Section III

1. Section III Staff Management

2. Chapter 18 Organization and Management

3. Objectives • Outline three key factors that contribute to excellence in penal management and leadership and identify the basics of a well-run prison or jail • Differentiate between management and leadership • Name three primary means of establishing measurement and accountability in a government agency.

4. Introduction • Leaders of correctional institutions are responsible for millions of dollars of buildings and equipment, thousands of staff, and many thousands of inmates • Challenges to leadership and management in institutions have never been greater • Warden must constantly work to ensure staff safety, staff integrity, proper stewardship of financial resources, and a safe environment for inmates

5. Decentralized Organization • Each prison and jail system in the US operates independently • Federal corrections are the responsibility of the BOP • Decentralization leads to poor communication and little interagency cooperation • Nearly impossible to shift resources, establish common policies, or even share exceptional programs between institutions among different state and federal jurisdictions

6. Decentralized Organization (cont.) • Oversight • Some jurisdictions combine penal management with other public service organizations • Others operate independent agencies • Increasing number of state systems have a chief executive officer selected by the governor • System of justice administration also differs among community, city, county, state, and federal jurisdictions

7. Multiple Missions • Prisons and jails generally are expected to accomplish several conflicting goals – punish, incapacitate, and rehabilitate offenders while deterring others from breaking the law • Many believe that conditions necessary to punish offenders conflict with those needed to reform or rehabilitate an inmate • Institutions are often on a continuum of organizational structures.

8. Organizational Theory • How authority is distributed within an organization and how it is used to accomplish the agency’s mission and goals • Every organization is composed of people who act individually and collectively to create a culture • System of management and control of individual staff members is a key variable in work productivity, morale, and agency efficiency

9. Organizational Theory (cont.) • Important principles of organizational structure: • Unity of command • Scalar principle • Separation among departments • Relationship between line and staff roles

10. Correctional Models of Management • Authoritarian • Strong leader • Very firm control of prison environment • Harsh discipline of inmates • Highly centralized • Regimented workplace • Funnels all decision making to the central power figure • Can create an arbitrary and capricious system that can easily become corrupt

11. Correctional Models of Management (cont.) • Bureaucratic • Strict hierarchical system • Organization flows through chain of command and formal process of communication • Specific, written rules and regulations • Clear set of standard operating procedures • Processes are slow to change and do not encourage staff to demonstrate initiative

12. Correctional Models of Management (cont.) • Participative • More open and democratic • Not as effective in dealing with fast-moving crisis situations • Allows staff input about how the organization should be run • Staff participate in reaching a consensus about how to proceed in situations • Gives staff a sense of ownership of planning and operations • Can be time consuming

13. Correctional Models of Management (cont.) • Authoritarian and bureaucratic organizational structures are much more prevalent in correctional administration • Do not lend themselves to change • Some agencies have adapted the bureaucratic model to include elements of participatory style

14. Correctional Models of Management (cont.) • Management Structure • Prevailing structure is hierarchical, centralized, paramilitary • Bureaucracy is very controlling and often inflexible • Critical and dangerous task of running prisons requires uniformity and precision of control • Chief executive officer is individual responsible for crucial responsibilities • Senior administrator establishes policy and is responsible for personnel, property, programs, and activities

15. Correctional Models of Management (cont.) • Management Structure • Associate warden for custody is responsible for security matters and supervises correctional officers • Operations AW is accountable for all support services within the institution • Programs AW heads classification, case management, religious services, etc. • Department heads, lower level supervisors, and line staff are other management positions

16. Correctional Models of Management (cont.) • Decentralized Management • Process of dividing and distributing authority and responsibility often enhances the effectiveness of administrative operations • Critics believe that dispersing authority in a correctional setting lessens accountability and does not promote consistent decisions • Best example in correctional setting is unit management

17. Leadership and Innovation • Correctional institutions work best when administrators stick to the basics of inmate care and custody and practice management by walking around • Those who innovate are often pragmatic and political realists • Administrators know that they operate in the context of multiple and competing public objectives, ever-shifting legislative priorities, judicial interventions, and incomplete media renderings of their work

18. Leadership and Innovation (cont.) • Boundary spanning • Administration involves working in partnership with other entities • Prison and jail administrators constantly interact with courts, law enforcement, health inspectors, consultants, and auxiliary services • Three crucial capacities to boundary spanning • Capacity to work productively in a bureaucratic hierarchy and across divisions • Capacity to establish constructive professional and administrative ties to other public sector organizations • Capacity to enter into cost-effective relationships or contracts

19. Leadership and Innovation (cont.) • Steps toward boundary spanning • Identify new missions and programs for the organization • Develop and nourish external constituencies • Create internal constituencies that support the new goals • Enhance the organization’s technical expertise • Motivate and provide training • Systemically scan organizational routines and points of internal and external pressures

20. Leadership and Innovation (cont.) • Performance Management • Main goals in corrections • Security • Justice • Safety • Conditions • Order • Management • Health • Activity

21. Leadership and Innovation (cont.) • Performance Management (cont.) • Commitment requires that officials identify and measure results • Most fundamentally about communication, not measurement • Will have meaning only to the degree to which it shapes and improves incentives

22. Leadership and Innovation (cont.) • Public Communications • Practitioners must improve public communications about what they actually do and how they do it • Seems that academics, analysts, activists, judges, lawyers, etc. are defining the need and costs of correctional institutions • Wardens must actively enter the public debates and need to share their experience and understanding of offenders

23. Management vs. Leadership • Bennis – manager focuses on systems and structure while leader stresses the people in the business • Managers are more heavily involved in the practical details of organizational life while leaders are engaged in organizational directing • Critical for prison and jail administrators to successfully combine the realities of management in the trenches with the ability to lead others toward the future.

24. Management vs. Leadership (cont.) • Daily oversight is necessary – a warden’s job is very hands-on • Effective manager must be able to empower and delegate to capable staff; demonstrate sensitivity, diplomacy, and vision; and show a willingness to take responsible risks

25. The Challenge for Institutional Leadership • An effective prison or jail operation is generally considered to be an institution that is safe, secure, clean, and responsive to the needs of its staff, inmates, and external constituencies • Wardens must delineate institutional goals, train staff to ensure that all personnel are aware of the desired outcomes, implement programs in support of the goals, establish a system of feedback on progress toward the goals, and create a means of reinforcing successful accomplishment and good performance.

26. Delegation • Leader must delegate the responsibility for specific tasks to qualified individuals • Must give employees responsibility for the task, as well as the authority and resources to do it • Failure to delegate can result in personal burnout, damage to development of staff, reduced productivity, harm to morale

27. Delegation (cont.) • Three primary barriers to effective delegation: • Old habits • Lack of faith in subordinates • Perceived lack of adequate time to train staff

28. Measures of Success • Need to establish accountability and clear communication of expectations • Avenues to accountability in government agencies: • Compliance • Performance • Capacity-based • Management accountability is defined as the expectation that agency leaders will take responsibility for the quality and timeliness of program performance, costs, and mitigate adverse aspects of agency operations

29. Measures of Success (cont.) • If all significant decisions are made by a limited number of executives, staff quits caring and passes all decisions up the ladder • Lose innovative employee behavior and risk-taking when the administrative control is too tight

30. Creating Accountability • First step is to ensure that all staff clearly comprehend the agency’s mission • All personnel must grasp the purpose of the organization • Chief executive must establish the standards of operation that will support the organizational purpose

31. Creating Accountability (cont.) • Policy • Must have written policy and procedures • Establish philosophy of operation for each program area, identify outcomes expected, define requirements of staff and inmates • Control of facility is organized around rules • Consistency is maintained by ensuring that staff enforce rules • Requires extensive staff training

32. Creating Accountability (cont.) • Training • Individuals must receive appropriate training in the process, program, or procedure they are expected to follow • Inservice training is extremely important • Compliance Audits • Organizational leaders must assess compliance with written policy directives • Program audits are best means to assess staff operations • Staff perform an internal review of operations at scheduled intervals

33. Creating Accountability (cont.) • Benchmarking • Compare one’s operation to another similar program • Easy to compare data longitudinally once entered • Accreditation • ACA standards for adult and juvenile facilities • Can help jurisdictions develop local accreditation process

34. Creating Accountability (cont.) • Identification of Corruption • Must have internal affairs office to ensure protection of government resources • Obligation to ensure that institution operates with integrity and in compliance with the law • Strategic Planning • Warden must have well-developed and well-publicized vision of the organization and its future • Strategic plan should serve as guideline for moving organization into the future

35. Large-Scale Management Structures • Important to create atmosphere where staff • Believe in what they are doing • Have input into how work is structured • Are permitted to exercise judgment in day-to-day tasks

36. Conclusion • More progressive prison systems have integrated their operations in cohesive systems that work effectively to meet the societal goals of confining inmates and preparing them for eventual release • Unfortunately, most agencies operate on their own disparate goals and are involved with prisoners only from their isolated perspectives

37. Chapter 19 Leadership: Executive Excellence

38. Objectives • Explain the importance of leadership in the field of corrections • Outline the fundamental principles of an effective organization • Describe the concept of forward thinking and several of the relevant future trends

39. Introduction • United States imprisons more people for longer periods than at any other time in its history • 2005 – 2.3 million persons under correctional authority • Two core purposes of correctional systems: • Protect society • Reduce recidivism

40. A Context to Leading: Fundamentals • Heart of BOPs continuity has been its core ideologies • Following principles are necessary to lead an agency and position it for future leaders: • Leaders must enable staff to think for themselves • Organizational processes can be learned by and communicated to others within the agency • Organization must adhere to a firm core ideology while adapting to environmental changes

41. A Context to Leading: Fundamentals (cont.) • Core ideologies for BOPs mission: • Safe environment for staff and inmates • Secure institutions to confine offenders and protect the public • Skills building programs for inmates • Service and stewardship to the public • Tradition of excellence • Staff who are ethical, professional, well-trained, and diverse

42. A Context to Leading: Fundamentals (cont.) • Three main qualities of staff are excellence, respect, and integrity • Current environment requires having the most capable, qualified, talented, hard working, committed, professional leaders possible • Effective leaders must have the desire to continue growing and learning

43. A Context to Leading: Fundamentals (cont.) • Integrity • Staff integrity is key to dealing with: • Inmates and their families • Government and court officials • Law enforcement • The public • Advocacy groups • Oversight entities • The media • Integrity affects agency’s ability to secure funding and select sites for prisons

44. A Context to Leading: Fundamentals (cont.) • Five principles designed as a guide to public service ethics • Public office is a trust; use it only to advance public interests • Make decisions on the merits • Conduct government business openly, efficiently, equitably, and honorably • Honor and respect democratic principles • Safeguard public confidence by avoiding appearances of impropriety

45. A Context to Leading: Fundamentals (cont.) • Understanding the Big Picture • Effective leadership requires a solid understanding of the larger context within which the agency operates • Federal prison system has been impacted by various legislative acts • Shift in resources has resulted in budgetary constraints, which resulted in displacement of staff and changes within the BOP

46. A Context to Leading: Fundamentals (cont.) • Cost reduction initiatives for the BOP included: • Closing four independent prison camps • Discontinuing intensive confinement program • Creating centralized designation, sentence computation, and classification processes • Implementing a medical classification system • Consolidating two training units

47. Federal Prison Industries (FPI) • One of agency’s most important correctional work programs • Helps occupy about 18% of work eligible inmates • Legislative changes limited the operation and work of the FPI and more changes could occur • Leaders have made proactive changes to maximize their control over the situation

48. Interagency Collaboration • Agency must ensure continuity of programs, care, services, and support for inmates with various needs • Many agencies share the responsibility for ex-offenders • Leaders should ensure collaboration and communication well before release • Emphasis on information sharing and resource development to improve reentry success

49. Forward Thinking • Leader’s responsibility to encourage innovative, future-oriented thinking and encourage organizational enhancements • BOP leaders have been immersed in process of research and analyzing trends, scanning the environment, creating scenarios to plan for effects of outside influences • Forward Thinking Review Team to oversee ongoing training of staff

50. Forward Thinking (cont.) • Prevention, Rehabilitation, and Reentry • Partnerships with communities need to focus on reentry programs • Inmate Work and Vocational Training Program • Inmate work and vocational training programs should be designed in partnership with community business leaders