Zone

Bridges labels the time when the old systems have not yet ended and the new

have been announced but not implemented as the “neutral zone.” It can be a

time of confusion. The procedures to implement the policies are not yet written

and the systems needed to support the change may be delayed. A change effort

can be hindered in countless ways before and during change implementation. A

manager or supervisor can take several steps to help employees through the

transition. They include the following:

254 ❘ Chapter 12

It is not so much

that we’re afraid of

change or so in love

with the old ways,

but it’s that place in

between that we fear

. . . . It’s like being

between trapezes.

It’s Linus when his

blanket is in the

dryer. There’s nothing to hold onto.

—Marilyn Ferguson,

American Futurist

• Create temporary systems.

• Clarify each part in the play.

• Establish a transition management plan.

Techniques for Coping With the Neutral Zone
Managing Change ❘ 255

■ Create temporary systems.

– Try not to add other changes to the system while bringing on this change.

– Use a transition monitoring team.

– Review policies and procedures to see if temporary revisions are needed to

see the organization through the transition period.

– The normal hierarchy often fails at this time; determine whether acting

positions are needed.

– Have clearly identified short-term wins.

– Don’t promise great things in the beginning; plan a slow startup.

– Provide any special training needed.

■ Clarify each part in the play.

– Let employees know how they fit into the outcome.

– Determine the roles employees play in the transition.

■ Establish a transition management plan.

– Start where the players are, not where the manager or supervisor is.

– Work forward step by step.

– Address “people needs” in the transition plan as well as operational needs.

Beginning

Celebrating the ending and the launch of the beginning is helpful. For example,

if a new financial system is being implemented, the day it is up and running,

sponsor a small lunch or give out small awards. People need to be appreciated

for surviving the transition!

A simple way of organizing what needs to be done in the beginning phase is to

remember the four P’s:

■ Purpose: Explain it over and over again.

■ Paint a picture: It helps people understand how the outcome will look and

feel.

■ Plan: Create a phased-in plan that clearly outlines the steps in the process.

■ Part in the play: Give everyone a role to play in the process so each person

has ownership and can contribute.
Summary

To manage change effectively requires knowing oneself and others. It requires

an attempt to understand how those potentially affected by the change feel about

the change and what can be done to transition them from an ending to a beginning. It requires tenacity to stay the course from ending to beginning to 

institutionalization.

Understanding that resistance to change is normal increases the chances of creating an effective change process. The change process must be designed to

address the fear, angst, and turmoil that are often part of it. The guiding coalition must be able to articulate the urgency of the change and frame it so others

can understand the process. Existing structures and systems must be examined

to ensure they are not impediments to the change, and short-term wins must be

planned and celebrated. Finally, when all seems to be going well, attention must

be paid to ensuring that the change is fully integrated into the organizational

culture so backsliding does not occur.

Change is not for the faint of heart. It requires tenacity and a willingness to listen and to learn. It requires respect and trust—respect for those affected by the

change and trust that both the leader and the led are working for the organizational good.

256 ❘ Chapter 12
Key Skills and Behaviors

Understanding the Change Dynamic

Skill: Understanding how change works.

Behaviors:

■ Identify what you want.

■ Identify the other players and their characteristics.

■ Describe the current situation from your perspective and that of other players.

■ Clarify why you are invested in this change and how your interests fit with

those of other players.

Skill: Listening with intent.

Behavior: Actively listen to others to understand their views and feelings.

Skill: Understanding your values and motives.

Behavior: Clarify your values and motives so you can articulate them to other

players.

Skill: Submerging your ego.

Behavior: Develop the capacity to make the change effort a higher priority than

your need for ownership or recognition.

Skill: Being flexible.

Behavior: Remain detached from any one solution to a problem.

The Change Process in Action: Eight Steps to 

Transforming Organizations

Skill: Establishing a sense of urgency.

Behaviors:

■ Create a compelling case for why the change is needed.

■ Communicate in as many ways as possible.

Managing Change ❘ 257

Skill: The ability to do something well arising from talent, training, or practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
Skill: Forming a powerful guiding coalition.

Behaviors:

■ Assemble a team that is respected enough to be able to craft and sell the

change.

■ Support the team with resources.

■ Provide encouragement and appreciation for the team’s efforts.

Skill: Creating a vision.

Behavior: Describe the endpoint and the strategies for achieving it.

Skill: Communicating the vision.

Behaviors:

■ Identify multiple strategies for communicating the change. 

■ Communicate often.

■ Find multiple avenues for input by those affected.

Skill: Empowering others to act on the vision.

Behavior: Remove obstacles to change and create opportunities for players to

risk and innovate.

Skill: Planning for and creating short-term wins.

Behavior: Identify short-term milestones and the best way to celebrate them.

Skill: Consolidating improvements and producing still more change.

Behavior: Change systems and people who do not support the vision.

Skill: Institutionalizing new approaches.

Behaviors:

■ Explain why the change promotes unit/division/agency success.

■ Monitor the change until the change becomes part of the organizational culture to ensure staff members do not revert to old ways of doing business.

258 ❘ Chapter 12
Managing Change ❘ 259

Managing Transitions 

Skill: Understanding what is ending for affected players.

Behaviors:

■ Listen without judgment to learn what affected players are losing and how

history impacts this change effort.

■ Acknowledge the losses openly and sympathetically. 

■ Show how endings ensure continuity of what really matters.

Skill: Compensating for losses.

Behavior: Find ways to give back turf, status, recognition, and/or team 

membership.

Skill: Reducing confusion and managing the transition period effectively.

Behaviors:

■ Create temporary systems to provide support through the transition period.

■ Help people understand their roles during the transition period and after

changes are implemented.

■ Help people understand how the outcome will look and feel; clarify and celebrate their role in it.
260 ❘ Chapter 12

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems 

development, their primary focus is and service delivery, and they monitor 

on working with internal stakeholders operations for compliance with 

to create the systems and services correctional agency/organization policy.

needed to implement correctional Supervisors work primarily with internal

agency/organization policy. Managers staff but may also represent the 

are above supervisors in the chain of correctional agency/organization during

command. interactions with customers/constituents

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps

• Corrections Unit or Program above line or entry-level positions in the

Manager. correctional agency/organization.

• Deputy Jail Administrator.

• Capital Programs or Correctional Typical titles of supervisory positions:

Industries Administrator. • Adult or Juvenile Correctional Housing

• Probation, Parole, Community Unit Supervisor.

Corrections, or Community • Probation, Parole, Community

Sentencing Department Head or Corrections, or Community Sentencing

Regional/District Manager. Supervisor.

• Interstate Compact Administrator. • Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Key Skills and Behaviors

Understanding the • Develops an understanding of his • Develops an understanding of his or 

Change Dynamic or her motives for making change. her motives for making change.

• Identifies the potential impact of the • Identifies the potential impact of the

proposed change(s) within his or her proposed change(s) within his or her

span of control. span of control.

• Identifies the potential impact of the • Gives thought to possible external

proposed change(s) outside of his or impact, but focus at supervisor level is

her unit. primarily within supervisor’s span of

• Develops active listening skills. control.

• Is flexible with regard to possible • Develops active listening skills.

solutions. • Is flexible with regard to possible 

• Puts his or her needs second to solutions.

achieving the goal. • Puts his or her needs second to 

achieving the goal.

Appendix 12–1. Focus Matrix for Managers and Supervisors:

Managing Change
Managing Change ❘ 261

Manager Supervisor

Key Skills and Behaviors (continued)

The Change Process • Creates a compelling case for why • Creates a compelling case for why

in Action: Eight Steps change is needed. change is needed and forms the best 

to Transforming • Forms the best team to guide the team to guide the process. The scope 

Organizations process. of change may be narrower for a 

• Clearly describes the goal and how supervisor so a team may not be the 

it will impact other players. best vehicle for implementing and 

• Creates different ways to monitoring the change.

communicate the change, • Clearly describes the goal and how it

• Identifies ways for others to be a will impact others.

part of the solution. • Creates different ways to communicate

• Identifies milestones and celebrates the change.

them when achieved. • Identifies ways for others to be a part 

• Consolidates changes. of the solution.

• Monitors the changes to ensure that • Identifies milestones and celebrates

they become part of the culture of them when achieved.

the division or unit. • Monitors the changes to ensure that

they become part of the culture of the

unit.

Managing Transitions • Shows others affected by the change • Shows others affected by the change

that he or she understands what is that he or she understands what is 

ending for them and helps them ending for them and helps them 

understand that the change helps the understand that the change helps the 

division or unit fulfill the correctional unit fulfill the correctional agency/

agency/organization’s mission. organization’s mission.

• Finds ways to compensate for losses • Finds ways to compensate for losses

experienced by those affected by the experienced by those affected by the

change. change.

• Develops any temporary systems • Develops any temporary systems 

needed to get through the transition needed to get through the transition

period. period.

• Helps people affected by the change • Helps people affected by the change

understand their role in the transition understand their role in the transition

period and honors their contribution. period and honors their contribution.

Appendix 12–1. Focus Matrix for Managers and Supervisors:

Managing Change (continued)
262 ❘ Chapter 12

Resources

Bellman, Geoffrey M. (1992). Getting Things Done When You Are Not in

Charge. San Francisco: Berrett-Koehler Publishers, Inc.

Bridges, William. (1993). Managing Transitions. Cambridge, MA: Perseus

Books.

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the 21st

Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession Number

020474.

Kanter, Rosabeth Moss. (1983). The Change Masters: Innovation and

Entrepreneurship in the American Corporation. New York: Simon and Schuster.

Kotter, John P. (1996). Leading Change. Boston: Harvard Business School

Press.

Kotter, John P. ([1995] 2000). “Leading Change: Why Transformation Efforts

Fail.” Harvard Business Review, March–April. Boston: Harvard Business

Review OnPoint Enhanced Edition. 

Kouzes, James M., and Barry Z. Posner. (2003). The Leadership Challenge, 3d

ed. San Francisco: Jossey-Bass.

Kübler-Ross, Elizabeth ([1969] 1997). On Death and Dying. New York: Simon

and Schuster. 

Meyerson, Debra E. (2001). Tempered Radicals. Boston: Harvard Business

School.

O’Toole, James. (1996). Leading Change: The Argument for Values-Based

Leadership. New York: Ballantine Books. 

Schall, Ellen. (1997). “Notes From a Reflective Practitioner of Innovation,”

in Alan A. Altshuler and Robert D. Behn (eds.), Innovation in American

Government: Challenges, Opportunities, and Dilemmas. Washington, DC:

Brookings Institution Press.
Program Planning and

Performance Assessment

Cindi Yates

This chapter addresses program planning and performance assessment from the

perspective of correctional managers. It discusses why program planning and

performance assessment are important for correctional managers and presents

a method for developing a program plan and linking it to the correctional

agency/organization’s strategic direction. It also describes how program planning and performance assessment create a continuous feedback cycle to help

managers implement and refine programs. The chapter outlines the key skills

and behaviors related to program planning and performance assessment. Finally,

it presents a matrix (exhibit 13–1) that relates program planning and performance assessment to the responsibilities of correctional managers and supervisors. 

Definitions 

Program Planning: The process of developing a comprehensive plan that provides leadership, direction, and resource prioritization to ensure that the intended results of a program undertaken by a correctional agency/organization are

achieved. A program plan must link to and support the strategic direction of

the correctional agency/organization. 

Program Performance Assessment: Program performance assessments describe

how success in achieving goals will be measured and tracked. The targets of

performance measurement provide the quantifiable answer to the question,

“How will we know we’ve been successful in achieving our goal?” Analyzing

the gaps between current performance levels and performance targets helps

organizations identify priority areas in need of improvement, develop strategies

that will close the gap, and identify best practices that can be applied throughout

the organization.

Knowledge Base

Why Should Correctional Managers Develop This

Competency? 

As correctional resources become more limited, planning becomes more critical

to target those limited resources toward the best strategies for achieving the

most important results. Managers (and to a lesser extent, supervisors) need

information to evaluate and make decisions about the programs they oversee—

information that tells them whether the intended results are being achieved.

Performance measurement and program evaluations are two methods used to

measure program success.

Chapter 13

263
264 ❘ Chapter 13

Effective leadership reflects how key decisions are made, communicated, and

carried out at all levels of an organization. It relies on shared values, expectations, and purposes that are communicated and reinforced among leaders, managers, and supervisors and are made evident in the actions of the organization.

Effective leadership must have a clear vision and set expectations for performance and for improving performance. 

Program planning and performance assessment are valuable tools for leaders

to use in establishing organizational direction, performance expectations,

customer/constituent focus, and a leadership system that promotes excellence.

They are also useful for communicating the correctional agency/organization’s

intentions and direction to regulatory and funding authorities. Effective program

planning and performance assessment identify the program’s contribution to

the agency’s mission.

This chapter offers a framework for developing and implementing a program

plan in a correctional setting. A program plan is a comprehensive plan that

aligns program resources with the correctional agency/organization’s priorities,

mission, and vision. In addition, this chapter provides a consistent set of definitions for performance measurement and program evaluation. Finally, this chapter discusses how program planning and performance assessment create a

continuous feedback cycle that enables managers to refine their programs to

help the correctional agency/organization carry out its mission more effectively

and respond to changes in its strategic direction. 

Linking the Program Plan to the Strategic Direction of

the Correctional Agency/Organization

A program plan can be developed at the division, regional, functional, office,

or work unit level. For the purpose of this chapter, “program plan” refers to a

plan developed by any of these planning units. If the correctional agency/

organization’s overall vision and mission have been defined, the proposed 

program should support them. Whether the activity is called strategic planning,

business planning, or something else, a successful manager needs to develop

thorough answers to the following critical questions:

■ How does this program support the correctional agency/organization’s strategic direction?

■ Where does the unit want its program to be in relation to the correctional

agency/organization’s strategic direction?

■ Where is the program today?

■ How does the unit intend to close the gap between where the program is and

where it wants the program to be?
Program Planning and Performance Assessment ❘ 265

Cascading the Correctional Agency/Organization’s

Strategic Direction

“Cascading” the correctional agency/organization’s strategic direction (see

exhibit 13–1) is a process for aligning the entire organization to achieve its

vision, mission, and goals. Each appropriate organizational or functional unit

The Cascading

Process

Organizational

Entity

Individual/

Work Group

Unit

Program

Division

Agency

Strategic 

Direction

(Where)

Mission

Mission

Mission

Mission

Vision/

Mission

(What)

Common

Goals

(How)

Management Direction

Tasks

Activities

Objectives

Functional

Objectives

Strategies

Measures

(How Well)

Measures

Measures

Measures

Measures

Measures

Action Plans

(Who, What, 

When)

Who

What

When

Who

What

When

Who

What

When

Who

What

When

Who

What

When

Exhibit 13-1. The Cascading Process for Goals and Strategies

Source: Washington State Department of Transportation, Olympia, WA: n.d. Reprinted by permission of

Washington State Department of Transportation.
266 ❘ Chapter 13

(e.g., division, region, program, work unit) develops goals and strategies that

align with those of the organization as a whole. In turn, each manager works

with direct reports to develop goals and strategies that align with the regional/

division, functional, and program goals and objectives until those goals and

strategies are communicated to the frontline personnel, as illustrated in exhibit

13–1. As a result, all staff know what they can do to contribute to the overall

goals of the organization. The process of cascading the goals through program

objectives, unit activities, and individual or work group tasks sets the direction,

creates linkages, and establishes targets for achieving the mission of the correctional agency/organization.

Cascading goals and strategies is valuable because it focuses the efforts of the

entire correctional agency/organization around a set of common goals, provides

a common language, and drives cross-functional teamwork and prioritization of

activities.

By participating in the cascading process, all employees can help determine the

jobs, tasks, or areas that their work groups or units agree need attention. Group

discussions with managers and supervisors about what each office does and

how each unit contributes to the organization provide an opportunity for dialog

among all levels of staff. Through these discussions, managers and supervisors

can participate in establishing goals and strategies for their work areas, contribute to the development of goals and strategies for related areas, and help

select the top priorities that need attention. 

Managers and supervisors should also apply the identified goals and strategies

when conducting employee performance evaluations. Reinforcing common

goals through evaluation, reward, and recognition helps make employees at

all levels of the organization accountable, which will be reflected in program

results.

Developing the Program Planning Document

Organizations can choose among many methods of developing a program

plan; each organization should tailor its method to meet its needs. The degree

to which a correctional agency/organization sets a strategic direction through its

planning efforts varies by organization. Program planning should be flexible so

it can address the changing needs of the organization, its customers/constituents,

and its stakeholders. 

A program plan can be a valuable tool for communicating both inside and outside the correctional agency/organization and for initiating change within the

agency. Although the components of the planning document will vary by organization, the document should always be simple, easy to read, and interesting to

the target audience. Varying narrative text with bullets, graphics, and charts can

help make the document user friendly. 

Greatness is not

where we stand,

but in what direction we are moving.

—Oliver Wendell Holmes
Program Planning and Performance Assessment ❘ 267

Common building blocks for program planning include:

■ Assessment of the external and internal environments.

■ Vision (usually established at the agency/organization level, not the 

program level).

■ Mission.

■ Values (also usually established at the agency/organization level). 

■ Goals. 

■ Strategies/initiatives and financial plan (budget and resources). 

■ Performance measurement.

■ Program evaluation.

Program planning can use many possible frameworks. Each organization should

select the building blocks and framework that meet its needs. Using consistent

definitions and involving the right people in each step to achieve organizational

buy-in and ownership are critical. 

The next sections provide definitions, examples, and recommended development

strategies for each building block mentioned above. These recommendations set

forth one method for developing a program plan. The process likely will change

with each plan the correctional agency/organization develops. If the strategic

direction of the organization is very specific, then a top-down approach to program planning is useful. If not, a bottom-up approach, in which line staff recommend solutions to organizational challenges, is most beneficial. The following

recommendations use a top-down approach for some components and a bottomup approach for others.

Assessment of the External and Internal Environments

The first step in program planning is to assess the external and internal environments. Ideally, the program plan is created through a data-informed process that

begins with a scan of these environments. 

It is important that decisionmakers understand the environment in which the

correctional agency/organization’s programs operate. For example: Is the

offender population growing? How are the characteristics of the offender population changing (e.g., changes in the number or proportion of female offenders,

youthful offenders, drug offenders, violent offenders)? What future challenges

and issues does the organization need to be prepared for? It is also important to

assess the correctional agency/organization’s internal environment, including

factors such as employee skills, turnover, culture, and technology resources. 
The product of this assessment is an inventory of internal strengths and weaknesses, and external opportunities or threats (also known as a SWOT analysis).

This analysis can help program planners identify critical issues, risks, challenges, and opportunities that the plan must address.

Program plans should be linked or aligned with capital and operating budgets.

The internal assessment will identify emerging issues that may affect the

organization’s capital and technology needs. Changes in customers/constituents’

expectations, program strategies, facility age, offender populations, and government initiatives may significantly change a program’s facility and technology

infrastructure requirements. 

Vision 

Vision Statement

The vision statement gives an image of the overall direction of the program; it

states what the program aspires to do or become. A vision should be strategic,

lofty, and inspiring. Not all programs establish a vision, especially if the correctional agency/organization has set a very clear organizational vision.

Recommendations for Developing a Vision Statement

Although the vision statement must come from the organization’s executive

leadership or the program head, this does not mean the top leaders can simply

impose their vision. The vision must reflect what has gone before and give

voice to the passion of employees. A great vision should come from the heart,

it should be personal, and it should be inspiring. A vision statement should be

clear, concise, and compelling. 

The program head should use a process for vision development that is consistent

with the correctional agency/organization’s culture. Whether that process is

directive, consultative, or collaborative (for an explanation of these terms, see

chapter 8, “Team Building”), the program head must demonstrate commitment

to the vision and should share that vision with the management team and get

their input and buy-in. If the organization has a vision statement, the program’s

vision must be consistent with it.

268 ❘ Chapter 13

• Working together for safe communities.

• We see a fair, just, and safe society where community partnerships are

restoring hope by embracing a balance of prevention, intervention, and

advocacy.

• Provide service, support, and solutions.

Examples of Vision Statements
Mission

Mission Statement 

Like the mission statement for the correctional agency/organization, the program mission statement explains why the program exists. It clearly states what

the program does, why it does it, how it does it, and for whom it does it.

Recommendations for Developing a Mission Statement 

A clear, well-communicated mission statement can be a unifying force for a

program, clarifying its purpose for staff and stakeholders. It is critical that the

management team develop the mission for the program. Buy-in and feedback

from staff are important, but developing the mission remains the leadership’s

responsibility. All employees who are involved in the program should be able

to relate their duties to the mission. In addition, the mission should be clearly

understood by the public and authorizing bodies.

When developing a program mission statement, the following questions that

relate to both the mission of the correctional agency/organization and the program itself should be answered:

■ Who are we as a correctional agency/organization?

■ What is the correctional agency/organization’s purpose?

■ Why does the correctional agency/organization do what it does?

■ Who are the customers/constituents to be served?

■ Is the mission consistent with the correctional agency/organization’s 

enabling legislation?

■ Is the program mission consistent with the correctional agency/organization’s

mission?

The best method for developing the mission statement is a focused, uninterrupted session with the management team. The statement should be brief. 

Values

The correctional agency/organization’s executive and senior-level leadership is

responsible for defining the organization’s values; however, managers and supervisors are responsible for ensuring that those values are adhered to at the program,

Program Planning and Performance Assessment ❘ 269

Many leaders have

personal visions

that never get translated into shared

visions that galvanize an organization. What has

been lacking is a

discipline for translating individual

vision into shared

vision.

—Peter Senge, Author,

The Fifth Discipline

The Office of Administrative Services Team, in partnership with our 

customers/constituents, provides quality services, integrated support,

innovative solutions, and leadership to further the Department’s success.

Example of Program Mission Statement
unit, and work group levels (see chapter 2 of this publication, “Ethics and

Values”). For a discussion of the development of values as part of the strategic

planning process at the agency/organization level, see chapter 8, “Strategic

Planning and Performance Measurement,” in Correctional Leadership

Competencies for the 21st Century: Executives and Senior-Level Leaders.

Goals

Goal Statements

Goal statements address the ends toward which a program’s efforts are directed.

A goal addresses issues by stating policy intention.

Goals chart the program’s future direction. They should challenge the program,

but should be achievable within 2 to 3 years. The goal development process

focuses the program on clearly defined purposes. Goals should be broad and

issue oriented and should reflect the realistic priorities of the organization.

Goals state what the program wants to achieve; strategies state how it will

achieve it. 

Recommendations for Developing Goals 

The management team should be involved in identifying the program goals.

Because the goals need to reflect the priorities of the entire program, input from

employees, stakeholders, and customers/constituents is important. However, the

management team must make the final determination of the program’s goals. A

retreat or meeting of the management team to focus and prioritize is a useful

method for finalizing goals.

The following questions are helpful to consider when developing program goals:

■ Are the goals consistent with the program’s vision and mission?

■ If the goals are achieved, will the program’s mission be achieved?

■ Do the goals provide a clear direction for the program?

■ What should the program focus on?

270 ❘ Chapter 13

Long range planning does not deal

with future decisions, but with the

future of present

decisions.

—Peter F. Drucker,

Father of Modern

Management

• Provide a safe, secure, and healthy environment at all departmental facilities and work sites.

• Provide control and interventions consistent with the offender’s risk potential and conditions imposed by the court. 

• Hold offenders accountable for harm done to victims and the community. 

• Provide services that increase chances for offenders to succeed in the 

community.

Examples of Goal Statements
■ Can measurable objectives be developed for each goal?

■ Can everyone contribute to achieving the goals?

■ Can the goals be achieved within 1 to 3 years?

Strategies/Initiatives and Financial Plan (Budget and Resources)

Defining Strategies and Initiatives 

Strategies are initiatives or actions undertaken to achieve the goals and objectives of the program. The outcomes of strategies are action oriented, measurable,

and address challenges or performance gaps. 

Recommendations for Developing Strategies and Initiatives

Strategies reflect the method or means for achieving the program’s goals or

objectives. Managers, supervisors, and line staff should participate in developing

program strategies. The management team should make the final decision on

which strategies will be implemented; however, those who do the work every

day often have the best ideas for improving how they do their jobs. 

Identify and use “what works.” An important part of developing a program’s

approach to achieving its goals and objectives is identifying strategies that

research has shown to be effective for similar programs. The National Institute

of Corrections and others have documented best practices in many areas of correctional operations. For example, MacKenzie and Hickman, in their report on

the effectiveness of offender rehabilitation programs in Washington State, “What

Works in Corrections?”, reference several research studies indicating that community employment programs are effective in reducing recidivism. Therefore, a

strategy to expand job opportunities for offenders may support the achievement

of a program goal to reduce recidivism. 

Planners should consider the following when developing strategies:

■ Does the research support this strategy/initiative?

■ Will implementing the strategy/initiative assist the program in achieving

its goals?

Program Planning and Performance Assessment ❘ 271

• Train correctional facility staff in tactical verbal skills to enable them to

defuse situations that could escalate into violence.

• Create job placement programming in the community; develop employer

incentives to hire/train offenders.

• Establish a chemical dependency screening procedure at each facility for

incoming offenders.

Examples of Strategies
■ Will implementing this strategy/initiative require additional resources?

■ Is the strategy/initiative consistent with the program’s vision and mission and

the correctional agency/organization’s values?

■ Can the program achieve this strategy/initiative?

■ Is statutory change necessary to implement the strategy/initiative? 

Financial Plan (Budget and Resources)

Considering the resource needs for each strategy/initiative is critical to success.

The cost/benefit of each strategy/initiative should be analyzed to establish priorities and choose strategies for the final plan. Unless resources are aligned with

each strategy/initiative, the program’s goals cannot be achieved.

The following questions are helpful to consider when developing a financial

plan:

■ What staffing, equipment, training, and other resources are needed to implement the strategy/initiative?

■ Can the strategy/initiative be achieved using currently available resources?

■ If additional resources are needed, can they be reallocated from other areas?

■ Is the project contingent on requesting funding in the correctional

agency/organization’s operating or capital budget? 

■ Is outside grant funding available?

■ Does the strategy/initiative have cost impacts for other state or local agencies

or organizations?

Performance Measurement and Program Evaluation

See the following section of this chapter, “Program Performance Assessment,”

for a discussion of performance measurement and the development of performance measures and program evaluations. 

Program Performance Assessment

Managers and supervisors need information to evaluate and make decisions

about the programs they oversee—information that tells them whether the

intended results are being achieved. Performance measurement and program

evaluation are two methods used to measure the success of a program. 

Performance measurement examines the tangible results and accomplishments

of an activity or program according to a specific set of criteria or specific

272 ❘ Chapter 13

Asking the right

questions takes 

as much skill as

giving the right

answers.

—Robert Half, Founder,

Robert Half Finance

and Accounting
numerical or otherwise definable goals. However, in many cases, a program’s

results may not be easily defined or measured in terms of a numerical goal. In

those cases, or when a correctional agency/organization wants to look at a program from a broader perspective, a performance evaluation or performance audit

may be appropriate.

Performance Measurement

Defining Performance Measurement

Performance measurement is an ongoing process of measuring the results and

accomplishments of an activity or program. Because performance measures tend

to focus on regularly collected data, they can act as an early warning or indicator of a trend. 

For some programs, outcome data or observable results are not readily available,

especially in the short term. Because many outcome measures require examining a long-term result such as recidivism, intermediate outcome measures that

are correlated with the long-term outcome or goal are useful. Intermediate measures provide a method for monitoring short-term and intermediate outcomes,

an opportunity for results-based management, a means of improving resource

allocation decisions, and an ongoing system of measuring and evaluating

performance.

Exhibit 13–2 illustrates the relationship between short-term activities and programs, intermediate measures, and long-term outcome measures.

Types of Performance Measures

Types of performance measures that correctional programs may find useful

include objective statements, outcome measures, input measures, process/

workload measures, and efficiency measures. Because different measures may

be useful to different audiences, correctional programs should develop a range

of measures. For example, process measures and workload measures are useful

for internal managers and staff, but the public, the legislature, and the Governor

are most interested in outcome measures or the results of programs.

Program Planning and Performance Assessment ❘ 273

• Performance measures are a powerful tool in driving desired behavior.

• Performance measures give individuals direction in what they need to

accomplish.

• People respond to what is inspected, not what is expected.

Why Institute Performance Measures?
Objective statements. Objective statements are clear targets for a specific

action that can be measured and achieved within a specified timeframe. A goal

may be divided into multiple objectives. Each objective should be expressed in

terms of increasing, decreasing, or maintaining something.

Example: Increase by 5 percent the number of offenders who successfully complete education course subject levels. 

Outcome measures. Outcome measures are indicators that assess the impact or

results of a program. Outcome measures should capture why a program exists. 

Example: Percentage of offenders who receive a high school diploma or GED. 

Input measures. Input measures address the amount of resources needed to

provide a program or service. 

274 ❘ Chapter 13

“So That”

Ultimate Policy

Intent

Degree of

Control for

This Agency

Offenders learn vocational 

skills and work ethics.

Offenders secure

employment after release.

Offenders stay employed,

support families, and

do not reoffend.

Provide vocational

training to offenders.

“So That”

“So That”

Exhibit 13–2. The “So That” Chain

Source: Public Knowledge, Inc., “Instituting Performance and Outcome

Measures,” training seminar presented to Washington State Department 

of Personnel, Olympia, WA, n.d. Reprinted by permission of Public

Knowledge, Inc.

• Objective statements.

• Outcome measures.

• Input measures.

• Process/workload measures.

• Efficiency measures. 

Types of Performance Measures
Program Planning and Performance Assessment ❘ 275

Example: Total operating expenditures for supervision of offenders on community supervision and community placement.

Process/workload measures. Process or workload measures (output) are the

number of units produced or services provided by a program. They capture

what a program does.

Examples:

■ Total number of offenders who need educational programming who are actually enrolled.

■ Percentage of available classroom slots filled.

Efficiency measures. Efficiency measures express the cost per unit of products or services provided or the productivity associated with an outcome or

workload.

Example: Average cost per offender on community supervision and community

placement.

Recommendations for Developing Performance Measures

As with strategies, teams of employees representing all levels of the correctional agency/organization should be used to develop the performance measures;

however, the program leaders make the final decision on the objectives and

measures most important to the program. Measures should link to the goals,

strategies, and initiatives identified in the program plan. Planners should be

certain that the measures chosen address the program’s performance issues

because unintended consequences may result from emphasizing the wrong

measure. For example, if the goal is to improve the case planning process and

the organization measures the number of case plans completed within a certain

timeframe, staff may respond by increasing the number of case plans completed,

but the quality of the plans may decline.

The following questions are helpful to consider when developing performance

measures:

■ Does each measure support achievement of a goal?

■ Will the audience understand the measure?

■ Can the data source be identified and is it reliable?

■ Is the cost of collecting the data reasonable?

■ Do program activities affect the achievement of the measure?
Monitoring and Reporting Performance Measures

This section discusses two techniques for monitoring and reporting on program

performance: exception reporting and management review. These techniques are

often used together. 

Exception report. Objective program-related data are vital to good program

management. One tool used to assess whether or not the program is achieving

its performance goals and targets is the exception report process. Each performance measure is reported on a graph that indicates current performance, stated

target, and an exception trigger. Measures that are reported to be outside the predetermined parameters—“exceptions”—trigger an exception report. The exception report is a message that the program is (1) meeting expected performance

levels, (2) exceeding expected performance levels, or (3) not meeting specific

performance goals. It may trigger further review. 

Management review. Management review is another method used to assess

performance measures and identify best practices, often in conjunction with

exception reporting. On a quarterly or monthly basis, managers make structured presentations on their performance measure data to the correctional

agency/organization’s executives and senior-level leaders. These presentations

focus on measures that have triggered an exception report. Specific questions

asked at this review include:

■ Administrative: What has been done to affect this performance measure?

■ Descriptive: What were the results? 

■ Diagnostic: Were the desired results achieved?

276 ❘ Chapter 13

The following considerations are useful in developing a process for reporting

on performance measures:

• Designate someone to be responsible for compiling the performance measure reports and disseminating the reports throughout the correctional

agency/organization.

• Tailor the reporting to the audience, compare actual to expected performance, and provide explanatory information. 

• Develop easy-to-understand formats (tables, charts, and graphs) for quantitative reporting.

• Provide timely information for management purposes.

• Look at what is working well and share best practices.

Tips for Establishing a Reporting Process
■ Creative and predictive: After review of the results, should other options be

considered and why? 

■ Evaluative: What do you feel is, or could be, the best choice to affect this

performance measure? 

After the managers answer these questions, a group discussion can focus on

three areas:

■ What are the best practices?

■ What are the apparent barriers to success and/or problems?

■ What opportunities exist for collaborative problem solving?

Managers are encouraged to begin formulating answers to these questions as

soon as an exception report is triggered.

Program Evaluations and Performance Audits

Program Evaluations

If a program’s results are not readily defined or measured, a program evaluation may be needed—in addition to performance measurement—to determine

the extent to which the program is meeting its goals and objectives. Program

evaluations are systematic studies conducted to assess how well a program is

working. They typically examine a broader range of information than is considered in ongoing performance measurements, such as longitudinal data and

information on processes, barriers, quality, and linkages to other programs.

Evaluations can also be used for one-time analysis of data that, while useful,

would be too costly to collect on a regular basis.

Like performance measurement, program evaluations support resource allocations and policy decisions to improve service delivery and program effectiveness. Whereas performance measurement, because of its ongoing nature, can

serve as an early warning system to management, a program evaluation is typically a more indepth examination of program performance that assesses overall

outcomes and identifies ways to better achieve intended results.

Performance Audits

A performance audit is an independent assessment of quality, efficiency, and

effectiveness. It can be an effective tool for verifying performance and quality

standards that may be difficult to capture with ongoing performance measures.

Frontline employees should have a principal role in establishing the performance audit process and in helping to fix processes and practices the audit reveals

as needing improvement. Clear performance standards are necessary if the audit

is to determine whether expected results are being achieved.

Program Planning and Performance Assessment ❘ 277
Successful Program Planning and Implementation:

Creating a Continuous Feedback Cycle 

Components of the Feedback Cycle

Program planning is successful only if the program is implemented and achieves

positive results that support the correctional agency/organization’s strategic

direction. Successful programs rely on a process that includes the following

steps:

■ Planning—Identify gaps and develop strategies.

■ Implementation—Carry out action plans.

■ Monitoring—Measure results.

■ Ongoing Quality Improvement—Adjust and plan for the future.

Exhibit 13–3 shows how these steps create a continuous feedback loop that

relates the program to the correctional agency/organization’s strategic direction. 

278 ❘ Chapter 13

Agency Strategic Direction

Program Plan

Identify Gaps 

and Develop 

Strategies

Measure

Results

Performance

Measurement

and Evaluation

Implement and 

Adjust Based

on Results

Implement 

Action Plan

Exhibit 13–3. Steps for Successful Program Planning and

Implementation: Creating a Continuous

Feedback Cycle
Testing Programs Before Full Implementation

Operating a pilot program before final program implementation is one way of

generating beneficial feedback. The performance measures and evaluation data

from the pilot operation can be incorporated into the final program design.

Particularly for programs that require large investments in equipment, training,

infrastructure, or staff, a pilot can help define the best method for deploying the

program fully.

Responding to Change

The continuous feedback cycle enables leaders to respond to changes in the correctional environment. The correctional agency/organization’s strategic direction

may change in response to new legislation; changes in economics, culture, leadership, or offender populations; or new information regarding the delivery of

correctional services. The program plan should be a living document to guide

program managers in setting priorities and allocating resources to deal with

these changes in the program context. 

Assessing program performance through performance measure data and program evaluations enables managers to adjust and plan for the future. Quarterly

or other regular status reports provide a mechanism for holding managers

accountable for program performance and a forum for making decisions and

changing program strategies as the organization’s needs change. 

Ensuring Successful Implementation

Successful program implementation requires managers and supervisors to provide clear direction, track program progress, and create structures to make

modifications and remove barriers as they arise. Program implementation is

often accomplished at a team level, with one or more teams or task forces being

assigned to individual projects to carry out one or more tasks related to the program. A project team may include employees from one division or several divisions or offices, depending on the scope of the project. Defining the project

sponsor/process owner, utilizing employees, establishing team charters, using

an action plan tracking tool to monitor the progress of each project, creating a

learning environment, and understanding the roles of various levels of leaders

and employees within the organization are methods to help ensure successful

implementation. 

Sponsor

The sponsor is the stakeholder who requests that the project be undertaken and

has a vested interest in the results. The sponsor, who is generally an executive or

a senior manager, acts as a liaison with other executives and helps eliminate barriers facing the project team. (For further discussion of the role of a team sponsor, see chapter 8, “Team Building.”)

Program Planning and Performance Assessment ❘ 279
Process Owner

The process owner is identified by management and serves as the team’s liaison

to the management team. Process owners generally are mid-level managers

within the correctional agency/organization.

Employee Involvement

In addition to the process owners, employees throughout the organization participate in program implementation. Where appropriate, the process owners should

identify team members to recommend techniques for implementation. 

Employee involvement gives people at all levels greater influence over their

work and allows those closest to the process to provide the innovation and

change required to meet program goals. Managers identify the “what” and

then allow employees to define the “how” to accomplish the activities.

Charter 

A team charter is a written agreement that spells out the charge given to the

team and the responsibilities of all people involved. It outlines boundaries and

constraints. A charter should include the following:

■ Description of the problem that the team is to address.

■ Expected outcomes.

■ Relevant parameters, such as staff resources and training, technical support,

deadlines or time constraints, other groups that must be consulted (e.g.,

unions, other criminal justice agencies), and options that are “off the table.”

■ Decisionmaking process.

■ Method for communicating with management.

■ Names, roles, and responsibilities of the team leader and team members;

names and positions of management guidance team members (e.g., sponsor,

process owner).

Action Plan

Action plans detail the steps for implementing a strategy or goal. They are

important for frontline managers and supervisors because they provide individual employees, offices, divisions, institutions, and programs with the appropriate

level of detail to guide their activities. Upper-level managers use action plans to

ensure that a strategy is being implemented on schedule. An action plan is particularly helpful for projects that involve several different divisions or offices.

280 ❘ Chapter 13

Teams are less likely than individuals

to overlook key

issues and problems or take wrong

actions.

—Tom Peters,

Management Expert,

Coauthor, In Search

of Excellence
An action plan should balance the benefits of simplicity and flexibility with the

need for a detailed structure. Although the components of an action plan may

vary, at a minimum the action plan should address: 1) who (team leader and

team members), 2) what (project description), 3) when (project completion

date), 4) resource, and 5) status. An action plan could include the following

items:

■ Project title: The project title should be clear and understandable.

■ Project completion date: Establish a completion date for the overall project.

In some cases, a project might be considered ongoing.

■ Process owner/project manager/team leader: Assign a project manager/team

leader for each action plan. The leader is responsible for managing the project, ensuring its timely completion, and developing, coordinating, and updating the action plan. 

■ Project description: Include a clear and concise description that sets out

the need for the project and defines its scope and limiting parameters. Also

include linkages to the organizational and program goals, strategies, and

objectives that the project supports. 

■ Participating divisions/organizations, contacts, and telephone numbers:

Identify project team members. 

■ Stakeholder divisions/organizations, contacts, and telephone numbers:

Identify internal and external interest groups or stakeholders who may not

be represented on the project team but who have an interest in the project.

Stakeholders may need to be consulted on a particular issue and notified of

project outcomes or progress. The plan should specify action steps for involving stakeholders. 

■ Constraints or concerns: Identify specific constraints, concerns, or other limiting factors (e.g., statutory, fiscal, and infrastructure constraints).

Program Planning and Performance Assessment ❘ 281

• Who (team leader and team members).

• What (project description).

• When (project completion date).

• How (resources).

• Where (status).

Components of an Action Plan
282 ❘ Chapter 13

■ Specific action steps, tasks, or activities: Identify specific action steps, tasks,

or activities for implementing the project. For each step, assign a contact

person and project a completion date. Organize the steps sequentially and

logically. 

■ Fiscal impact: Identify the fiscal resources necessary to implement the

project. 

■ Goals, strategies, objectives, and performance measures: Tie the action

plan to the goals, strategies, objectives, and performance measures to be

achieved. 

Exhibit 13–4 presents selected components for an action plan template, based on

a form used by the Washington Department of Corrections. The template sections can be expanded, reduced, or eliminated, depending on the needs of an

individual project. 

An Environment for Learning:The After Action Review 

Sharing what works is critical to becoming a learning organization. In the complex corrections environment, every action plan, strategic plan, and initiative is a

working hypothesis of the best method to achieve the intended results. The data

elements used in plans are attempts to describe conditions and processes; they

should not be mistaken for the real world or for the actual work. These elements

are “snapshots” that inform the process of program planning, implementation,

and assessment.

The U.S. Army’s After Action Review model—based on repeated cycles of

reflect-plan-act—is an effective tool for ensuring that lessons learned are reflected in future actions. As Marilyn Darling and Charles Parry state in their 2001

article, “Emergent Learning in Action: The After Action Review,” “Over a number of iterations, the implicit and explicit knowledge held by the team about

effectiveness in the particular domain evolves substantially. New practices and

standards of excellence emerge.” The after-action plan typically asks the following questions:

■ What was supposed to happen? 

■ What actually did happen and why? 

■ What will be done (the same or differently) next time?
Program Planning and Performance Assessment ❘ 283

STATE OF WASHINGTON

DEPARTMENT OF CORRECTIONS ACTION PLAN

PROJECT TITLE PROJECT

COMPLETION DATE

PROJECT MANAGER

DESCRIPTION

PARTICIPANTS

DIVISION/ORGANIZATION NAME OF CONTACT PHONE NUMBER

STAKEHOLDERS

DIVISION/ORGANIZATION NAME OF CONTACT PHONE NUMBER

CONSTRAINTS/CONCERNS

1

2

3

SPECIFIC ACTION STEP

TASK/ACTIVITY STAFF RESPONSIBLE 

PROJECTED

COMPLETION

DATE

ACTUAL

COMPLETION

DATE

1

2

3

4

5

6

FISCAL ASSUMPTIONS:

COST/BENEFIT ANALYSIS:

PERFORMANCE MEASURES

(Outcome, workload, or efficiency measures) FISCAL YEAR FISCAL YEAR

Exhibit 13-4. Action Plan Template

Source: Washington State Department of Corrections, Olympia, WA: n.d. Reprinted by permission of

Washington State Department of Corrections.
Understanding Roles Within the Correctional

Agency/Organization

Executives and senior-level leaders play the following roles in program planning, implementation, and measurement:

■ Define vision, values, mission, common goals, and key business processes.

■ Foster communication and feedback with other levels of the correctional

agency/organization in goal deployment. 

■ Charter and monitor system-level projects.

■ Reward and recognize successful program implementation. 

Managers play the following roles in program planning, implementation, and

measurement:

■ Build division/department mission and functional objectives that are aligned

with the correctional agency/organization’s common goals.

■ Identify priority business processes and make and measure improvements.

■ Charter and monitor process improvement teams.

■ Have ownership of and accountability for an area of responsibility.

■ Support employees in program implementation tasks. 

Employees play the following roles in program planning, implementation, and

measurement:

■ Participate on teams.

■ Select measures and measure work unit performance.

■ Continuously improve their daily work.

■ Have ownership of and accountability for an area of responsibility.

■ Support their peers.

Summary

Aligning individual programs and work units with the correctional agency/

organization’s strategic plan is critical to successful program planning and

implementation. Effective alignment requires common understanding of purposes, goals, and measures to enable planning, tracking, analysis, and improvement

at the organization, program, and work unit levels. Each program and work unit

should review the agency/organization’s strategic plan and determine how it

relates to them and what strategies and measures they must implement to support the strategic plan.

284 ❘ Chapter 13
As correctional resources become more limited, planning becomes more critical

to target those limited resources to the best strategies for achieving the most

important results. The process of cascading goals and strategies is valuable

because it focuses the efforts of the entire correctional agency/organization

around a set of common goals, provides a common language, and drives crossfunctional teamwork and prioritization of activities.

Program performance assessments track program performance and measure it

against established criteria for success in achieving program goals. The targets

of performance measurement provide the quantifiable answer to the question,

“How will we know we’ve been successful in achieving our goal?” Analyzing

the gaps between current performance levels and performance targets helps

organizations identify priority areas in need of improvement, develop strategies

that will close the gap, and identify best practices that can be applied throughout

the organization. Performance data provide feedback to managers and supervisors so they can adjust program plans to achieve the intended results.

Key Skills and Behaviors

Linking the Program Plan to the Strategic Direction of

the Correctional Agency/Organization

Skill: Setting program direction. 

Behaviors:

■ Facilitate the development of program goals and strategies.

■ Align the program direction with the correctional agency/organization’s

strategic direction.

■ Identify gaps between current performance and targeted goals and objectives. 

■ Work with staff to develop strategies and initiatives that will allow the program to achieve its goals. 

■ Prioritize strategies and initiatives. 

Program Planning and Performance Assessment ❘ 285

Skill: The ability to do something well, arising from talent, training, or practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
Program Performance Assessment

Skill: Setting performance expectations. 

Behaviors:

■ Work with staff to determine the best method for assessing program 

performance.

■ Use performance measures for ongoing assessment and program evaluations

for one-time indepth analysis.

■ Set performance targets; clearly define success and communicate performance

expectations to staff. 

Successful Program Planning and Implementation:

Creating a Continuous Feedback Cycle

Skill: Successfully planning and implementing programs.

Behaviors:

■ Ensure that processes are in place to implement program strategies and

initiatives. 

■ Identify resources needed to implement the strategies and initiatives.

■ Provide clear direction by chartering process improvement teams and identifying process owners/program managers. 

■ Use action plans to track the progress of program implementation.

Skill: Measuring and evaluating results.

Behaviors:

■ Establish a process to monitor and collect performance measurement and 

program evaluation data.

■ Use performance measurement and program evaluation data to make 

decisions.

■ Analyze why the performance goals were met or not met.

■ Identify best practices and learn from results.

■ Reward and recognize employees; support employees’ accomplishments.

286 ❘ Chapter 13
Skill: Adjusting and planning for the future.

Behaviors:

■ Adjust and set the program direction based on feedback from the results of

performance assessment.

■ Set new strategies and initiatives to address gaps between program goals and

program performance and define the future direction of the program.

■ Communicate the new program direction to staff and stakeholders.

Program Planning and Performance Assessment ❘ 287
288 ❘ Chapter 13

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work 

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems 

development, their primary focus is on and service delivery, and they monitor

working with internal stakeholders to operations for compliance with 

create the systems and services needed correctional agency/organization policy.

to implement correctional agency/ Supervisors work primarily with internal

organization policy. Managers are staff but may also represent the 

above supervisors in the chain of correctional agency/organization during

command. interactions with customers/constituents 

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps

• Corrections Unit or Program above line or entry-level positions in

Manager. the correctional agency/organization.

• Deputy Jail Administrator.

• Capital Programs or Correctional Typical titles of supervisory positions:

Industries Administrator. • Adult or Juvenile Correctional Housing

• Probation, Parole, Community Unit Supervisor.

Corrections, or Community • Probation, Parole, Community

Sentencing Department Head or Corrections, or Community Sentencing

Regional/District Manager. Supervisor.

• Interstate Compact Administrator. • Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Focus Areas

Linking the Program • Sets program direction linking to the • Articulates how program/unit plans are

Plan to the Strategic correctional agency/organization’s linked to the correctional agency/

Direction of the strategic plan, mission, and vision. organization’s strategic plan, mission,

Correctional Agency/ • Analyzes gaps between current and vision.

Organization performance and performance goals • Gathers information and assists in 

and objectives. analysis of gaps between current 

• Leads teams/work groups to develop performance and performance goals 

a plan to identify strategies for and objectives.

addressing the gaps. • Works with staff to identify strategies to

• Prioritizes strategies/initiatives and address the gaps.

identifies necessary resources. • Communicates those strategies up the

• Ensures that processes are in place chain of command.

to implement and monitor the plan. • Oversees implementation of the chosen

strategies and gathers information for

program assessment and monitoring.

Appendix 13–1. Focus Matrix for Managers and Supervisors:

Program Planning and Performance Assessment
Program Planning and Performance Assessment ❘ 289

Manager Supervisor

Focus Areas (continued)

Program Performance • Sets performance expectations and • Articulates performance expectations

Assessment clearly defines success. and clearly defines success. 

• Determines the best method for • Ensures that processes are in place to

assessing program performance. gather relevant information for program

• Uses performance measures for assessment.

ongoing monitoring and program • Uses performance measures for ongoing

evaluations for more indepth analysis monitoring and program evaluations for

of outcomes. more indepth analysis of outcomes.

Successful Program • Uses performance measures and • Effectively uses allocated resources to

Planning and program evaluation data to make implement action plans.

Implementation: decisions. • Oversees the integrity of processes and

Creating a Continuous • Analyzes why performance goals data gathered for performance 

Feedback Cycle were or were not met; identifies best monitoring and evaluation.

practices and learns from results. • Adapts program practices to incorporate

• Adjusts and sets the program lessons learned from performance 

direction based on feedback from assessment and evaluation.

the results of program assessment • Establishes an ongoing quality 

and evaluation. improvement feedback loop.

• Develops new strategies and 

initiatives to address gaps and set

the future direction of the program.

• Establishes an ongoing quality 

improvement feedback loop.

Appendix 13–1. Focus Matrix for Managers and Supervisors:

Program Planning and Performance Assessment (continued)

Resources

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the

21st Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession

Number 020474.

Commonwealth of Virginia, Department of Planning and Budget. (1998).

“Strategic Planning Guidelines for Agencies and Institutions, Performance

Budgeting for the 2000–2002 Biennium.” Available online at http://dpb.

virginia.gov/forms/planning/stplngd.doc.

Creelman, James. (1998). Building and Implementing a Balanced Scorecard.

London: Business Intelligence. 

Darling, Marilyn, and Charles Parry. (2001). “Emergent Learning in Action:

The After Action Review.” The System Thinker 12(8)(October).
290 ❘ Chapter 13

Drucker, Peter. (1999). The Drucker Foundation Self-Assessment Tool: Process

Guide. San Francisco: Jossey-Bass Publishers.

Goodstein, Leonard, Timothy Nolan, and J. William Pfeiffer. (1993). Applied

Strategic Planning: How To Develop a Plan That Really Works. New York:

McGraw-Hill.

Kaplan, Robert S., and David P. Norton. (1996a). The Balanced Scorecard:

Translating Strategy Into Action. Boston: Harvard Business School Press.

Kaplan, Robert S., and David P. Norton. (1996b). “Linking Balanced

Scorecard to Strategy.” California Management Review 39(1)(Fall): 53.

Kaplan, Robert S., and David P. Norton. (1996c) “Using the Balanced

Scorecard as a Strategic Management System.” Harvard Business Review.

(January–February): 75–85

Kaplan, Robert S., and David P. Norton. (2000). The Strategy-Focused

Organization: How Balanced Scorecard Companies Thrive in the New

Business Environment. Boston: Harvard Business School Press.

Lientz, Bennet P., and Kathryn P. Rea. (1998). Project Management for the

21st Century, 2d ed. San Diego: Academic Press.

MacKenzie, Doris Layton, and Laura J. Hickman. (1998). “What Works in

Corrections? An Examination of the Effectiveness of the Type of Rehabilitation

Programs Offered by Washington State Department of Corrections.” Report to

the State of Washington Legislature Joint Audit and Review Committee,

Olympia, WA. 

New York City Department of Correction. “T.E.A.M.S.: Total Efficiency

Accountability Management System.” New York City Department of

Correction Web site: http://www.nyc.gov/html/doc/html/teams.html.

Procurement Executives’ Association. (1998). Guide to a Balanced Scorecard:

Performance Management Methodology: Moving from Performance

Measurement to Performance Management. Washington, DC: Procurement

Executives’ Association. 

Public Knowledge, Inc. (n.d.). “Instituting Performance and Outcome

Measures.” Training seminar prepared for Washington State Department of

Personnel, Olympia, WA.

Senge, Peter M. (1990). The Fifth Discipline: The Art and Practice of the

Learning Organization. New York: Currency Doubleday.

Smith, Douglas K. (1999). Make Success Measurable! A Mindbook-Workbook

for Setting Goals and Taking Action. New York: John Wiley and Sons.
Program Planning and Performance Assessment ❘ 291

South Carolina State Government Improvement Network. (2000). “Measurement Development Guide.” Available online at http://www.scsgin.org/

publications/measurementguide.pdf.

State of Iowa, Department of Management. (2004). “Guide for State Agency

Strategic Planning.” Available online at http://www.dom.state.ia.us/

planning_performance/aga/2004/Agency_Strategic_Planning_Guidebook_

2004.pdf.

U.S. General Accounting Office. (1998a). Managing for Results: Measuring

Program Results That Are Under Limited Federal Control. Washington, DC:

U.S. General Accounting Office, GAO/GGD–99–16.

U.S. General Accounting Office. (1998b). Program Evaluation: Agencies

Challenged by New Demand for Information on Program Results. Washington,

DC: U.S. General Accounting Office, GAO/GGD–98–53.

Wilson, Nancy Z., and Barry A. Lisk. (1998). Colorado Youthful Offender

System Individual Program Plan: Users Guide. Denver: Colorado Department

of Corrections. Available from National Institute of Corrections Information

Center, Longmont, CO, NIC Accession Number 015359.
Chapter 14

293

Criminal Justice System

William Woodward

This chapter provides an overview of the criminal justice system for correctional

managers and supervisors. It first discusses why understanding the criminal justice system is important. It then presents some statistics regarding the scope of

the criminal justice system and a diagram of the workings of the system from

arrest to final disposition. The chapter then discusses the roles of each branch of

government—executive, judicial, and legislative—in the system. Next comes an

overview of the sanctioning philosophies within the criminal justice system and

a systems approach to criminal justice operations that aligns the goals of the

individual agencies within the system with the overall goals and philosophy of

the system as a whole. The chapter then outlines key skills and behaviors related

to the criminal justice system. Finally, it presents a matrix (appendix 14–1) that

relates these skills and behaviors to the responsibilities of correctional managers

and supervisors. 

Definition 

Criminal Justice System: An array of interrelated agencies and functions

including law enforcement, prosecution, defense, the judiciary, and corrections,

which together provide public safety services. The criminal justice system

enforces and carries out the mandates of the criminal law to serve the interests

of the community, victim, and offender.

Knowledge Base 

Why Should Correctional Managers and Supervisors

Develop This Competency?

Understanding the criminal justice system improves problem solving, removes

barriers to change, and improves the chances of developing effective long-term

strategic plans. This curriculum is designed to provide managers and supervisors

in correctional agencies/organizations with a basic understanding of the criminal

justice system and its integrated parts. It assumes that all parts of the criminal

justice system affect one another. To that end, understanding that the system has

no “sacred” or perfect parts is critical. Each part plays its own role as defined by

the branch of government under which it operates.

If a man would

move the world,

he must first

move himself.

—Socrates
294 ❘ Chapter 14

To some, the criminal justice system might appear to be “no system at all,” and

to many it may look like a collection of people all determined to go their own

way. Although this may sometimes be true, it is not the best way for a system to

function. As long as their sanctioning philosophies are compatible, it is possible

for the components of the system to work together by focusing on a few common goals.

The National Institute of Corrections (NIC) has demonstrated in its Criminal

Justice System Project: A Guide to Criminal Justice System Assessment and its

videotape on “Alleviating Jail Crowding: A Systemic Approach” that the criminal justice system has no independent actors. Through these curriculums, NIC

provides planning resources to state and county policy groups of criminal justice

system stakeholders. When stakeholders across the criminal justice system focus

on one goal or a few goals, their effectiveness increases.

This chapter discusses the components of the criminal justice system and its

potential to provide effective public safety services.

Criminal Justice System Overview

The clearest way to put the entire criminal justice system in perspective is to

review the dollars allocated to the different levels of the system. 

In 1999, all levels of government expended approximately $147 billion on the

criminal justice system (excluding duplicative intergovernmental transfers or

transactions between levels of government). 

From 1982 to 1999, the period for which the most recent numbers are available

(see exhibit 14–1), all criminal justice program expenditures increased by 309

percent, whereas the consumer price index increased over the same period by

166 percent.

How the Criminal Justice System Works

Exhibit 14–2 provides an overview of each part of the system as it flows from

arrest to final disposition. Although this diagram may seem daunting, it fairly

describes most adult and juvenile criminal justice systems. 

1999 Criminal Justice Spending

• Federal government: $22 billion. 

• States: $50 billion.

• Counties: $35 billion. 

• Municipalities: $39 billion.
Criminal Justice System ❘ 295

Role of the Executive Branch

The executive branch at the state level typically manages the operations of the

criminal justice system, providing for basic law enforcement, incarceration of

offenders in jail or prison, and intermediate sanctions such as probation, parole,

or community corrections. The single largest exception to this rule is that in

many states the courts operate the probation system.

Law Enforcement

Law enforcement comprises those officials charged with enforcing the law in

federal, state, and local jurisdictions. 

Municipal 

Municipal law enforcement is most often a police department. However, in

unincorporated towns and villages, a marshal or a member of the town council

may carry out the law enforcement function. In other jurisdictions, municipalities may contract with the county sheriff for law enforcement services. 

$0

$10

$20

$30

$40

$50

1990 1994 1998

Direct expenditure by level of government, 1982–99

1982 1986

Billions

Municipalities

States

Counties

Federal

419%

310%

218%

369%

Percent Change

1982–99

Exhibit 14–1. Government Direct Expenditures on the Criminal Justice System

Source: Sidra L. Gifford, Justice Expenditure and Employment Extracts, 1999, Washington, DC: U.S.

Department of Justice, Bureau of Justice Statistics, 2002.

Note: Does not include intergovernmental expenditures such as federal grants, but these dollars are included

as direct expenditures by the recipient government when they are spent for salaries, supplies, and so on.

No duty the

Executive had to

perform was so 

trying as to put

the right man in

the right place. 

—Thomas Jefferson
296

❘ Chapter 14

Exhibit 14–2. Overview of the Criminal Justice System From Arrest to Final Disposition

Nonpolice referrals

Policejuvenileunit

Released ordiverted

Intakehearing

Waived tocriminalcourt Formal juvenile or youthful

offender court processing

Informal processingdiversion

Information

Refusal to indict

Grand jury

Information

Chargesdroppedor dismissed

Bail ordetentionhearing

Chargesdroppedor dismissed

Preliminaryhearing

Initialappearance

Releasedwithoutprosecution

Releasedwithoutprosecution

Chargesfiled Arrest

Unsolvedor notarrested

Investigation

Reportedandobservedcrime

Felonies

Juvenileoffenders

Prosecution and pretrial services Entry into the system

What is the sequence of events in the criminal justice system?

Arraignment

Chargedismissed

Arraignment Trial

Acquitted

Reductionof charge

Guilty plea

Trial

Charge dismissed Acquitted

Sentencing

Sentencing

Probation

Revocation

Revocation

Revocation

Parole

Prison

Pardon andclemency

Capitalpunishment

Out of system(registration,notification)

Out of system

Out of system

Probation

Guilty plea

Adjudication

Sentencingand sanctions Corrections

Diversion by law enforcement, prosecutor, or court

Unsuccessfuldiversion

Convicted

Misdemeanors

Convicted

Appeal

Intermediatesanctions

Jail

Out of system

Habeascorpus

Note: This chart gives a simplified view of caseflowthrough the criminal justice system. Procedures varyamong jurisdictions. The weights of the lines are notintended to show actual size of caseloads.

Released ordiverted

Probation or othernonresidential disposition

Revocation

Out of system

Residentialplacement

Aftercare

Revocation

Disposition

Released

Adjudication

Source: Adapted from The challenge of crime in a free society.

President's Commission on Law Enforcement and Administrationof Justice, 1967. This revision, a result of the Symposium on the 30th Anniversary of the President's Commission, was preparedby the Bureau of Justice Statistics in 1997.

Prosecution

as a

juvenile

Crime
Criminal Justice System ❘ 297

County

The sheriff normally has law enforcement responsibility in the county. However,

some sheriffs have no law enforcement responsibilities and focus entirely on

managing the jail. In other jurisdictions, the sheriff has all the law enforcement

responsibility, but does not manage the jail. The county commissioners or state

statutes often define the sheriff’s jurisdiction.

State 

The states often operate the state police. Some state police agencies have general law enforcement powers and others do not. The state often operates a crime

laboratory for smaller jurisdictions, whereas larger jurisdictions within a state

may operate their own crime laboratories. 

Federal 

Forty-four federal agencies have full or limited law enforcement powers. All

powers are set by federal statute.

Offender Confinement

Pretrial Confinement

Pretrial imprisonment usually occurs in a sheriff’s department or municipal jail

or lockup. These detainees are not convicted of a crime; they are being held

pending a hearing to decide if probable cause exists for the charges against

them. This hearing must occur within some specific period of time after arrest,

usually 24 to 72 hours.

A pretrial agency often recommends to the judge whether to hold or release

the offender and under what release conditions. The basis for holding a pretrial

detainee varies from that person’s inability to make the bail amount, to fears that

if released the person will do harm, to the fear that the person will not reappear

for the next court hearing. Most jurisdictions use some mix of these three factors to determine whether to release a detainee. However, some jurisdictions follow a policy that since a conviction does not exist at this point, they should only

consider the probability of failure to appear at the next court hearing when making the release decision.

Some jurisdictions reserve an entire jail for pretrial detainees (e.g., Rikers Island

in New York City). In most jurisdictions, however, one-half to three-quarters

of the lockup population at any given time are pretrial detainees; the rest are

“holds” for other jurisdictions and convicted offenders serving sentences.

Posttrial Confinement

Offenders are seldom held in a municipal lockup following sentencing, unless it

is also the county jail (e.g., the City and County of Denver). County jails traditionally take sentenced populations for a maximum of 1 to 2 years. County jails
often offer programs for offenders, such as work release for those who meet

specific criteria or DUI weekend programs for offenders who work but must

serve jail time on the weekends. 

The Department of Corrections or an equivalent state-level agency normally

houses and manages the sentenced population for the entire state. State law and

the Governor set the policies and practices of state correctional agencies. State

correctional facilities house offenders for the duration of their sentence, including those sentenced to death. Most states project future prison populations to

better assess resource and service needs. In general, legislatures and Department

of Corrections officials require a minimum of 2 years’ lead time to build a permanent new prison. 

Intermediate Sanctions

Originally, “intermediate sanctions” meant those between prison and probation.

But with the introduction of “intensive” or “moderate” levels of probation, anything other than prison is now considered an intermediate sanction.

The following are often thought of as intermediate sanctions, but every community will have a different set of sanctions:

■ Local jail.

■ Jail with work release.

■ Nontherapeutic residential community corrections facility.

■ Therapeutic residential community corrections facility.

■ Day reporting.

■ Home detention with electronic monitoring.

■ Home detention without electronic monitoring.

■ Community work service.

■ Nonresidential treatment (many kinds).

■ Fines, restitution, and other monetary penalties.

■ Supervision with frequent contacts.

■ Supervision with infrequent contacts.

■ New programs.

298 ❘ Chapter 14
It is also important to distinguish an intermediate sanction from a tool that

might be used at any level of sanctioning. Intermediate sanctions normally

refer to the level of supervision imposed on an offender. Tools usually refer to

adjuncts to the sanction to increase its effectiveness. For example, drug testing,

electronic monitoring, or medications ordered by the court or correctional

agency are considered tools that enhance the sanction.

In some states, often known as community corrections states, counties or cities

may opt into a program where they receive funding from the state to provide

intermediate sanctions. Some states provide incentives for counties to keep as

many offenders as possible out of prison.

Treatment is distinct from intermediate sanctions. Treatment refers to programs

that are designed to address specific offender needs. For example, an offender

who has been assessed as “chemically dependent” may be placed in a drug or

alcohol treatment program. A sex offender should be placed in a sex offenderspecific program. An offender with out-of-control behavior may be placed in a

cognitive skills development program. Many states and/or localities offer guidelines for treatment programs through their state alcohol and drug agencies,

departments of corrections, judicial branches, or other criminal justice agencies.

For example, Illinois and Colorado have statewide standards for the management and treatment of sex offenders and California has statewide standards for

substance abuse treatment.

Jurisdictions need to know what treatment programs have been found effective.

The Washington state legislature tasked its research arm, the Institute for Public

Policy, to review programs and report on their effectiveness. The institute’s

review of treatment programs and the resulting levels of recidivism reduction

can be found on the Web at www.wa.gov/wsipp. The institute’s Web site includes

reviews of drug and alcohol, sex offender, cognitive skills, and many juvenile

treatment programs as well as a significant number of probation and diversion

services. Other programs can be evaluated by the institute’s standards for

research.

Supervision Programs

Overview

Often the state department of corrections in the executive branch manages

postrelease supervision. Sometimes postrelease supervision is called parole,

but as several states have abolished parole, it may simply be referred to as

postrelease supervision. In other states, state or county correctional agencies

or the courts may manage probation supervision programs. The job of postrelease supervision and/or probation is to manage the risk of reoffending, maintain

public safety, and enforce the conditions placed on the offender by the judge on

release (often called conditions of release or probation). 

Criminal Justice System ❘ 299
Risk Assessment Tools

Many jurisdictions use a risk assessment tool to inform decisionmaking related

to classification and supervision of offenders. First-generation tools were 

really just a gut reaction to how risky an offender appeared to be, and secondgeneration tools used only static risk factors to predict recidivism. Thirdgeneration tools use both static and dynamic risk factors. A static risk factor is

something that cannot change, like age at first arrest. A dynamic risk factor is

something that can change, like antisocial attitudes, values and beliefs, or substance abuse. The best third-generation risk tools can predict recidivism much

better than chance (e.g., the Level of Supervision Inventory–Revised [LSI–R]

predicts the risk of recidivism 30 percent better than chance).

The advantage of these tools to probation and postrelease supervision is that

they help specify which of the major risk factors associated with recidivism are

relevant to a particular offender. As a result of NIC’s work, judges and correctional managers in one state now receive prioritized information about the 10

major risk factors for recidivism in offenders so that they can focus resources

on the highest priority causes of recidivism. Among the major risk factors for

recidivism are antisocial family, antisocial peers, alcohol/drug use, instability

of accommodations, unpredictable emotional status, and antisocial attitudes.

Role of the Judicial Branch

The judicial branch is tasked with determining the guilt or innocence of defendants, setting the terms and conditions of the sentence, and sometimes, as in

drug courts or reentry courts, overseeing the management of accused and convicted offenders.

Court Systems and Judges

According to the Bureau of Justice Statistics Web site (http://www.ojp.usdoj.gov/

bjs/courts.htm), in 1998 there were 208 statewide general and limited jurisdiction trial court systems in the United States, including the 50 states, the District

of Columbia, and Puerto Rico. About 9,065 full-time authorized judges served

in the 71 statewide trial court systems of general jurisdiction. There were 132

courts of appeal, including the U.S. Supreme Court and the U.S. Circuit Courts

of Appeal. 

Every state had a judicial branch that was headed by the court of last resort in

13 states, the chief justice of the court of last resort in 36 states, and by the

judicial council in 1 state, Utah.

In the majority of states (33), the head of the judicial branch was designated

by the state constitution. In the remaining states, judicial authority was established either by state statute or some combination of the state constitution

and statute law.

300 ❘ Chapter 14

The challenge of

social justice is to

evoke a sense of

community, that

we need to make

our nation a better

place, just as we

make it a safer

place.

—Marian Wright

Edelman, Founder,

Children’s Defense Fund
State Appellate Court Systems

Appellate court systems implement various strategies to make their workload

more efficient. Appellate court systems in 37 states had some expedited briefing

procedures, 18 states had accelerated or special calendars in some courts for

specific case types, and all but 12 states limited oral arguments in criminal

and/or civil cases.

Judicial Selection and Service 

Twenty-one (42 percent) of the 50 states selected their appellate judges through

a gubernatorial appointment and three by legislative appointment. An additional

14 states used nonpartisan elections, 8 had partisan elections, and 4 had retention elections.

Initial/prebench education was required for general jurisdiction judges in 30

states (including Puerto Rico), for limited jurisdiction judges in 31 states, and

for appellate judges in 9 states. Continuing education was required for general

jurisdiction judges in 44 states, for limited jurisdiction judges in 42 states, and

for appellate judges in 38 states.

Specialized Courts

Drug courts. There were 327 drug courts across 43 states, the District of

Columbia, and Puerto Rico in 1998. The majority of these drug courts were

established between 1992 and 1996. 

Family courts. By 1998, all but 17 states had family courts that either operated

statewide or served some number of counties or districts. These courts typically

had jurisdiction over domestic and marital matters such as divorce, child custody and support, and domestic violence.

Tribal courts. There are currently more than 450 tribal justice forums among

the 556 federally recognized tribes in the United States. As of 1998, 16 states

had assumed mandatory or optional jurisdiction over tribal lands, pursuant to

Public Law 280 (Public Law 83–280, Act of August 15, 1953, ch. 505, 67 Stat.

588 [codified as 18 U.S.C. 1162, 28 U.S.C. 1360, and other scattered sections

in 18 and 28 U.S.C.]).

The Jury

In most states, the minimum age to serve on a jury was 18. The minimum age

in Missouri and Montana was 21. All states had some residency requirements

to serve on a jury, and all but eight states imposed literacy and/or language

requirements.

Fourteen states required grand jury indictments for all felony prosecutions and

an additional four states required grand jury indictments for capital and/or life

Criminal Justice System ❘ 301
imprisonment cases. The size of grand juries ranged from 6 members in Indiana

to 23 members in Maryland and Massachusetts.

Sentencing and Supervision

Sentencing 

In noncapital felony cases, original sentences were set by the jury in 44 states,

the District of Columbia, and Puerto Rico, and by the judge in 6 states. The

judge could alter the jury’s sentence or recommendation in four states—

Arkansas, Indiana, Kentucky, and Missouri. Of the 37 states with the death

penalty in 1998, original sentences were set by a jury in 23 states, by a judge

in 5 states, by a judge with the jury’s recommendation in 7 states, and the

responsibility for setting the penalty sentence was not indicated in 2 states. 

All states imposed collateral consequences for felony convictions. In most

states, a felony conviction was associated with the restriction of voting rights,

parental rights, public employment, jury duty service, and firearm ownership.

Supervision

In some jurisdictions offenders on probation or postrelease supervision are

supervised by the court or by community corrections within the court system,

depending on the type of sentence.

Whether probation or postrelease supervision is administered by an executive

branch agency or an agency of the courts, the purposes of probation and the

tools used to assess the risk of reoffending are the same. For more information,

review the earlier discussion under “Supervision Programs” in the section of

this chapter on “Role of the Executive Branch.”

Role of the Legislative Branch

Overview

The legislative branch is tasked with writing the laws that the executive branch

enforces and the judicial branch adjudicates. It is probably most important in

setting criminal justice system policy—almost all criminal law is developed in

the legislative arena. This law includes definitions of illegal activities, the procedures and processes to be used by all parts of the criminal justice system, and

the penalties for crimes. At times the courts must interpret the laws and will find

that some do not meet constitutional standards. The state courts can override

laws made by state legislatures and the federal courts can override laws made by

Congress or state legislatures. 

Victims’ Rights

In recent years, a number of states have amended their state constitutions to

provide victims with rights in the criminal justice system. These provisions

302 ❘ Chapter 14

Law is nothing

unless close behind

it stands a warm

living public 

opinion.

—Wendell Phillips,

American Abolitionist

and Orator
normally require that victims be notified of their rights and allow victims to

have input into the criminal justice process at some or all of the major decision

points. When these basic rights are abrogated or ignored, some states (e.g.,

Colorado) allow the victim to bring a complaint to the Governor or state attorney general to force compliance with the constitutional amendment. 

Improving Criminal Justice System Operations 

Sanctioning Philosophies

The criminal justice system is based on many philosophies, often unstated,

that are sometimes seen as competing goals for the major components of the

system. For example, some see punishment as antithetical to rehabilitation.

Many times an unstated philosophy keeps the criminal justice system from

working effectively. 

Usually correctional leaders and stakeholders speak of these philosophies in

general terms: “it is important to punish the person,” or “we should rehabilitate

this offender,” or “let’s be sure to keep the costs low for the system,” or “the

public will not stand for this,” or “reparations should be paid for that offense,”

or “let’s keep the crime rates low.” Being clear about the underlying philosophy

is critical for understanding and improving the operation of the criminal justice

system. Philosophies in the criminal justice system include:

■ Punishment/retribution: Value in terms of pain and suffering.

■ Crime reduction: Value in terms of impact on crime.

■ Recidivism reduction: Value in terms of impact on reoffense rate.

■ Reparation: Value in terms of compensating aggrieved parties.

■ Economic costs: Value in terms of cost-efficiency.

■ Public satisfaction: Value in terms of public approval ratings.

■ Restoration: Value in terms of restoring the victim, the offender, and the 

community.

Criminal Justice System ❘ 303

Never accept the

proposition that

just because a 

solution satisfies 

a problem, that it

must be the only

solution.

—Raymond E. Feist,

Science Fiction/

Fantasy Author

Exercise:

Categorize the laws of your state related to corrections according to one of

the philosophies listed above.
Each sanctioning philosophy has merit. However, the closer that all parts of the

system come to agreeing on the philosophy or intended outcomes of the system,

the more likely those parts will work well together as a complete system.

The Systems Approach to Criminal Justice

The best business model found in the literature for a functioning criminal justice

system is prescribed by Michael Hammer in his book, Beyond Reengineering.

Hammer describes a systems approach to managing the disparate parts of an

organization. Exhibit 14–3 shows a model based on Hammer’s, with criminal

justice system modifications.

Centers of Excellence

In this model (exhibit 14–3), starting with the base, are the “centers of excellence.” The centers of excellence represent the community agencies and groups

responsible for the criminal justice system. In each agency or center of excellence, the agency director and staff attempt to do the best job of meeting the

needs of their customers/constituents (citizens), hiring the best staff, doing the

best training, firing when necessary, and developing goals, policies, and procedures for that agency.

Outcome Coaches

However, if all the centers of excellence went their own way, they would not

operate as a system. Therefore, many communities and jurisdictions have developed what Dr. Hammer describes as an “outcome coach” to help oversee the

criminal justice system. This may be a community criminal justice coordinating

council, a regional criminal justice council/board, or a state commission on

304 ❘ Chapter 14

Outcome

Coach

Centers of

Excellence

“BHAG”*

Outcomes

Customers/

Constituents

Law

Enforcement

District

Attorney Pretrial Court Jail Probation Prison Parole Intermediate

Sanctions

Community Victims Others

* Big Hearty Audacious Goals

Exhibit 14–3. The Systems Approach to Criminal Justice

Source: William Woodward Associates, 2004. Adapted from “The End of the Organizational Chart” from

Michael Hammer, Beyond Reengineering: How the Process-Centered Organization Is Changing Our Lives,

New York: Harper Business, 1996. Copyright© 1996 by Michael Hammer. Reprinted by permission of 

HarperCollins Publishers.

Systems thinking is

a discipline for seeing wholes. It is a

framework for seeing interrelationships rather than

things, for seeing

patterns of change

rather than static

“snapshots.” 

—Peter Senge, Author,

The Fifth Discipline
Criminal Justice System ❘ 305

criminal justice. All stakeholders in the criminal justice system must be a part of

the “coaching” structure and they all must have the same vision for the system.

Big Hearty Audacious Goals

The vision for the criminal justice system is shown in exhibit 14–3 as the Big

Hearty Audacious Goals (BHAGs) (also called Big Hairy Audacious Goals by

James Collins and Jerry Porris in Built to Last). The vision or BHAG should

focus on the outcomes desired by the community. Some communities will set

more than one BHAG, but getting all stakeholders to agree on these BHAGs is

critical to the efficient functioning of the criminal justice system. This does not

mean that the goals of the individual agencies (centers of excellence) are unimportant. However, “mega goals” for the system become something that both

community and criminal justice system stakeholders work together to achieve.

Deciding on these BHAGs is of critical importance. NIC has a number of

publications that communities can use to help formulate criminal justice system

BHAGs, including Guide to a Criminal Justice System Assessment: A Work in

Progress by Peggy Burke, Robert Cushman, and Becki Ney; Guidelines for

Developing a Criminal Justice Coordinating Committee by Robert Cushman;

and The Intermediate Sanctions Handbook: Experiences and Tools for

Policymakers by Peggy McGarry and Madeline Carter (see the Resources list at

the end of this chapter for more information). Once the BHAGs are agreed on,

action planning by the members and staff of the committee/commission is critical to meet these mega goals.

Examples of BHAGs taken on by local and state criminal justice councils, committees, and commissions include the following:

■ Development of drug courts in all jurisdictions within 3 years.

■ Reduction of recidivism by 30 percent over the next 3 to 5 years.

■ Development of a common data management system across all criminal justice agencies by a specified date. 

■ Development of management/treatment resources for 10 sex offenders during

the next year.

Exercise:

Jot down one thing you believe to be a BHAG that everyone in your local/

state criminal justice system is working on today. Now, jot down one goal

that you would like to see the entire system work on.
■ Reduction of burglaries by 10 percent over the next 5 years.

■ Improvement in public satisfaction with the criminal justice system by 20 percent over the next 3 years.

■ Develop 25 probation/law enforcement partnerships for high-risk cases within

the next year. 

■ Reduce crowding and costs of operating the local jail by 10 percent during the

next year.

Confusion often exists between BHAGs (system goals) and agency goals. For

example, a local sheriff’s office may have a goal of reducing the crowding of

the local jail, but without the buy-in of the criminal justice council/committee,

it remains only the sheriff’s goal. 

Criminal Justice System Decision Points 

Key decision points in the criminal justice system include the following:

■ Decision to arrest: yes/no or referral to services.

■ Decision to detain pretrial: yes/no/summons. 

■ Decision to release from pretrial detention: yes/no.

■ Decision to prosecute: yes/no, deferred prosecution, diversion. 

■ Adjudication decision/outcome: guilty, not guilty, nolo contendere, adjudication as juvenile.

■ Sentencing decision: noncustody, state custody, local custody, deferred. 

■ Sentence modification decision: return from probation, on appeal, deferred

reinstatement.

Factors That May Influence Decision Points

Many factors can influence the outcome at each decision point. For example,

the decision to arrest might be affected by such factors as the time of day, tiredness of the officer, relative seriousness of the offense, past history of arrestee,

need for a warrant, policies of the law enforcement agency, capacity of the jail,

victim response to the crime, or risk of future crimes.

306 ❘ Chapter 14

Exercise:

Take a minute to talk about each of the decision points. List all of the factors

that might influence each one.
The decision to detain pretrial might be affected by the dangerousness of the

offense, victim statements, background of the arrestee, bonding guidelines set

by the court, or checklists developed by the law enforcement agency,

The decision to release pretrial might be affected by the offender’s responsiveness while in pretrial status, offender’s willingness to accept direction, offender’s current age, number of prior arrests, offender’s age at first arrest, problems

created in the past by this offender, officer’s assessment of the offender, caseloads, victim statements, or guidelines set by the pretrial agency.

The decision to prosecute might be affected by the priority of the crime, prior

judicial rulings, strength of the evidence, judge assigned to the case, credibility

of witnesses, credibility of the police officer making the arrest, prosecutor’s or

defense attorney’s caseload, willingness of the prosecutor and the defense attorney to negotiate a plea bargain, current jail crowding, and victim statements.

Adjudication outcomes for juveniles and sentencing outcomes for adults may

be influenced by the evidence presented, quality of the prosecution and defense,

makeup of jurors (in a jury trial), judge assigned, victim statements, community

feeling about the case or crime, results of the presentence investigation, how the

defendant presents himself or herself to the court, mitigating or aggravating

factors, plea agreements, and availability of alternative sentencing options.

Sentencing modifications can be affected by the evidence presented for and

against a change in the original sentence and the determination of the judge as

to the correctness of the original sentence.

Using Decision Points for System Change

The decision points of the criminal justice system are places where the outcome

coach, i.e., the criminal justice coordinating council or the criminal justice committee, will have maximum influence. If each decision point in a criminal justice

system is mapped out with all the possible options, causes, and outcomes, the

council or committee will better understand how to reach its BHAGs.

Indicators at each decision point can also be compared with other jurisdictions

or states. Some possible indicators for comparison with other communities

include the following:

■ Crime rates.

■ Recidivism rates.

■ Public satisfaction levels with the criminal justice system.

■ Percentage of sexual assault cases that plead to a nonviolent offense.

Criminal Justice System ❘ 307
Measuring Criminal Justice System Effectiveness 

The effectiveness of the criminal justice system is often questioned. Law

enforcement will discuss arrests, prosecutors will discuss convictions,

correctional officials will discuss rearrest or reconviction, and citizens will discuss crime rates. However, these center-of-excellence measures never tell the

whole story. They are focused on the parochial interests of a particular agency—

not the work of the entire criminal justice system. 

The effectiveness of the criminal justice system can best be measured through

the BHAGs identified and approved by the jurisdiction’s criminal justice coordinating council/committee. Once the council/committee has agreed which

BHAGs are most important, action plans should be prepared for meeting those

goals. Exhibit 14–4 presents criteria for measuring various sanctioning philosophies of the criminal justice system.

Summary 

A criminal justice system is an array of interconnected government and private

stakeholders, each focused on a particular job and all linked by a common philosophy. This philosophy may be mandated by statute and/or agreed on by all

stakeholders in the criminal justice system. Each of the three branches of state

government plays a designated role in the system. The executive branch has primary responsibility for law enforcement and for incarceration and management

of offenders. The judicial branch determines the guilt or innocence of defendants, sets the terms and conditions of the sentence, and, especially in specialized courts such as drug or reentry courts, oversees the management of some

offenders before trial and following conviction. The legislative branch is ultimately responsible for writing the criminal law and for setting criminal justice

system policies and procedures through statute. 

Criminal justice systems operate under many different and competing philosophies, both stated and unstated. The effectiveness of a criminal justice system

increases when a coordinating council or committee agrees on overall goals for

the system (called “Big Hearty Audacious Goals” or BHAGs) and individual

agency goals are harmonized with those overall system goals. Mapping decision

points within the system and identifying indicators at those points for comparison with other jurisdictions provide a means of measuring a system’s overall

effectiveness.

308 ❘ Chapter 14

Exercise:

Assess a community criminal justice system by reviewing the Web sites of all

stakeholders. List the BHAGs found on each Web site, then list the individual

goals of each agency within the system. Pick the three most measurable

BHAGs/goals and plot success based on those BHAGs/goals. 
Sanctioning

Philosophy Value Measure Example

Punishment/ Pain and Number of units of fines, County X ordered $25,000 in fines, 356

retribution/ suffering. days in jail, days in prison, person-days in jail, and 4,500 personjust deserts etc., dispensed. days in prison last year; this is an

increase in each area of at least 10%.

Crime Impact on Reductions in specific crime Burglaries in the NW precinct were

reduction crime rate. rates (or fear of crime) in down by 22% as compared with

targeted communities. burglaries in the past 2 years.

Recidivism Impact on Changes in recidivism rates Recidivism (measured by rearrest

reduction reoffense rate. as defined by criminal justice within 3 years on the street) dropped 

coordinating council/ by 20% during the past year.

committee.

Reparation Compensating Dollars paid to victims of During the past year, victims received

aggrieved crime by offenders. an average of $105 per victim as 

parties. compared to the prior year when the

victim received an average of $98 per

victim.

Economic Cost Cost per unit of “corrections” A $1 investment in this program will 

costs efficiency. provided as compared to save $3.24.

other options.

Public Public Changes in ratings given The public’s approval of the sheriff’s 

satisfaction approval criminal justice system office improved 16% over last year

ratings. agencies based on survey on five of seven survey questions.

data and analysis.

Restoration Restoring the Survey of victims, offenders, In a recent survey of the community,

victim, the and community sample, 25% agreed with the statement “the 

offender, looking at various ways criminal justice system is important 

and the restoration can occur. in restoring my community when 

community. crime occurs.” This is a 10% increase

over last year. Offenders report 8%

greater satisfaction with their crimefree lives than last year, and victims

report 11% improvement in restorative

services from the police and 

prosecutor’s office. 

Exhibit 14–4. Measuring Criminal Justice Sanctioning Philosophies

Criminal Justice System ❘ 309
Key Skills and Behaviors

Role of the Executive Branch

Skill: Understanding the relationships between various stakeholders in the criminal justice system and the executive branch.

Behaviors:

■ Map the criminal justice system for a given executive branch jurisdiction.

■ Diagram how decisions are made at each of the executive branch decision

points in the criminal justice system.

Skill: Influencing other parts of the criminal justice system.

Behaviors:

■ Develop positive and collaborative relationships with representatives of other

parts of the criminal justice system.

■ Acknowledge and understand the problems faced by other parts of the criminal justice system.

■ Promote research-based, cost-effective interventions and encourage the use of

reliable assessment tools.

Role of the Judicial Branch

Skill: Understanding the relationships between various stakeholders in the criminal justice system and the judicial branch.

Behaviors:

■ Map the criminal justice system for a given judicial branch jurisdiction.

■ Diagram how decisions are made at each of the judicial branch decision

points in the criminal justice system.

Skill: Influencing other parts of the criminal justice system.

310 ❘ Chapter 14

Skill: The ability to do something well arising from talent, training, or practice; expertness; special competence in performance.

Behavior: The manner of conducting oneself; observable activity.
Behaviors:

■ Develop positive relationships with representatives of other parts of the criminal justice system.

■ Acknowledge and understand the problems faced by other parts of the criminal justice system.

■ Work to secure buy-in from judicial stakeholders for the use of researchbased, cost-effective interventions and reliable assessment tools.

Role of the Legislative Branch

Skill: Understanding the relationships between various stakeholders in the criminal justice system and the legislative branch.

Behaviors:

■ Map the criminal justice system for a given legislative/local jurisdiction.

■ Diagram how decisions are made at each of the legislative branch decision

points in the criminal justice system.

Skill: Influencing other parts of the criminal justice system.

Behaviors:

■ Develop positive relationships with representatives of other parts of the criminal justice system.

■ Acknowledge and understand the problems faced by other parts of the criminal justice system.

■ Provide legislative stakeholders with accurate information and data to inform

the development of effective legislation. 

■ Work with legislative branch stakeholders to secure funding for researchbased, cost-effective interventions and reliable assessment tools.

Improving Criminal Justice System Operations

Skill: Categorizing specific policies and procedures based on their sanctioning

philosophy.

Behavior: List the major policies and procedures of a jurisdiction and organize

them to correspond to sanctioning philosophies.

Criminal Justice System ❘ 311
312 ❘ Chapter 14

Skill: Developing a systems approach to criminal justice that integrates the perspectives of all the stakeholders.

Behaviors:

■ Bring together criminal justice stakeholders to develop one or more BHAG(s).

■ Understand the decision points within the criminal justice system where each

stakeholder can have the most influence.

Skill: Monitoring outcomes in the criminal justice system.

Behaviors:

■ Establish and monitor outcome measures for BHAGs and individual centers

of excellence. 

■ Ensure that decisionmaking within an area of responsibility is based on objective assessment and reliable data whenever possible.

■ Put mechanisms in place to gather accurate data to measure outcomes and

inform decisionmaking.
Criminal Justice System ❘ 313

Manager Supervisor

Position Overview

Managers are often in classified Supervisors manage staff who work 

positions that report to senior-level directly with the client or customer/

leaders. Although they may advise constituent group. They make 

senior-level leaders about policy recommendations to improve systems

development, their primary focus is on and service delivery, and they monitor

working with internal stakeholders to operations for compliance with 

create the systems and services needed correctional agency/organization policy.

to implement correctional agency/ Supervisors work primarily with internal

organization policy. Managers are staff but may also represent the 

above supervisors in the chain of correctional agency/organization during

command. interactions with customers/constituents

and external agency staff. Supervisory

Typical titles of managerial positions: positions are typically one or two steps

• Corrections Unit or Program above line or entry-level positions in the

Manager. correctional agency/organization.

• Deputy Jail Administrator.

• Capital Programs or Correctional Typical titles of supervisory positions:

Industries Administrator. • Adult or Juvenile Correctional Housing

• Probation, Parole, Community Unit Supervisor.

Corrections, or Community • Probation, Parole, Community

Sentencing Department Head or Corrections, or Community Sentencing

Regional/District Manager. Supervisor.

• Interstate Compact Administrator. • Accounting, Budget, Legal, Purchasing,

and/or Contracts Supervisor.

• Victim/Witness Program Supervisor.

• Correctional Industries Supervisor.

Focus Areas

Role of the Executive • Knows the roles and areas of • Knows the roles and areas of 

Branch responsibility for executive branch responsibility for executive branch

criminal justice stakeholders. criminal justice stakeholders.

• Develops positive relationships with • Develops positive relationships with

executive branch stakeholders executive branch stakeholders relevant

relevant to the manager’s area of to the supervisor’s area of responsibility.

responsibility. • Works with executive branch 

• Includes executive branch stakeholders on oversight/project teams.

stakeholders on oversight/project • Acknowledges and understands the 

teams when appropriate. perspectives of executive branch

• Acknowledges and understands the stakeholders.

perspectives of executive branch • Oversees the competent delivery 

stakeholders. of research-based, cost-effective 

• Promotes research-based, cost- interventions and assessment tools.

effective interventions and encourages

the use of reliable assessment tools. 

Appendix 14–1. Focus Matrix for Managers and Supervisors:

Criminal Justice System
314 ❘ Chapter 14

Manager Supervisor

Focus Areas (continued)

Role of the Judicial • Knows the roles and areas of • Knows the roles and areas of 

Branch responsibility for judicial branch responsibility for judicial branch 

criminal justice stakeholders. criminal justice stakeholders.

• Develops positive relationships with • Develops positive relationships with

judicial branch stakeholders relevant judicial branch stakeholders relevant to

to the manager’s area of responsibility. the supervisor’s area of responsibility.

• Includes judicial branch stakeholders • Works with judicial branch stakeholders

on oversight/project teams when on oversight/project teams when 

appropriate. appropriate.

• Acknowledges and understands the • Acknowledges and understands the 

perspectives of judicial branch perspectives of judicial branch 

stakeholders. stakeholders.

• Works to secure buy-in from judicial

stakeholders for the use of researchbased, cost-effective interventions 

and reliable assessment tools.

Role of the Legislative • Knows the roles and areas of • Knows the roles and areas of 

Branch responsibility for legislative branch responsibility for legislative branch 

criminal justice stakeholders. criminal justice stakeholders.

• Develops positive relationships with • Develops positive relationships with

legislative branch stakeholders legislative branch stakeholders relevant

relevant to the manager’s area of to the supervisor’s area of responsibility.

responsibility. • Works with legislative branch 

• Includes legislative branch stakeholders on oversight/project 

stakeholders on oversight/project teams when appropriate.

teams when appropriate. • Acknowledges and understands the

• Acknowledges and understands the perspectives of legislative branch 

perspectives of legislative branch stakeholders. 

stakeholders. • Gathers accurate information and data

• Provides legislative stakeholders with to inform the development of effective

accurate information and data to legislation. 

inform the development of effective

legislation. 

• Works with legislative branch 

stakeholders to secure funding for

research-based, cost-effective 

interventions and reliable assessment

tools.

Appendix 14–1. Focus Matrix for Managers and Supervisors:

Criminal Justice System (continued)
Criminal Justice System ❘ 315

Manager Supervisor

Focus Areas (continued)

Improving Criminal • Develops and promotes a systems • Participates in project teams to develop

Justice System approach to criminal justice that and implement BHAGs.

Operations integrates the perspectives of all the • Understands the decision points within

stakeholder groups. the criminal justice system.

• Brings together criminal justice • Ensures that decisionmaking within the

stakeholders to develop a (few) supervisor’s area of responsibility is

BHAG(s). based on objective assessment and 

• Understands the decision points reliable data whenever possible.

within the criminal justice system. • Ensures that mechanisms are in place

• Ensures that decisionmaking within to gather accurate data for outcome

the manager’s area of responsibility measures.

is based on objective assessment and

reliable data whenever possible.

• Establishes and monitors outcome

measures for BHAGs and individual

centers of excellence.

Appendix 14–1. Focus Matrix for Managers and Supervisors:

Criminal Justice System (continued)

Resources

Andrews, Donald A., and James L. Bonta. (1995). The Level of Supervision

Inventory—Revised (LSI–R). North Tonawanda, NY: Multi-Health Systems.

Asher, Spring, and Wicker Chambers. (1998). Wooing and Winning Business:

The Foolproof Formula for Making Persuasive Business Presentations. New

York: John Wiley and Sons.

Boone, Gloria, and Richard P. Kroop. (1991). Communicating in the Business

Environment. Amherst, MA: Human Resource Development Press.

Burke, Peggy, Robert Cushman, and Becki Ney. (1996). Guide to a Criminal

Justice System Assessment: A Work in Progress. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession Number

014690. Available online at http://www.nicic.org/library/014690.

Campbell, Nancy M. (2005). Correctional Leadership Competencies for the

21st Century: Executives and Senior-Level Leaders. Washington, DC: U.S.

Department of Justice, National Institute of Corrections, NIC Accession

Number 020474.

Chang, Richard. (1995). Meetings That Work. Lake Forest, CA: Richard Chang

Associates, Inc. (www.richardchangassociates.com).
316 ❘ Chapter 14

Cole, George, and Christopher Smith. (1998). Criminal Justice in America.

Belmont, CA: Wadsworth Publishing.

Collins, James C., and Jerry I. Porris. (1997). Built to Last, Successful Habits of

Visionary Companies. New York: Harper Business. 

Cushman, Robert C. (2002). Guidelines for Developing a Criminal Justice

Coordinating Committee. Washington, DC: U.S. Department of Justice: National

Institute of Corrections, NIC Accession Number 017232. Available online at

http://www.nicic.org/library/017232.

Gifford, Sidra L. (2002). Justice Expenditure and Employment Extracts, 1999.

Washington, DC: U.S. Department of Justice, Bureau of Justice Statistics. 

Hammer, Michael. (1996). Beyond Reengineering: How the Process-Centered

Organization Is Changing Our Lives. New York: Harper Business.

Marion, Nancy E. (2002). Criminal Justice in America: The Politics Behind the

System. Durham, NC: Carolina Academic Press.

McGarry, Peggy, and Madeline M. Carter, eds. (1993). The Intermediate

Sanctions Handbook: Experiences and Tools for Policymakers. Washington, DC:

U.S. Department of Justice, National Institute of Corrections, and Alexandria,

VA: State Justice Institute, NIC Accession Number 000213. Available online at

http://www.nicic.org/library/000213.

National Institute of Corrections. (2001). Alleviating Jail Crowding: A Systemic

Approach. Videoconference. Washington, DC: U.S. Department of Justice,

National Institute of Corrections, NIC Accession Number 016975.

President’s Commission on Law Enforcement and the Administration of Justice.

(1967). The Challenge of Crime in a Free Society. Washington, DC: U.S.

Government Printing Office.

Rottman, David B., Carol R. Flango, Melissa T. Cantrell, Randall Hansen, and

Neil LaFountain. (2000). State Court Organization 1998. Washington, DC: U.S.

Department of Justice, Bureau of Justice Statistics, NCJ 178932.

Senge, Peter M. (1990). The Fifth Discipline: The Art and Practice of the

Learning Organization. New York: Currency Doubleday. 

U.S. Department of Justice, Office of Justice Programs. (1997). The Challenge

of Crime in a Free Society: Looking Back Looking Forward. Symposium on the

30th Anniversary of the President’s Commission on Law Enforcement and

Administration of Justice, Washington, DC, June 19–21. Washington, DC: U.S.

Department of Justice, Office of Justice Programs. 
User Feedback Form

Please complete and return this form to assist the National Institute of Corrections in assessing the value and

utility of its publications. Detach from the document and mail to:

Publications Feedback

National Institute of Corrections

320 First Street, NW

Washington, DC 20534

1. What is your general reaction to this document?

______Excellent ______Good ______Average ______Poor ______Useless

2. To what extent do you see the document as being useful in terms of:

3. Do you believe that more should be done in this subject area? If so, please specify the types of assistance

needed. ____________________________________________________________________________

4. In what ways could this document be improved? ________________________________________________

5. How did this document come to your attention? ____________________________________________

6. How are you planning to use the information contained in this document?__________________________

7. Please check one item that best describes your affiliation with corrections or criminal justice. If a governmental program, please also indicate the level of government.

_____ Citizen group _____ Legislative body

_____ College/university _____ Parole

_____ Community corrections _____ Police

_____ Court _____ Probation

_____ Department of corrections or prison _____ Professional organization

_____ Jail _____ Other government agency

_____ Juvenile justice _____ Other (please specify)

8. Optional:

Name: ____________________________________________________________________________

Agency: ____________________________________________________________________________

Address: __________________________________________________________________________

Telephone:__________________________________________________________________________

Useful Of some use Not useful

Providing new or important information

Developing or implementing new programs

Modifying existing programs

Administering ongoing programs

Providing appropriate liaisons

✄

Correctional Leadership Competencies for the 21st Century:

Manager and Supervisor Levels

National Institute of Corrections

Advisory Board

Collene Thompson Campbell

San Juan Capistrano, CA

Norman A. Carlson

Chisago City, MN

Michael S. Carona

Sheriff, Orange County

Santa Ana, CA

Jack Cowley

Alpha for Prison and Reentry

Tulsa, OK

J. Robert Flores

Administrator

Office of Juvenile Justice and

Delinquency Prevention

U.S. Department of Justice

Washington, DC

Stanley Glanz

Sheriff, Tulsa County

Tulsa, OK

Wade F. Horn, Ph.D.

Assistant Secretary for Children and Families

U.S. Department of Health and 

Human Services

Washington, DC

Byron Johnson, Ph.D.

Department of Sociology and Anthropology

Baylor University

Waco, TX

Harley G. Lappin

Director

Federal Bureau of Prisons

U.S. Department of Justice

Washington, DC

Colonel David M. Parrish

Hillsborough County Sheriff’s Office

Tampa, FL

Judge Sheryl A. Ramstad

Minnesota Tax Court

St. Paul, MN

Edward F. Reilly, Jr.

Chairman

U.S. Parole Commission

Chevy Chase, MD

Judge Barbara J. Rothstein

Director

Federal Judicial Center

Washington, DC

Regina B. Schofield

Assistant Attorney General

Office of Justice Programs 

U.S. Department of Justice

Washington, DC

Reginald A. Wilkinson, Ed.D.

Director

Ohio Department of Rehabilitation 

and Correction

Columbus, OH

B. Diane Williams

President

The Safer Foundation

Chicago, IL