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change process helps to institutional- ize them. Strong and flexible organizational leadership is key to the success or failure of any change effort. It is especially true when implementing evidence-based practices in commu- nity corrections due to the complex- ity of implementing change in the public safety system. The systemic nature of the public safety system requires that leadership identify, create, and show value to internal and external stakeholders. In Mark Moore’s Creating Public Value , he emphasizes a key assump- tion for any service provided by the public sector: the service or product provides value for a variety of constituents. The artistry of leadership exists in choosing the manner by which one will influence people. Different situations require different leadership styles and strategies. Leaders are most effective when they create a shared desire by a group to attain a goal or to move in a particular direction. In the public sector, leaders are ex- pected to articulate the values that drive their beliefs about needed change. Reiterating those values throughout the Public sector leaders must focus on: defining the value their organization provides to the public; building support for the organization and its services as they align with that value; and ensuring the necessary organizational capacity exists to achieve that value. Leaders of community corrections organi- zations interested in building value through implementing this level of systemic change must evaluate their readiness to lead this intensive transition. Developing and leading an organization that not only provides public value, but also functions as a learning organization, requires the capacity and willingness to practice outcome-oriented, collaborative leadership styles instead of more traditional, authoritarian styles of leadership. The Leadership Challenge Page 2 Assessment/Diagnosis Assessment determines the existing status of an individual, organization, and/or practice by providing information on the potential and options for change. Assessment strategies include: Surveys (Gather information either through self-report or third party reporting. Survey designs can either be used off the shelf or customized to fit specific organizational needs.) Interviews Observation Data review and analysis Intervention Intervention activities are designed to respond to the needs/issues identified in the assessment/diagnosis process. Intervention strategies include: Strategic planning Systems restructuring Change management Facilitation Team building Coaching and mentoring Education/training Skill building activities & Performance Monitoring and measuring performance on both a short and long-term basis provide data on changes in knowledge, skills, attitudes, and behavior. Types of measures include: Process measures: Provide feedback throughout change process. Outcome measures: Individual: Measure actual change in knowledge, skills, attitudes, and/or behavior. Measurement tools include surveys, performan ce evaluation, and data analysis. Organizational: Measure improvement in productivity as well as progress toward organizational goals. Measure- ment tools include surveys and data analysis. Leadership is the art of mobilizing others to struggle for shared aspirations. ~ Kouses & Posner, the Leadership Challenge A Search Conference helps to create a shared future vision. (See Appendix B.) The same principles used to manage offender cases and change offender behavior can be used to manage organizations and change organizational behavior. The concept of providing value should drive decision-making in the public sector. (See Appendix A.) willing to extensively evaluate their own strengths and weaknesses as well as those of their organization. They must also be willing to accept the challenges of changing organizational culture in order to achieve the full benefits of the increased public safety and reduced recidivism made possible by implementing evidence-based principles in community corrections. This paper is not intended to serve as a definitive treatise on organizational change, but rather as a starting point or refresher for jurisdictions working to implement evidence-based principles in community corrections. The goal is to stimulate questions and discussion about the change process and how it might play out in different organizations. Organizational leaders willing to undertake this level of systemic change should begin by asking themselves the questions outlined in the appendixes. Leaders of community corrections agencies, who want to implement evidence-based principles, must be Successful leaders have a clear vision and strategy for change. (see Appendix D.) The Influence of Infrastructure Step by Step Page 3 Advancing the implementation of evidence-based principles in the supervision of offenders requires contemporaneous changes in the structure of human resource management systems, policies and procedures, and operational standards. Combining this fundamental organizational change with the philosophy and policy shift of evidence-based principles enhances the opportunity to more effectively institutionalize changes. Managing this type of transition involves relentless attention to detail to advance implementation and prevent individuals and entire systems from sliding back into the comfort zone of the old ways. Changes in hiring, training, and performance measurement will, Infrastructure systems must be in step with evidence-based principles. (see Appendix F.) The project team is committed to enhancing community corrections Understanding how humans change their behavior is critical to managing successful transi tions. (see Appendix E.) Healthy organizations are more successful at achieving their goals. (See Appendix C.) over time, produce a critical mass of employees well-versed in the tenets of a non-traditional mindset which will signal the change from the old dispensation to the new. Achieving and sustaining organiza- tional change requires the realignment of organizational infrastructure. All systems and policies, particularly those within the human resources management system (HRMS), must be consistent with and supportive of the new way of doing business. Policies for recruitment and hiring, training, job descriptions, performance measurement, promotional decisions, and reward systems must be aligned with the new models and this alignment must be circulated throughout the organization in written documents and practice. Aligning the organization’s HRMS and other infrastructure systems clarifies the commitment to organizational change and facilitates implementation of evidence-based principles. The subsequent transformation of organ- izational culture relies upon this align- ment of tasks, mission, and goals, and a clear nexus throughout the organiza- tion’s practices. (Baron and Kreps, 1999) Failure to create this alignment can have a detrimental impact on the implementa- tion of new operational philosophies. National Institute of Corrections (NIC), Community Corrections Division www.nicic.org Dot Faust, Correctional Program Specialist dfaust@bop.gov (202) 514-3001 ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ Crime and Justice Institute (CJI) Www.cjinstitute.org Elyse Clawson, Project Director eclawson@crjustice.org (617) 482-2520, ext. 120 Lore Joplin, Project Manager ljoplin@crjustice.org (617) 482-2520, ext. 124 List of Appendices: Appendix A (pages 5-6) The Literature Appendix B (pages 7-9) : An Integrated Organizational Change Process Model: Using the Search Conference Appendix C (page 10) : The Importance of a Healthy Organization Appendix D (pages 11-15) : Leadership Styles & Leading Change Appendix E (page 16) : Managing Transitions Appendix F (page 17) : Structural Supports for Change References (page 18) Special recognition and deepest thanks go to the following project team members who contributed to these documents: Brad Bogue, Nancy Campbell, Mark Carey, Elyse Clawson, Dot Faust, Kate Florio, Lore Joplin, George Keiser, Billy Wasson, and William Woodward Supporting the effective management and operation of the nation's community corrections agencies Creative, collaborative approaches to complex social The project team is committed to enhancing community correct ions systems to better reduce recidivism using research-supported principles. Page 4 Appendix A: The Literature Senge highlights five disciplines as the keys to achieving the capacity of a learning organization, emphasizing the fifth discipline, systems thinking, as the most important: 1. Continually clarifying and deepening our personal vision, focusing our energies, developing patience, and seeing reality objectively; 2. Understanding the deeply ingrained assumptions, generalizations, or mental images that influence how we understand the world and how we take action (manage offenders); 3. Building a Shared Vision Collaborative creation of organizational goals, identity, visions, and actions shared by members; 4. Team Learning Creation of opportunities for individuals to work and learn together (collaboratively) in a community where it is safe to innovate, learn, and try anew; and 5. Systems Thinking: View of the system as a whole (integrated) conceptual framework providing connections between units and members; the shared process of reflection, reevaluation, action, and reward. Also emphasizing the importance of systems thinking, Mark Mo ore focuses on the leader’s ability to identify, create, and show value internally and externally. A key assumption for any service provided by the public sector is that the service or Page 5 Learning Organization is continually aware of and working to implement evidence-based principles, develop corresponding organizational capacity, and develop collaborative relationships with public safety and community partners. What would it take for citizens to see community-based corrections as the preferred option for recidivism reduction? To be taken seriously, the field must measure results in a way that helps citizens to understand the value of the service. Community-based corrections agencies must operate as learning organizations, constantly measuring Appendix A: The Literature (con’t.) Creating Public Value Mark Moore What would it take for citizens to see community- based corrections as the preferred option for recidivism reduction? Page 6 Figure 1 Appendix B: An Integrated Organ izational Change Process Model: the Search Conference Page 7 Organizations implementing significant systemic change will benefit from considering each of these phases and by asking themselves the related questions prior to beginning and throughout the implementation process. Organizational change in public safety organizations requires a complex systemic transformation. No agency operates in isolation; therefore, the inclusion of system stakeholders is critical to the success of any such change effort. The organizational change process model in Figure 2 assumes that all stakeholders have a voice in the change process. It is based heavily on the model of Marvin Weisbord and Sandra Janoff. Figure 2 Appendix B: An Integrated Organ izational Change Process Model: Using the Search Conference (con’t.) Recognize History: Organizational members must reflect on where they come from . This reflection enables organizations to clarify and articulate a collective narrative and shared vision of history. This shared history can then become a launching pad for change rather than a warehouse Page 8 Questions to Ask: How did we, as an organization, arrive at our current structure, technologies, and culture? What do we value? How do we operate? Questions to Ask: What is our organization’s level of change readiness? How well are evidence-based practices understood and implemented in our system? Who are our partners? How well are we working with them? Questions to Ask: What do we want our organizational future to look like? What is our organizational vision and mission? At what level do we envision the implementation of evidence-based practices? What type of organizational structure is needed to best support evidence- based practices? What collaborative relationships need to be developed to strengthen implementation? Appendix B: An Integrated Organ izational Change Process Model: Using the Search Conference (con’t.) collaborations of mutual interest . Correctional organizations relate to and are dependent on many partners throughout the public, private, and community-based sectors who share a commitment to achieving the outcomes Page 9 Questions to Ask: With whom does the organization partner and collaborate? How do partnerships and collabora- tions help members successfully achieve their goals and further their unique corporate mission? Questions to Ask: What steps does the organization need to attain its goals? What are the specific activities needed to ensure an equal focus on evidence- based practices, organizational development and capacity building, and collaborative relationships? Questions to Ask: How will we gather data? What types of feedback are needed by which groups? How will we monitor progress and make adjustments when necessary? Appendix C: The Importance of a Healthy Organization Page 10 A healthy organization forms the foundation for an effective change process. One of the first steps in the change process — and one that must be maintained throughout the process — is ensuring the health of the organization. Mark Carey, an expert on community justice, defines th e characteristics of communities that are ready for sig- nificant change and community building. The components he describes are the same characteristics that mark a healthy organization and are critical to the success of an y change effort. Leadership must foster these characteristics within the organization at all times. Trust among diverse groups Shared meaning Meaningful work for members of the organization Commitment to the change process Clear communication Leadership and continually emerging new leadership Widespread participation Simultaneous focus on the purpose, process, and product Building organizational development skills The organization can survive -- and thrive -- if it can sustain itself through the inevitable ups and downs experienced during Appendix D: Leadership Styles and Leading Change Page 11 Leadership Style Traditionally, public safety agencies have relied on pa ra-military or other highly stratified command and control management models. These models hinder the su ccessful implementation of evidence-based practices, and require significant changes in organizational struct ure and leadership philosophy. Changes are also required in practice, supervision, recruitment, hiring, training, work plans, and rewards systems. The illustration below (based on the work of Douglas Mc Gregor and James Burns) highlights the shift in leadership style necessary to successfully impl ement this type of organizational change. Continuum of Organizational Leadership Management Theory Y Leadership Style Visioning Mission / Purpose Driven Facilitative Team-based and Collaborative Values: Collaboration & Coaching Outcome oriented Management Theory X Leadership Style Directing Organizing Controlling Rewarding Values: Loyalty Risk-based and risk-aversive Top down decision making The role of leadership in the implementation of this level of systemic change is key to its success. Leaders must be willing to commit to the following process steps: 1. Create the vision. 2. Identify partnerships. 3. Develop strategies fo 4. Seek agreement with partners regarding vision & strategies. 5. Utilize process improvement strategies. 6. Identify and collect outcome data. 7. Review and refine processes and outcomes. Appendix D: Leadership Styles and Leading Change (con’t.) Create the Vision Before the change process begins, there must be a clear vision of what the changed organization will look like. This vision should be articulated in a concise statement describing the changed organization and how it interacts with others, including service recipients, system partners, and employees. Strong, visionary leadership is a must. The vision for change can be formed in numerous ways by various groups, including the leadership of the organiza- tion, policymakers, or diagonal slice groups (Figure 3). No matter how the vision is formed, leadership must embrace it and take responsibility for chart- ing the direction and change process for the organization. Once the leadership has crystallized the direction of change, it needs to look broadly throughout the organization and consider the many layers of change that will occur as a result of the process. The most progressive public policy direction for an organization is meaningless at the line staff and client level without leadership and strategic action to cultivate the change at all levels. True change happens at the top, at the bottom, and in between – it’s up to the leadership to consider each of those layers. Communicating the Vision Once the leadership clarifies the organizational goals for change, the next step is communi- cation of the vision. Involving staff in the development of the vision leads to greater commitment from and more effective communication with those staff. Effective communi- cation is a critical ingredient to achieving successful and long-lasting change, and leadership must model openness and ongoing dialogue. Communication is key. The clearer a leader communicates the goals of organizational change, the more helpful staff, community, clients, and policy makers can be. Once they understand what leadership seeks to accomplish, they can assist in reaching those goals. How an idea or goal is communicated can be as important as the goal or idea itself. Leaders attend to both process and out- comes. People will draw conclusions from how the message is communi cated as well as from the content of the message. For example, if a leader directly and personally communicates an idea to the organization, the message has more impact and mean- ing than if it comes down to line staff through channels . If a leader convenes a focus group of staff to discuss an issue, the im- portance of the issue is heightened, simply by the fact that the leader cared enough to gather a group to address it. Leadership must also tailor communication strategies to the groups they seek to reach. Leaders need to think about their audience in advance, consider how they receive information, and strategize about how to best reach them. Communication must occur continually throughout the organization – both horizontally and verti- cally. Leaders also need to pay close attention to the collective impact of seemingly Is there a story or a metaphor for what the organization is trying to become? Can you draw a picture of it? If the organization achieves its goals for change, what will a client say about their experience of this organization? What will a member of the public say? What will staff say? What is your personal communication style? What are your strengths and weaknesses in this arena? How is information communicated in your organization? Are there more effective communication strategies for reaching multiple audiences? What are the greatest communica- tion challenges for the organization? What leadership, management, and staff behavior supports the vision? SUPERVISORS MANAGERS LINE STAFF The Diagonal Slice Group Figure 3 Page 12 Appendix D: Leadership Styles and Leading Change (con’t.) Identify partnerships Leaders seeking change must work closely with organization staff, other government entities, and service providers. Collaboration with partners is critical and powerful. The partners, both internal and external, can be What partnerships currently exist in your system? Where do new partnerships need to be forged? How does participation in this change process assist partners in accomplishing their mission and/or vision? What diverse groups are repre- sented in your organization? Who are the natural leaders in the organization? What groups are forgotten or feel excluded? Who can help create a buzz about the change process in your organi- zation? Page 13 Appendix D: Leadership Styles and Leading Change (con’t.) Page 14 Develop Strategies for Achieving the Vision The development of strategies moves the vision from concept into action. While strategies must be broad enough to encompass the work of many parts of the organizati on, they must also be specific enough that objectives, outcomes, and work plans can be developed to achieve the strategies. Leaders can use many different processes to develop strategies. Tools for developing strategies must balance broad participation in decision-making with the creation of the most innovative strategies infused with best practice knowledge. The relative importance of these two issues in an organization’s change process will drive the selection of the tool for strategy development. Engaging the broadest number of internal and external partners in the development of the strategy is essential, and a system- or organization-wide development conference can be a helpful tool. This type of conference is a day- or more-long meeting where the participants gain understanding of the vision and then in smaller groups develop the strategies to accomplish this vision. Conference techniques often result in maximum participation and buy-in, and allow participants opportunities to understand best practices and expand their thinking in order to create an innovative new direction for the organization. The diagonal slice group from your organization can also be How much participation is required to build maximum trust in the organization? How much do various stakeholders know about best practices in order to incorpo- rate them into strategies? How can you best incorporate diverse perspectives into the strategies? How involved do policy makers wish to be in the strategy development process? Overcoming Resistance: Leadership and work teams need to plan strategies for overcoming resistance to change. Resistance of employees may stem from the organization’s failure to consider and eliminate barriers with changing work conditions, a lack of tools to do the new job, or an inad equate understanding of the need for change. Leadership must assess worker needs in relation to the strategic implementation of change, structure the work, and provide the tools and the information required for success. For example, if leadership asks officers to spend more time out in the field and less time in the office, providing tools such as laptops, personal data assistants, and cell phones will facilitate that transition. Leadership must be empathetic and create a climate for success for workers to do their job. Culture changes are difficult for workers to accommodate but can be made easier with responsive, responsible leaders. Appendix D: Leadership Styles and Leading Change (con’t.) Page 15 Seek Agreement with Partners about Vision and Strategy Relationships among partners must be based on mutual respect and understanding of the opportunities and constraints each partner faces. One tool partners can use to work on their agreements is the Zone of Agree- ment model (Figure 4). Groups of internal and external partners can use this model to clarify their decision making process. Partners must have a clear and comm Zones of Agreement Complete Autonomy Zone of Informing Zone of Consultation Zone of Consultation Zone of Informing Independent Actions Partner 1Partner 2 Zone of Appendix E: Managing Transitions Changing an organization is complicated business and understanding how transition occurs is critical to effectively implementing change. Leaders must understand the emotional process of change and must be comfortable with working through the various stages, including the end of the old, the chaos of transition, and the new beginnings. Moving through these stages often does not occur in a linear progression. Guiding an organization through this process takes patience and perseverance. In Managing Transitions: Making the Most of Change , William Bridges offers an excellent analysis of organizational change and provides concrete suggestions for helping people and the organization cope with change. Bridges describes the opportunities and challenges inherent in the change process and describes three zones of transition: endings; the neutral zone; and the new beginning. He offers the following strategies for moving through each zone: This stage is characterized by loss: loss of comfort and security in operations; loss of practices; and possibly loss of history. Leaders can effectively manage this transitional state by addressing the following issues: Identify who is experiencing loss and what they are losing. Accept the reality and importance of subjective losses. Don’t be surprised at overreaction. Acknowledge the losses openly and sympathetically. Expect and accept the signs of grieving. Compensate for the losses. Give people information, and do it again and again. Define what is over and what is not over. Mark the endings. The Neutral Zone: This stage follows the ending stage prior to the new beginning stage. It is in this stage that workers can slip back to the old ways or veer off the path of change. Relentless attention to details and ongoing feedback of data to management and those closest to the work can help prevent this tendency. Leaders can creatively manage the neutral zone by strengthening group connections, redefining the zone as a creative period, and focusing on the following issues: “Normalize” the neutral zone. Redefine the neutral zone. Create temporary systems for the neutral zone. Strengthen intra-group connections. Implement a transition monitoring team. Support creativity in the neutral zone. As in substance abuse recovery, organizations can relapse Page 16 New Beginnings: Finally, re-visiting the purpose, providing a clear vision of the outcome, and making sure all players have a role consistent with the vision can ease the transition to the ne w beginning. During this period of new beginning, lead- ers must focus on the following: Clarify and communicate the purpose. Provide a picture of the outcome. Create a transition plan with specifics (a transition plan is different from a change plan – the transition plan focuses on the process of change, rather than the change itself). Give people a part to play. Reinforce the new beginning. Be consistent, ensure quick successes, symbolize the new identity, and celebrate success. Appendix F: Structural Supports for Change Page 17 Aligning the organization’s infrastructure with an intended change is essential to successfully transition an organiza- tion to a new way of doing business. In community corrections agencies, all infrastructure systems and policies, particularly those within the human resources management system (HRMS) must be consistent with evidence-based practices. Implementation work groups should be assigned the responsibility of developing or modifying the Recruitment and Hiring Organizations must rethink and revise recruitment efforts, candidate screening processes, minimum criteria, and other standards. Al l new employees must be kn owledgeable about the new vision and have appropriate skills sets for a changed work environment. The importance of investing in training at all sta ff and management levels can not be overestimated. Failure to provide comprehensive training can undermine even the most well conceived implementation plan. Throughout the implementation process, internal and external stakeholders should be apprised of the principles of evidence-based practices. Recruit academy, orientation, and ongoing training curricula must be restructured and infused with the philosophies of evidence-based practices. Training supports the notion that change is warranted and desirable. Training on evidence-based practices, their efficacy, philosophy, and work expecta- tions must be part of any ongoing training curriculum. Performance appraisals Individual performance plans, appraisals, and reviews should be informed by outcome data and connected to the mi Promotional decisions The promotional system must be structured to value organizational goals and reward desired performance. Promotion should occur when behavior is consistent with organizational goals; individual goals are achieved; and when evidence-based practices are embraced. Reward systems Rewards can be separate or linked with promoti ons and appraisal systems. Publicly recognize and celebrate behavior that is desirable and refrain from the reverse. This alignment of HRMS with evidence-based practices will ease implementation, minimize pitfalls, and create a climate that supports the new philosophy and changes in worker behavior. Failure to create this alignment can have a detrimental impact on the implementation of new operational philosophies. Page 18 References for Organizational Development This article was supported under cooperative award #03C05GIW2 from the National Institute of Corrections, Community Corrections Division, U.S. Department of Justice. Points of view in this document are those of the authors and do not necessarily represent the official position of the U.S. Department of Justice References 1. Beckland, R. & Pritchard, W. (1992). Changing the Essence, The Art of Creating and Leading Fundamental Change in Organizations . Jossey-Bass. 2. Bennis, W. & Nanus, B. (1985). Leaders, The Strategies For Taking Charge . Harper and Row. 3. Blake, R.R., Srygley Mouton, J. & Adams McCanse, A. (1989). Change by Design . 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