Section III Staff Management. Chapter 18 Organization and Management.

Section III

Staff Management

Chapter 18

Organization and Management

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.

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

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

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

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.

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

Organizational Theory (cont.)• Important principles of organizational

structure:– Unity of command– Scalar principle– Separation among departments– Relationship between line and staff roles

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

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

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

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

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

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

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

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

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

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

Leadership and Innovation (cont.)

• Performance Management–Main goals in corrections• Security• Justice• Safety• Conditions• Order• Management• Health• Activity

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

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

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.

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

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.

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

Delegation (cont.)

• Three primary barriers to effective delegation:– Old habits– Lack of faith in subordinates– Perceived lack of adequate time to train staff

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

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

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

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

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

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

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

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

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

Chapter 19

Leadership: Executive Excellence

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

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

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

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

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

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

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

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

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

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

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

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

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

Forward Thinking (cont.)

• Resource Allocation– Identify changes that may need to occur to

accomplish mission even if resources are cut

• Workforce Demographics– Advancing technology points to a need for more

educated and skilled workers

Conclusion

• Many opportunities and challenges exist for individuals seeking leadership roles in the field of corrections.

Chapter 20

Governing: Personnel Management

Objectives

• Outline the desired characteristics of correctional staff.

• Explain leadership selection in a healthy and effective organization

• Explore the role of professionalism in running a penal institution

Staff Opportunity

• Corrections work provides an excellent career opportunity for people who are honest, hard working, and dependable

• Corrections is a leading growth industry• Many of the best administrators rose through

the ranks of employment in corrections

Correctional Standards and Laws• ACA expectations for personnel management in

10 critical areas:– Written policy and procedures– Staffing– Affirmative action and diversity– Selection– Probation– Physical fitness– Compensation and benefits– Ethics– Personnel records– Employee counseling

Workplace Behavior and Professionalism

• Employees should expect from and provide to each other:– Decent, civil speech without profanity– Common courtesy– Respectful conduct– Cooperation and teamwork

• Expectations of staff should be included in a written handbook

• Everything staff do is subject to scrutiny

Workplace Behavior and Professionalism (cont.)

• Employees should always– Be mindful– Be polite– Respect procedures and follow them– Respect honesty– Avoid gossip– Contribute to a healthy workplace– Let things go– Honor coworkers – Understand sexual harassment– Respect rights, feelings, and opinions of others

Leadership Development

• Institutions with effective, determined, and inspired leaders will foster future leaders

• Should not attempt to identify future leaders too early

• Create a rewarding and rich environment where excellence is expected, performance is evaluated, competition is healthy, and level of performance of all employees is raised

Setting the Tone• Effectiveness of institution depends on the example

the leaders set• When excellence and professionalism are the

expectations, the momentum of the organization increases

• When dealing with inmates, staff must be firm, fair, and consistent

• Leaders must inform staff of agency position on rehabilitation

• Healthy institution is filled with hope, meaningful work, educational opportunities, self-help, and leisure activities

Corrective and Disciplinary Action

• Training and orientation for staff should cover the rules and regulations and their rationale, as well as consequences for not following the rules

• Corrective or disciplinary action should always take place in private

• Most common method of corrective action is a warning

• Consistency is essential for the institution

Corrective and Disciplinary Action (cont.)

• Corrective action for successive infractions should follow a progression:– Verbal instruction– Verbal warning– Written memo of instruction– Letter of reprimand– Disciplinary reduction in pay– Disciplinary suspension without pay– Demotion– Discharge from employment

Corrective and Disciplinary Action (cont.)

• Corrective action is taken by the supervisor• Disciplinary action is taken by the agency• Events that require immediate separation:– Conviction in a civil court for domestic violence– Crimes of moral turpitude– Reporting to work under the influence of alcohol or drugs– Trafficking institutional contraband– Sexual or inappropriate relationships with inmates– Establishing personal relationships with families of inmates– Bringing weapons into the institution

Conclusion

• The warden should strive to create a correctional facility where staff are recognized as the greatest asset, dignity and respect prevail, employees are valued and allowed to grow, and inmates and staff have a wholesome place to live and work.

Chapter 21

A Day in the Life of the Warden

Objectives

• Identify the personal skills that a warden needs to be successful on the job and explain what staff and inmates look for in an effective warden

• Determine the four areas of institutional operation that require the warden’s close attention

• Explain how the events at Abu Ghraib prison contributed to the field of correctional leadership in the United States

Necessary Skills

• Effective CEO must have a positive work ethic, the ability to screen information to identify problems as well as opportunities, very good oral and written communication skills, and the ability to interact positively with racially and socially diverse staff and inmates

• Best warden is a leader who is proactive and is available to staff day and night

Before the Official Work Day

• Warden should review the local newspaper and television for any significant outside events that could influence the institution

• Will review shift commanders’ logs of previous day’s or weekend’s activities

• Must be satisfied that occurrences were handled appropriately or take corrective action

Early Morning

• Meeting with associate wardens, head of security, and other relevant staff

• Keep lines of communication open and allow all to hear directions given to some

• Warden reviews incoming mail and identifies individuals to prepare responses

• Keeps important individuals informed of noteworthy developments within institution

Midmorning

• Time set aside to meet with key staff on budget, personnel, facilities, industries, strategic planning

• Management by walking around – visit special areas of the institution at least weekly

• Ensure that staff are communicating with inmates and following agency policy

• Enables warden to establish and maintain multiple channels of communication

Early Afternoon

• Proactive warden requires associate wardens and department heads to attend one meal each day

• Visible way to demonstrate care and fair management to inmates

• Should be equally responsive to all inmates• One senior staff member should always be

outside of security envelope

Midafternoon

• Meetings with various department heads to monitor areas of facility operations

• Time for close-outs with agency auditors• Meet with tour groups entering or leaving the

facility

Late Afternoon

• CEO must set aside time for staff development• Annual refresher sessions on pertinent topics

and anticipated changes• Meet with individual staff members who need

mentoring and career advice• Check out with associate wardens before

leaving• Consider working out at the end of the day

Recent Lessons from Abu Ghraib

• The effective leader of a penal facility is informed, involved, and prevents such things from happening

• They want a firm, fair, and consistent administrator who creates a positive interpersonal working environment

Conclusion

• Correctional management is complex and demands a high level of energy, fairness, and integrity

Chapter 22

Diversity of Correctional Officers

Objectives• Explore the position of correctional officers

today and explain how the role of correctional officers has evolved over time

• Describe the importance of a diverse workforce and explain why women have typically had a difficult time being accepted in correctional positions in male facilities

• Discuss the performance level of female correctional officers in varying corrections environments

The Role of the Correctional Officer• Correctional officers generally make up the

majority of staff of a penal facility• Primarily responsible for supervising inmates,

maintaining order and discipline, and serving as information counselors and mentors

• Oversee and control inmate housing, common areas, work areas, and dining room

• Assist in transporting inmates and perimeter security

Cultural Diversity

• Minorities and women are an integral part of correctional workforce

• A well-run institution has open communication with staff and inmates

• Having diverse staff helps them relate to the inmate population

• Ideal is to have similar proportions of staff to inmate population

Female Correctional Officers

• Women were historically associated with clerical duties, teaching, support services, or guarding female offenders

• Not until 1970s were they placed with male inmates• Men dispute the ability of women to maintain order

and control in a men’s prison• Believe women violate privacy of male offenders and

create management problems by becoming romantically involved with inmates or other staff

Female Correctional Officers (cont.)

• Paternalism or efforts to protect women often keep them from working all areas of the institution, which affects promotion considerations

• Great hostility and resistance from male staff• Sexual harassment

Female Correctional Officers (cont.)

• Female Performance– Perceived as being less effective in breaking up

fights and controlling large, aggressive inmates– However, they are impressive at calming angry

inmates and inmates who are mentally or emotionally disturbed

– Women often adopt a more service-oriented, less confrontational style with inmates

– Ability to relate positively to inmates

Conclusion

• Equal employment opportunity and workplace diversity are important features of American society and institution administration

• Minorities and women have become successful correctional officers, supervisors, and senior administrators in all areas of the American criminal justice system