Title: Leadership in Victim Services
Series: National Victim Assistance Academy Advanced Topic Series
Authors/Editors: Anita Drummond, Carroll Ellis, Melissa Hook, Morna
Murray, and Anne Seymour for the National Victim Assistance Academy.
Sponsored by the U.S. Department of Justice, Office for Victims of Crime, in
conjunction with Victims' Assistance Legal Organization (VALOR), California
State University-Fresno, National Crime Victims' Research and Treatment
Center at the Medical University of South Carolina, University of New Haven,
and Washburn University
Published: June 2002
Subject: Organizational leadership
152 pages
352, 256 bytes

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Appendices, figures, charts, forms, and tables are not included in this ASCII
plain-text file. To view this document in its entirety, download the Adobe
Acrobat graphic file(s) available from this Web site.

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Table of Contents 

Chapter 1. Principles of Leadership

o Introduction
o Leadership and Management
o Origin of Leadership Qualities
o Leadership is a Work in Progress
o Core Leadership Strategies
o Servant Leadership
o Conclusion
o References

Chapter 2. Integrity and Ethics in Leadership

o Introduction
o Applying Ethics in Leadership Roles
o Ethical Behavior as a Theme in the Organization
o Personal Leadership Values
o Applying Personal Values in a Leadership Role
o Challenges to Ethical Leadership
o Leadership, Relationship, and Unity of Purpose
o Conclusion
o References
o Additional Reading

Chapter 3. Essential Skills for Leaders: Creative Problem Solving

o Introduction
o Qualities of Good Problem Solvers
o Problems as Opportunities
o Effective and Ongoing Communication
o The Benefits of Learning and Using a More Cooperative Style: The Seven
Challenges to Cooperative Communication Skills
o Accessing Creative Problem-solving Potential
o Dealing with the Challenge of "Staff Infection"
o Early Detection, Identification, and Prevention of Potential Problems
o When Problems Are Out of Control
o Conclusion
o References
o Additional Reading

Chapter 4. Essential Skills for Leaders: Collaboration and Team Building

o Introduction to Working Relationships
o Distinguishing Features of Cooperation, Coordination, and Collaboration
o Beyond Traditional Collaboration
o Collaborating for Victims' Rights and Services
o Challenges to Successful Working Relationships
o Collaboration: A Checklist for Success
o Leadership and Team Building
o When Are Teams Needed?
o When Are Teams Not Needed?
o The Lifecycle of a Team Effort
o Characteristics of High Performing Teams
o Characteristics of a Strong Team Leader
o Characteristics of High Performing Team Members
o Virtual Teams
o Conclusion
o References
o Additional Reading

Chapter 5. Essential Skills for Leaders: Facilitation of Change

o Introduction
o Change as a Driving Force for Victims' Rights and Services
o General Assumptions about Change
o Guiding Principles for Facilitating Change
o Factors Affecting Change
o Threats to Change
o Resistance to Change
o Typical Early Reactions to Change
o The Strong Change Agent
o The Tipping Point
o Change Facilitation Techniques and Tools
o The Challenge of Change for the Future of the Victims' Rights Discipline
o Respect For The Past, Vision For The Future
o Conclusion
o References
o Additional Reading

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Appendices are not included in this ASCII plain-text file. To view this
document in its entirety, download the Adobe Acrobat graphic file(s) available
from this Web site.

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This project was supported by Grant Number 95-MU-GX-K002(S-5)
awarded by the Office for Victims of Crime, Office of Justice Programs, U.S.
Department of Justice.  The Assistant Attorney General, Office of Justice
Programs coordinates the activities of the following program offices and
bureaus: Bureau of Justice Assistance, Bureau of Justice Statistics, National
Institute of Justice, Office of Juvenile Justice and Delinquency Prevention, and
the Office for Victims of Crime.  Points of view in this document are those of
the author and do not necessarily represent the official position or policies of the
U.S. Department of Justice.

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Chapter 1. Principles of Leadership

Abstract

The discipline of victims' rights and services has benefited from strong
leadership over the past thirty years--from victims who have experienced
tremendous personal tragedy; from service providers who have effected
significant changes in laws and polices to benefit victims; and from local, state,
and federal government officials who have made victims' rights and services a
priority. This chapter offers a broad overview of styles, qualities, and
processes, and provides concrete examples of leaders in America who have
overcome considerable obstacles to make a difference in the world.

Learning Objectives

Upon completion of this chapter, students will understand the following
concepts:

o The origin of leadership qualities and common myths about leadership.

o How one's past experiences contribute to the ongoing and dynamic process
of becoming a leader.

o Core leadership strategies for victim assistance and justice organizations.
Introduction

The study of leadership is recent. Only in the last fifteen years have
organizational theorists closely examined qualities of leadership as distinct from
qualities of management. Yet throughout history individuals whose actions and
accomplishments have inspired people to live honorably, to persevere in
personal quests, and to treat others with dignity and respect have been revered.
In 1978, James MacGregor Burns, one of the first major theorists on
leadership, wrote: "Leadership is leaders inducing followers to act for certain
goals that represent the values and the motivations--the wants and needs, the
aspirations and expectations--of both leaders and followers. And the genius of
leadership lies in the manner in which leaders see and act on their own and their
followers' values and motivations." (Phillips, citing Burns, 1992, 3) The role of
the modern leader has evolved into a process that involves clearly-defined
tangible skills and attributes.

The requirements for effective leadership in victim services are developing as
rapidly as the discipline itself. In addition to providing leadership in a variety of
direct victim assistance programs, victim advocates are heading teams in
Attorneys General's offices, police departments, prosecutors' offices, and
departments of probation and parole. Victim advocates convey their passion
and dedication to helping victims to these colleagues--some of whom may have
little understanding of the cause, may be apathetic towards the mission, or may
be nonbelievers.

The challenges to a new leader are great. A leader entering into an established
workplace environment may have to adapt considerably while building the
necessary trust to lead co-workers. On the other hand, a leader joining a
"work-in-progress" can influence the development of programs and the quality
of working relationships. The leader may have attained the leadership role
through promotion, in effect, taking the wheel and learning to drive the machine
that s/he has already fueled with his/her labor. For those who aspire to become
leaders, much can be done to prepare.

While this chapter cites examples of leadership in victim services, it primarily
examines leadership from "the outside," i.e., leadership in its broadest sense.
What are some classic leadership styles? What is the difference between
leadership and management? Are leaders born or do they have the necessary
qualities within them just waiting to be developed? What are the basic skills and
strategies that individuals can develop to improve leadership abilities?

Most of the examples come from the corporate world, the organizational model
which has been the focus of most leadership research and where the greatest
amount of change has taken place. Much of leadership styles in business
directly applies to leadership styles in victim services. And although the focus of
turning a profit is not central to victim services, having adequate funds to
effectively run and expand the organization is as central to victim services as it is
to the private sector.

The ideas of modern theorists on leadership roles and the writings of inspiring
leaders like Abraham Lincoln and John F. Kennedy are cited. The stories of
people currently in leadership roles are told, and what guides them, empowers
them, and sustains them is discussed. Courage, self-awareness, a clear mission,
the ability to relate and communicate with co-workers, conviction, "grace under
fire," and passion for their job all are qualities that effective leaders cultivate.

Victim advocates come to their jobs with the passion and conviction necessary
to light a fire in any organization. This manual provides the tools and strategies
that can channel passion, develop skills, and help find the leader within whom
others will wish to follow.

Leadership and Management

This manual focuses upon leadership and the ways that leaders develop their
own capacity for leadership from within; it does not focus upon day-to-day
management of organizations and resources. Effective management is, of
course, critical to the successful functioning of any entity; however, the focus
here is upon how true leadership is the hub of the wheel around which all other
operational tasks depend.

During the last five years, studies on leadership increasingly moved away from
the more management-oriented models that had been followed in many public
and private sector organizations because these models failed to supply the
answers to what made leaders effective. As Robert Danzig writes in The
Leader Within You:

. . . many of us have had the feeling of leaving the table a little bit hungry; the
"management meal" we've been served has not quite hits the spot with its limited
menu of retrenchment and competitive down-sizing. It is so palpable that
people are hungering to see the ingredients of leadership join us at the table.
(2000, xxv)

Because of the challenges faced as the millennium approached, many observers
noted that there has been an extraordinary focus upon the science of
management, e.g., the task-specific and goal-oriented actions taken by
organizations to achieve their objectives in an increasingly complex and
competitive world. What is missing from this picture is the larger and
overarching role that leadership plays. An organization may have a poor
geographical location, or it may not be utilizing its resources most effectively.
These are pieces of a larger whole that can be fixed. However, without the
vision of true and effective leadership, an organization is most assuredly
doomed to function at a lower level than it could or perhaps even to fail.

This is not to minimize the importance of management; indeed, effective
management is integral and crucial to the daily operation of all organizations.
Again, the distinction is between the roles of managers and leaders:

Management is an essential fundamental requirement of the operation of all civil
society, including business, health care, arts, and educational institutions. We
cannot deliver 10 million Hearst newspapers to readers each week without a
carefully calibrated and managed process. Management is of the utmost
importance. However, when separating the two like strands of a rope wound
tightly together, the discreet elements suggest that management is about today
and leadership is about tomorrow. Management is a series of learned attributes;
leadership relied on inherent capabilities. Management is about process;
leadership illuminates vision and promise. Put another way, all leaders are also
managers of others. But not all managers exercise the qualities of leadership
(Danzig 2000, xxvi, emphasis added).

As research for their book, Leaders: Strategies for Taking Charge, two
respected authors on leadership, Warren Bennis and Burt Nanus, conducted
interviews with ninety prominent leaders--sixty were successful chief executive
officers, and thirty were outstanding leaders from the public sector. These
extensive interviews were designed to capture what it was that propelled these
individuals to their positions of leadership, and how they construed their own
roles as leaders. The interviews were conducted like exploratory dialogues in
which the subjects of the interviews joined the authors in investigating the true
nature of leaders and leadership. Among other things, the authors concluded
from these interviews that these very effective leaders viewed management and
leadership as profoundly different:          

They viewed themselves as leaders, not managers. This is to say that they
concerned themselves with their organizations' basic purposes and general
direction. Their perspective was "vision-oriented." They did not spend their time
on the "how tos," the proverbial "nuts and bolts," but rather with the paradigms
of actions, with "doing the right thing." (1997, 20)

So the question is how does one access one's own qualities of leadership? If
the word "genius" is replaced with "leadership," dance pioneer Martha
Graham's familiar saying is appropriate: "Everyone is born with genius, but most
people lose it after fifteen minutes." (Danzig 2000, xxvi).

The key, according to many leading leadership theorists today, is
knowing oneself. It is in getting to know oneself, one's strengths, one's
weakness, that the individual unlocks his/her potential for true leadership of
others. As Danzig puts it, "the ability to know oneself so well you send out an
inspirational beam just like a lighthouse." (Ibid.) Bennis and Nanus make a keen
distinction in saying that leaders "manage themselves" and in so doing, are able
to access their ability to lead others (1997, 18).

Origin of Leadership Qualities

ARE PEOPLE BORN LEADERS?

How often has it been said that someone is a "born leader"? Typically, it has
been assumed that if leadership "talents" did not attract the attention of family,
teachers, and peers during the adolescent phase of life, then the individual is
simply an "average" person who has to work hard to do well. It is taken for
granted that those individuals who had leadership roles and made a splash with
whatever they did would succeed throughout their lives. Many remarkable
leaders appear to have been born with amazing talent, yet others overcame
enormous difficulties before they took on leadership positions. An in-depth look
at the lives of some of the greatest leaders reveals evolution of character and
self-awareness, development of skills, and assimilation of knowledge gained
from challenging experiences--both successes and failures--that combined to
form their personalities.

Was Abraham Lincoln a born leader or an incredible self-starter? Lincoln
taught himself to read by the firelight at night. His mother died when he was
nine, and while he did form a close, loving relationship with his stepmother, his
father was an abusive and hostile personality who offered no support or
guidance. Although by nature Lincoln was a self-taught person, it was in law
school that he acquired the writing skills to express himself and his beliefs to
others. During his political career, he learned to persuade, direct, and motivate.
The renowned wit and ability to tell stories that he developed later helped him
become an effective communicator with his constituents. His qualities of
honesty, integrity, empathy for the common man, and devotion to the rights of
individuals appear to have evolved out of his childhood experiences (Phillips
1992, 4-6). Lincoln may have been born with a remarkable talent for
leadership, but he worked diligently throughout his life to acquire and refine the
skills that helped him to lead during a period of intense national crisis.

There is an ongoing and lively discussion among leadership theorists that decries
the concept of "born leader." Heifetz (1994, 20) claims that "it fosters self-
delusion and irresponsibility." McCall of the University of California's Marshall
School of Business also challenges the belief that extraordinary people
accomplish exceptional things solely due to innate talent. Borrowing Tom
Wolfe's term the "right stuff"--used to describe the talent of successful fighter
pilots (Wolfe 1974)--McCall takes issue with the assumption of "innate talent"
commonly used in leadership selection and development programs in the
corporate world. Typically, organizations spot the obvious stars early and give
them added responsibility and attention, while overlooking those individuals
whose skills are less evident even though they may have greater long-term
leadership potential. McCall believes that "executive leaders are both born and
made, but mostly made . . . executives do learn, grow, and change over time."
(McCall 1998, 4)

In discussing the "heroic nature of accomplishment," McCall cites the qualities
of resourcefulness, risk-taking, courage, readiness to take action, flexibility,
perseverance, creativity, and ability to inspire others. He points out that initially
these competencies can only be inferred and are contingent on continued
achievement. The "right stuff" can be determined only after remarkable
performances have been achieved. In fact, "the right stuff is whatever it needs to
be to explain a result." (Ibid., 7)

McCall believes that the use of the "right stuff" concept in leadership selection
has several unintended consequences when leaders both succeed and fail. With
each new success, a leader chosen for having the "right stuff" may feel more
powerful; each victory adding to the "siren song of invincibility." (Ibid., 8) The
author cites numerous examples of executives who performed leadership roles
in major companies with extraordinary success, but whose mythic arrogance
and attitude of invulnerability contributed to their eventual downfall.

Such high achievers define themselves as "special," leading in some cases to an
attitude that other people are unnecessary. They ignore advice and cease to
value the input of their colleagues. When inevitably they fail (because errors are
unavoidable), the problem lies not in the error, but in the initial assumption of
their innate talent. A failure is treated as a proof of inadequacy or absence of
talent rather than an opportunity for learning. "Fear of being found out causes
them to attempt to hide their stumbles, not to take the risk of stumbling, or to
blame their errors on something or someone else, all of which eliminates
learning." (Ibid., 9)

What bearing does the "right stuff" assumption have on the individual's efforts to
become a leader? If s/he is one of the chosen few with extraordinary innate
talent, s/he is may already be moving down the road to success, encountering
the joys and pitfalls that power engenders. S/he may have inherently understood
McCall's message: Don't rest on your laurels . . . An individual may be a born
leader, but if s/he is going to successfully meet the new challenges a changing
world presents, s/he clearly has to work hard to develop and refine his/her
skills.

On the other hand, an individual may have innate talent that has gone unnoticed.
His/her progress may have been derailed by unfortunate circumstances. S/he
may simply desire greater challenges in the workplace, and the possibility of
moving forward requires the assumption of leadership responsibilities. How
does the individual rise to the occasion? Being pro-active and taking charge of
his/her development provides competence and confidence so that when the
opportunity for leadership presents itself, s/he will be able to assume it
wholeheartedly. Wherever someone is on the leadership continuum, much can
be done to help oneself to adapt to new situations, be resilient, learn new skills,
find the courage to take risks, and stay true to oneself and one's values.

DISPELLING COMMON MYTHS OF LEADERSHIP

In their book, Bennis and Nanus (1997) discuss several common myths about
leadership that have taken root in society and are, in fact, counterproductive
and discouraging to potential leaders. These myths are:

Myth 1: Leadership is a rare skill. Everyone possesses qualities of leadership
and leadership opportunities abound; they do not exist just at the tops of
organizations. People excel at leadership in the areas that are closest to their
truest aspirations and dreams. A clerk at the local supermarket may be the
leader of a community mediation group. A taxi driver may be the director of a
local theater company. The truth of this myth is that leadership opportunities are
everywhere and within the grasp of most people.

Myth 2: Leaders are born, not made. This myth has already been discussed,
but it is worth repeating in view of the attention that has been focused upon this
question in leadership studies and theory. There are many qualities that may be
inherent that can assist in one's process of becoming a leader. But most of what
goes into being a true leader is learned along the way. Books and mentors are
crucial to the learning process, but the process itself can be compared to
learning to become a good spouse or parent--the most important lessons are
learned in the experience of being exactly that.

Myth 3: Leaders are charismatic. While it is true that there have been truly
charismatic leaders who had unique powers to influence and communicate in an
almost spellbinding way, e.g., Churchill or Kennedy, there are many more
leaders who are quite ordinary in their everyday leadership roles. It can be
argued that charisma is a result of effective leadership; not the other way
around. For those relatively few leaders who possess an abundance of natural
charisma, it simply enhances their connection to and ability to influence others
around them.

Myth 4: Leadership exists only at the top of an organization. While leaders at
the top of an organization may get more public attention, this does not diminish
the truly heroic "ordinary" leaders at other levels. In fact, the larger the
organization, the more leadership roles it is likely to have. Increasingly,
organizations are moving toward team building and "intrapreneurship"--the
creation of smaller autonomous units within a larger organization. Opportunities
for leadership abound on a daily basis on all levels of an organization, for
example, assisting a co-worker with a problem that threatens to mushroom into
a larger one. Leadership is not confined to those who are the defined
"managers" and "leaders."

Myth 5: The leader controls, directs, prods, manipulates. This myth is
potentially the most damaging of all. As stated by Bennis and Nanus,
"Leadership is not so much the exercise of power, but the empowerment of
others." (p. 209). Traditional models of leadership, based on the older
autocratic management theories of leadership, have proven to be ineffective and
destructive. True leaders lead through inspiration rather than through orders,
through empowerment of others to achieve their true potential rather than by
manipulating and scaring them into compliance with the leader's view of how
things should be done. A quote from Carlo Maria Giulini, former conductor of
the Los Angeles Philharmonic is fitting: "what matters most is human contact,
that the great mystery of music making is that it requires real friendship among
those who work together." (Ibid.) The friendship described is not about the
leader being "buddies" with those s/he leads and works with, but rather about
understanding others' perspectives and utilizing his/her own talents to allow
others' true potential and abilities to unfold.

Myth 6: The leader's sole job is to increase shareholder value. Whether
discussing corporations or service organizations, the bottom line of financial
responsibility is always there. While victim service providers may not be
concerned with turning a profit, leaders in victim services must be concerned
with acquiring and maintaining adequate funding to do their jobs. This need can
compete with the energy a leader needs for visionary planning and maximizing
the potential of the organization. While the leader must keep the necessities and
requirements of effective management at the top of his/her priorities, it should
be done in such a way that it does not become the overriding concern of the
organization and its constituency. Again, good management is a requirement,
not a goal in and of itself.

Leadership is a Work in Progress

Like McCall, many of the new thinkers on leadership look at the life
experiences of respected leaders for clues about the origins of their abilities:
home, education, relatives, friends, work, peers, environments, and any special
hardships or disabilities. Reflecting upon his career, recently retired newspaper
publisher Robert Danzig looked back upon childhood, school, college, and
early work experience for the source of knowledge and skills that shaped both
his workplace relationships and his performance as a leader (Danzig 2000, xix).
"All are stepping stones to help us cross the water ways of life," he writes. [A]ll
of us have leadership powers [within us] which allow us to lead our lives in a
more effective and satisfying way . . . Once identified and activated, these
freshly honed characteristics within our individual acorn can result in our
becoming leaders, and will dramatically change the kind of people we are."
(Ibid., xx)

Character and abilities--including talent for leadership--reflect one's life-long
experiences. For better or worse, qualities ingrained in one's personality may
result from the influence of family, mentors, and employers. Positive qualities
should be nurtured and cultivated; negative qualities should be identified and
objectively reckoned with so that they are no longer harmful. Leadership
requires courage.


COURAGE

The stories of past courage . . . can teach, they can offer hope, they can
provide inspiration. But they cannot supply courage itself. For this each man [or
woman] must look into his [her] soul." -- John F. Kennedy in Profiles in
Courage

If there is one human quality essential for leadership, it is courage--not just the
courage to face adversity, but the courage to look inside and face up to
weaknesses. Without delving into theories of succession planning (the
systematic assessment process that an organization develops to identify key
jobs to be filled and the best qualified candidates), it is useful to note that many
of the people responsible for the development of new leaders within their
organizations cite the qualities of courage and risk-taking as being the inevitable
missing ingredients in new candidates.

One national association director, who has served in leadership roles
throughout his criminal justice career, reports that "it has been hard to identify
people who will stick their necks out and take the leadership opportunity
offered to them. Leaders must have courage and I don't believe that you can
teach it. . . . The real challenge is to face the shortcomings that one has as an
individual and overcome them--at least in the leadership role--to be a better
leader. The challenge is to speak when you don't know how, to take risks, and
to face the losses and the mistakes that you inevitably make." (Wicklund 8
January 2001)

TAKING RISKS, EXPOSURE TO CRITICISM, AND THE POSSIBILITY
OF FAILURE

Out of fear or self-doubt, people often make choices that work against their
own growth. Listed below are five common reasons why a talented individual
does not assume new challenges and move forward in the job (Danzig 2000,
xiv). This individual--

o Continues to use existing strengths to achieve quick, dramatic results rather
than learning new skills that take longer to develop and may produce poor
results in the short term.

o Is more inclined to dwell on compliments (i.e., s/he is really good at his/her
job) than to examine weaknesses.

o Rarely seeks out negative information about him/herself from colleagues and
superiors, especially if the organization offers little opportunity for formal
evaluation.

o Likes being rewarded for achievements and steers away from development
projects that are amorphous and do not offer "concrete business results."

o Feels a risk in leaving what s/he does well to attempt to master something
new.

These are normal human responses to challenging situations. Avoiding extra
work and responsibility when one is busy, and not wanting to be exposed to
new risks that increase the possibility of failure, are reasonable positions. When
seeking to develop leadership skills and acquire greater responsibility in the
organization, it is helpful for the individual to understand what s/he shies away
from, and determine and assess his/her patterns of behavior. One of the first
steps in developing a leadership "mind" is increasing self-awareness.

SELF-AWARENESS

We are not our feelings. We are not our moods. We are not even our thoughts.
The fact that we can think about these things separates us from them . . . Self-
awareness enables us to--stand apart and examine even the way we "see"
ourselves--our self paradigm, the most fundamental paradigm of effectiveness.
--Stephen Covey, The 7 Habits of Highly Effective People

Covey takes the position that until we understand how we see others and
ourselves through our own personal set of filters, we are unable to understand
others--how they see and feel about themselves and their world. As a result,
when we attempt to view them objectively, we are really just projecting our
intentions and our point of view on to their behavior. Conversely, they do the
same to us. Both our personal potential and our ability to relate to others are
limited. We can, however, examine our paradigms to determine when they are
reality-based and when they are a function of conditioning (Covey 1989, 67).

The "social mirror" is Covey's term for the vision that we have of ourselves as
reflected by the opinions, perceptions, and conditioning of others. He stresses
that the reflection we see of ourselves is just as unreliable as our view of others
because it is likely a projection of their concerns and character weaknesses.
We should first acknowledge the existence of "conditioning" and then try to see
to what extent we are influenced (and limited) by it in our own world view and
choices (Ibid.).

Covey cites such limiting factors as genetic or inherited influences, psychic
influences such as parents and childhood experiences, and environmental
influences that can be everything from a difficult boss to the national economic
situation. He makes the important point that through greater self-awareness we
can free ourselves of limiting influences. If we seek self-knowledge and
understanding of our conditioning, we can be free to choose our responses.
"With our imagination we can create our minds beyond our present reality. . . .
With our conscience and deep awareness of right and wrong, of the principles
that govern our behavior . . . we can determine the degree to which our
thoughts and actions are in harmony with them." With independent will we have
the "ability to act based on our self-awareness, free of other influences." (Ibid.,
70)

Why is self-knowledge important? Until the individual knows who s/he really is
and his/her motivations, s/he will be unable to relate openly with co-workers.
As a result, they will be unable to trust and follow the individual. People trust
what is real. The second challenge is to know one's weaknesses and effectively
address them.

USING LESSONS OF PAST EXPERIENCE TO INFORM AND
INVIGORATE LEADERSHIP: FAMILY, MENTORS, AND CAREER

There is a wondrous value in pausing to contemplate that which has crossed our
paths. --Thomas Merton

Psychologists and management educators Mackoff and Wenet conducted a
series of interviews with sixty-five leaders representing a wide range of
organizations--government agencies, Fortune 500 companies, professional
sports teams, victim service providers, Native American nations, and inner-city
schools--to gauge how their life experiences informed their approach to
leadership. They found that leaders participating in the study all had reflected
deeply on their pasts as part of their quest for self-knowledge. They translated
the meaning of important events and relationships in their lives into consistent
thought patterns to direct the way they thought about and reacted to complex
and challenging situations. The patterns can be divided into five mental
disciplines that have proved central to their successful careers. They developed:

o The capacity to examine and appraise their own behavior and impact on
others.

o The strategy of interpreting negative events with a resilient inner narrative and
response.

o The practice of setting aside assumptions, reversing roles, and learning from
every person in the organization.

o The ability to trust, value, and speak from their own experience.

o The craft of counterpoint, that is, restoring perspective and renewing
resources (Mackoff and Wenet 2001, 1-2).

Many effective leaders draw on past experiences--in families, education, work,
and key events in their lives--to develop the mental disciplines that are the basis
of their inner authority. In the Mackoff-Wenet study, many participating leaders
described the influences of their family and family-related experiences that
formed and reinforced their core values.

Conviction. Ruth Simmons, president of Smith College, is the first African-
American woman to head a major college (Ibid.). The daughter of a Texas
sharecropper and the youngest of a family of twelve, she credits her family for
instilling in her values that she draws upon in her leadership role. From her
mother, a domestic worker who took great pride in cleaning well, she learned
how to stay focused and committed to her work. "I developed my own
conviction about always doing work with great care and seeing every job
through." (Ibid., 1)

Enduring core values. Simmons tells how her mother gathered the twelve
siblings around the kitchen table and taught them about their forebears--how
they evolved as people and their contribution to the community. "There was
always a moral attached to the story, offering insight into human frailty and what
can happen when people lose sight of their values. . . . My mother built
structure in these lessons about life, and I learned some basic values in dealing
with human beings. I spend a lot of time thinking about whether I live up to
these models." (Ibid., 187-188)

Consistency and loyalty. His father's chronic emphysema forced Chief
Executive Officer and President of CIT Financial Group Al Gamper to drop out
of college in his sophomore year to support his family (Ibid., 18). He combined
a day job at Manufacturer's Hanover Trust with night school for four years so
that he could take care of the needs of his parents and brother and complete his
education. The impact on his family of his father's inability to work, and the lack
of a safety net in company benefits, instilled in Gamper a powerful commitment
to give job security to his employees and to build an organization that provides
good benefits. He has done so, and whenever the company went through hard
times and it was suggested that employee benefits might be reduced, he
adamantly refused and found other ways to cut costs. He also formed and
funded the CIT Foundation to help employees in trouble. Providing an
umbrella for the special needs of employees, the Foundation has "sent terminally
ill children to camp, helped divorced mothers pay their mortgages, and covered
the costs of funerals." (Ibid.)

Understanding community and relationships. The value of community and
contributing to its well-being were driving forces in Japanese-American Beckie
Masaki's family throughout her childhood. The Executive Director of the Asian
Women's Shelter in San Francisco remembers that the entire Japanese
neighborhood, from the very young to the very old, hung out in her family's
Sacramento fish market. Her parents put a high value on investing in community
relationships and in not allowing small things that were negative to destroy the
social fabric. Her commitment to helping Asian women deal with domestic
violence is motivated by a belief that whether or not we experience violence in
our own lives, we must become part of the solution for those who do. "It may
not be happening to me as an individual but because it is part of the community
that I belong to, it is as if it is happening to me." (Ibid., 23)

Inner authority and critical thinking. Knowledge of her parents' internment
during the Second World War provided Masaki with another important insight
that informs her role as a leader in providing services to victims of domestic
violence. Her parent's internment, which she learned of in high school, did not fit
in with "what she knew about them as good citizens and good people... It was
the beginning of my thinking critically about injustice in our society. So much of
our schooling is based on mainstream culture. It doesn't relate to my
experiences as a person of color. It was the roots of my seeing that I needed to
have bicultural lenses--to learn not to swallow things whole." (Ibid., 71)

As a result, when Masaki was working at a large domestic violence shelter in
San Francisco and inquired about the absence of Asian women, she was told
that domestic violence was not a problem in the Asian community. At the time,
she had no statistics to refute the statement, but her intuition and her direct
experience told her that it was incorrect and motivated her to start the country's
first shelter for Asian women (Ibid.). One of Masaki's fundamental principles of
leadership is that "[w]e don't allow the status quo or conventional pressure to
create our organization...We must question the truth of the conventional
perspective to create a truly good fit for our organization." (Ibid., 72)

REMEMBERING MENTORS AND ROLE MODELS

Sometimes it is the people whom one meets on life's journey who have an
enormous impact on character, self-confidence, and life choices. These people
see the individual in a different light and perhaps recognize a potential or a
longing that may have otherwise gone unnoticed.


Hearst newspaper publisher Robert Danzig lost his parents from divorce and
disease at an early age and thus grew up in five different foster homes. He spent
his early years "surviving, getting through life and learning how to adjust to
constantly changing conditions." However, from his first job at seventeen as an
office clerk on a newspaper, he encountered several mentors who guided,
inspired, and taught him values that have served him throughout his career. He
learned the importance of treating clients well and taking risks from his first boss
at the Albany Times; maintaining high standards from the chairman of the
Saratoga Performing Arts Center; and the power of innovation from the head of
Gannett Corporation. "Each of us have been inspired by leaders who have
motivated us to move with enthusiasm on the pathways we have chosen to
pursue . . . They touch our spirit with the richness of their message and help us
absorb the shocks on the roads ahead. They appreciate the individual and
acknowledge that each possesses worth and counts." (Danzig 2000, 45)

A great tribute to leadership role models is Profiles in Courage, John F.
Kennedy's Pulitzer Prize-winning account of eight courageous U.S. Senators
who, at times of national crisis, took unpopular positions against their own
constituencies and political parties for the greater good. Kennedy wrote the
book during his term as U.S. Senator after experiencing the dilemmas members
of Congress face trying to act morally and represent voters when it is often
necessary to compromise. While the situations he discusses are limited to the
political arena, the themes of moral courage and "grace under fire" are relevant
in all leadership roles: Leaders continually compromise. 

Kennedy stressed three major points in discussing the Senators:  

o "We prefer praise to abuse and popularity to contempt. The path of the
conscientious insurgent is a lonely one."

o The desire to be re-elected is normal. "It should not automatically be assumed
that this is a wholly selfish motive."

o "The third and most significant source of pressures which discourages political
courage in the conscientious . . . is the pressure of the constituency, the interest
groups, the organized letter writers, the economic blocs, and even the average
voter. To cope with such pressures, to defy them or even to satisfy them is a
formidable task." (Kennedy 2000, 4-9)

A leader may be challenged on a daily basis to reconcile the desires to be liked,
keep the job, and make everyone happy with finding a way to solve problems
courageously and correctly. In his concluding thoughts Kennedy writes, "A man
[or woman] does what he must--in spite of personal consequences, in spite of
obstacles and dangers and pressures--and that is the basis of all human
morality." (Ibid., 225)

Core Leadership Strategies

Once the individual has taken a look at him/herself and his/her motivations and
has reflected on his/her life and the influences that have made him/her who s/he
is, s/he will have a better sense of personal goals and the kind of leadership s/he
can offer. Whether entering an established organization with an existing
hierarchy, a predictable work environment with set protocols for providing
services, or a start-up effort, there are choices the individual can make and
actions s/he can take that will affect how the organization will evolve under
his/her stewardship.

MISSION STATEMENTS

An organizational mission statement creates in people's hearts and minds a
frame of reference, a set of criteria or guidelines, by which they will govern
themselves. They don't need someone else directing, controlling, criticizing, or
taking cheap shots. They have bought into the changeless core of what the
organization is all about. --Stephen Covey, The 7 Habits of Highly Effective
People

The creation of a mission statement is an integral component of Covey's second
habit of highly effective people, Begin with the End in Mind. As Covey
describes it, all things are created twice--first mentally, and second, physically.
Creation of a mental vision and purpose for a project, be it an individual, family,
or organizational undertaking, is essential to achieving and accomplishing that
undertaking. Covey (1999) states:

A mission statement is the highest form of mental creation for an individual, a
family, or an organization. It is the primary decision because it governs all other
decisions. Creating a culture behind a shared mission, vision, and values is the
essence of leadership.

A mission statement that is created by the group who works together helps in
establishing the shared visions and values that are essential elements of healthy
organizations. Critical to the creation of any group mission statement is input
from all participants. The key is to harmonize individual values with the values of
the group so that people work together for a common purpose.

Ideally the creation of an organization's mission statement occurs in the
following sequence of activities:

o Input is requested from all members of the organization.

o A preliminary mission statement is drafted.

o The draft is passed around for feedback.

o The mission statement is revised and finalized.

o The mission statement is posted.

o The mission statement comes under regular review and can be modified to
accommodate the changing needs of the group (Covey 1989, 138).

Following the creation of the organization's mission statement, it can sometimes
be effective to invite every department in an organization to generate its own
mission statement that describes the core values and goals of the unit. What
results is a wheel, with the organization's mission statement with its common
goals at the hub and the departmental statements forming the spokes. Covey
tells the story of a hotel chain that offered excellent and consistent customer
service at levels so impressive that he inquired of the top management how they
were able to accomplish this feat in such a large organization. He learned that
the overall mission statement was "Uncompromising personalized service." Each
hotel had then developed a mission statement that suited its distinct environment
and business climate and, within each of the hotel departments, specific mission
statements had also been developed (Ibid., 139-140).

Every mission statement spelled out:

o What the employees stood for.

o How they related to the customers.

o How they related to each other.

The time spent, the sincerity and patience of the groups who worked together
to resolve their differences, and the efforts to align the systems and structures
within the organizations helped to arrive at a set of shared values that generated
tremendous energy and enthusiasm. Both performance and company loyalty
improved dramatically. The staff felt involved. They cared about the company,
and they trusted the leadership who trusted them to participate in the process.

Numerous organizations are developing mission statements these days, but how
many include their entire staff in the formation of the core values? Often they
don't even think of it. The director of a leading criminal justice organization
specializing in research and technical assistance was approached by one of the
largest probation departments to bring its managers up to date on promising
policies and practices being developed as models at the national level. The
client planned to send forty-five managers for training and technical assistance in
areas such as enhancing victim services, intervening in family violence, and
management of sex offenders in the community. It was to be a sizable contract.

The client agency listed the development of a mission statement as the first item
on its agenda, a plan so "out of sync" with the potential contractor's own
leadership philosophy that he initially refused to include the task on the program
and almost lost the contract. He objected to the fact that forty-five managers
would be determining the mission of the entire agency. A firm believer in full
staff participation in the writing of an organization's mission, the contractor
eventually convinced the agency that it would be wiser to teach the managers
the "process"--how to conduct the creation of a new mission statement--so that
they could return to their agency and carry the process out with the
participation of all of their co-workers (Wicklund 8 January 2001).

EMPLOYEE CORE VALUES: SETTING STANDARDS

Morningstar is a financial services company that has prospered and grown
exponentially in the last decade, monitoring mutual fund growth under the
leadership of Joe Mansueto, its founder and chairman. Co-workers consider
him an empowering leader whom they profoundly trust and he in turn trusts
them to work at their full potential (Haasnoot 2000, 10). Morningstar
employees generally agree with the statement that "You are allowed to take
risks and go with your judgments, because you know if you are wrong you will
disappoint Joe, but your job is not in jeopardy." (Ibid., 16) In his book, The
New Wisdom of Business, Haasnoot quotes Mansueto on the subject of trust
and autonomy in the workplace:

I like to give people a wide area to maneuver by giving them general goals and
guidelines and letting them figure out how to do it. I certainly do not want to
micromanage people. I think people want room to express their own creativity
and to do something their way. I certainly don't have the ideas to solve all of
these problems. If people are looking to me to solve all the problems, then we
are both in trouble. (Ibid., 17)

Giving co-workers as much freedom as they need to feel creative and to find
their own ways of meeting the challenges posed by the company is an
increasingly popular leadership approach. If this approach is chosen, however,
it is the responsibility of the leader to work out performance and ethical
guidelines with the staff so that everyone understands the standards they should
maintain. Furthermore, it should be made clear to the staff that included in the
freedom offered is the responsibility to maintain those standards with diligence.

Mansueto and his staff developed a handbook that provides guidelines on
ethical behavior, standards of interaction with clients, the type of work
environment they want to foster, the obligations of the company to maintain it,
and the obligations of the staff to respect it. The following is an excerpt from the
Morningstar Financial Services Employee Handbook:

o People should have a consistently positive experience with Morningstar.

o Be consistent. It is not enough for a person to experience excellent service
only once.

o Even bozos deserve the best.

o Be sincere.

o Be willing to go the extra mile.

o Say yes. Our standard response should be yes, but if for some reason we
cannot honor the request, don't just say no.

o Under promise, over deliver.

o Little things do mean a lot.

o You are Morningstar.

o To create great products we need great people.

o People who can manage themselves and their workloads and can take
initiative can do the most for Morningstar.

o The environment here should only fuel your enthusiasm and passion for what
we are trying to achieve. If you see something that can be improved, please let
your manager know, or go ahead and correct it.

o Morningstar should offer a creative environment that lets people think broadly
and question current practices.


o We expect everyone at Morningstar to behave with the highest ethical
standards.

o If you enjoy your work, it should be fun. We owe it to ourselves to find ways
to make this experience a positive one for everyone.

o It's hard to create great products if you are stressed out--so be good to
yourself. Find ways to ease the tension and stress of daily work. Go out for a
short walk, listen to some favorite music, take the time to eat a good meal, or
do some reading in our library. (Ibid., 21)

These excerpts clearly demonstrate the respect accorded staff and customers
alike, as well as concern for staff well-being and expectations about ethical
behavior. Morningstar leader Mansueto is an extraordinary example of a leader
who knows how to both communicate positive and high expectations and do
everything possible to facilitate the willingness and capability of his staff to live
up to his standards.

COPING ENVIRONMENTS VS. LEARNING ENVIRONMENTS

Understanding the leader's role requires consideration of the type of working
environment that the individual is in charge of and the type of working
environment that s/he wants to create. Generally work environments can be
divided into two types: coping environments and learning environments.

Individuals who work in coping environments are expected to be responders.
They plan for what is ahead and adapt the workplace for the changes that they
will need to make to stay abreast of the times. Coping environments involve
benchmarking: monitoring the achievements of other similar organizations to
establish the highest current standard and ensuring that the organization
maintains that standard. Coping environments tend to be manager-focused.
Most traditional corporations operate this way as do many agencies in criminal
and juvenile justice.

A concept defined in the early 1990s in The Fifth Discipline (Senge 1990) and
The Learning Company (Pedler, Burgoyne, and Boydell 1997), learning
environments are dedicated to the generation of new ideas and the creation of a
culture of expanded thinking. For example, Morningstar can be considered a
learning environment as are most of the software and Internet companies that
have developed in the last decade. Senge describes a learning organization as
"an organization that is continually expanding its capacity to create its future"
(McCall, citing Senge, 1998, 187). The leaders are stewards, designers, and
teachers. A leader in probation and parole management describes himself as a
leader in a learning environment. His job is to remove the impediments that
block the paths his co-workers are pursuing in their research and development
of new programs.

I am the guy with the machete cutting the swath through the jungle so that the
staff don't have to duck the branches. At the same time, I am the guy with the
shovel who walks behind the elephant in the parade and scoops up the "poop."
In other words, I am responsible and take the blame for what goes and grows
wrong under my charge (Wicklund, 8 January 2001).

Haasnoot cites six characteristics of a learning company:

o It has a commitment to continuous learning.

o It has in place processes to create, capture, and share knowledge with
people who have a need to know.

o It as a system of critical and systemic thinking in place.

o It creates a culture that values, respects, and rewards learning.

o It is willing to experiment and be flexible with what it does learn.

o It is people-focused and people benefit from the process (Haasnoot 2000,
40).

One leader in probation services for the state of Colorado is responsible for
statewide probation standards and policy development. He works hard to
create a learning environment and relies upon his staff to think expansively. His
stewardship approach has been to carefully evaluate staff performance and
progress every year and remove impediments whenever possible. If they need
funding resources, legislative support, or legal authority to move forward, it is
his job to secure it. The office staff comprises self-directed work teams made
up of individuals with different skills. There are no unit supervisors. He asks that
people think for themselves and not come to him for problem solving. The
principle of his hiring approach is "there is no place on the staff for soldiers, only
leaders." (Fogg 8 January 2001)

Whatever environment--coping or learning--the team functions in, the leader
must consider which environment is better suited to the goals of the
organization. S/he should also value the co-workers' well-being. A leader needs
to create a culture that recognizes and rewards innovation--an environment in
which people can grow and improve their skills and one that allows them to
take risks and make mistakes.

COMPETITION VS. COOPERATION

Much of the recent leadership writing on competition versus cooperation comes
out strongly on the side of cooperation. Abraham Maslow writes in Maslow on
Management that "enlightened economics must assume good will among all
members of the organization rather than rivalry or jealously." (Haasnoot,
quoting Maslow, 2000, 61) Some of the underlying beliefs about the
importance of cooperation, as opposed to competition, in the work place are
that it creates unity, loyalty, and good will. It also fosters creativity and builds
self-esteem among participants. Haasnoot writes that "when true cooperation is
in place there is usually a common purpose, coordination, and meeting of
diverse minds, and people fully leverage their skills." (2000, 75)

Doug Walker, founder of a thriving software company, has tried to create a
corporate culture where respect and trust foster collaboration among an
egalitarian group of people. "Collaboration intrinsically involves open,
constructive sharing." He goes on to say that there are no quotas and no rules.
"We use a system here that is principle-based instead of rule-based. Respect
and trust guide us through the process." (Haasnoot, quoting Walker, 2000, 56-
58) He readily admits that this approach works because the company takes
incredible care in hiring people who can work in this environment. An average
of fifteen hours is spent interviewing anyone before s/he is hired--enough time to
feel confident that the newcomer can thrive in a "principle-based" system.

Critics of competition in the workplace believe that it creates both unnecessary
anxiety and unnecessary levels of aggression. They deny that it produces better
results because greater efforts are made to attack the opposition's weaknesses
than are made to develop one's own strengths. Competition creates losers even
though they may have done an excellent job.       

On the other hand, since time immemorial, competition has been a motivating
factor for individuals to increase performance and achieve excellence. It is hard
to judge if the traditional beliefs about competition ever apply in the workplace:
competition builds character and self-esteem, is fun, is instinctive, produces
better results, and leads to innovation. A little insight into how competition
operates in the organization, however, will help a leader to understand
workplace dynamics. Some people are competitive by nature and by habit, and
the leader should understand how they are motivated.

Whether a leader chooses to introduce competition to the organization or
eliminate it depends on many considerations. Creating an atmosphere of
cooperation is essential to a healthy working environment. Whether a certain
amount of competition can be sustained is specific to the environment and the
job descriptions. 

Modern leadership theorists generally view fostering competition in a negative
light. There are other negative tools that leaders bring to bear on their co-
workers that can produce results in the short term but, in the long term, breed
discontent and distrust.

Closed-book management. When people receive regular feedback that enables
them to know how they are doing in their job and how the company is doing,
they feel more involved and more secure. The opposite is also true. Staff who
are kept in the dark about the quality of their performance and the health of
their company feel manipulated, detached, and insecure.

Leadership by fear. Machiavelli wrote that if "one's country is threatened, there
should fall no consideration whatsoever of either just or unjust, kind or cruel,
praiseworthy or ignominious . . . The people must fear their leaders, but they
must believe in the goodness of their leaders." (Ledeen 1999, 117-118) It is
surprising how many modern leaders cite Machiavelli's philosophy for effective
leadership as their guide to maintaining power and domination. In the short
term, such treatment perhaps makes people feel secure in the sense that it
appeals to their desire to have a patriarch or a matriarch but, in the long term, it
makes them dependent, angry, and distrustful.

Coercion? Or take the time to persuade. For a leader to compel people to do
things by the use of his/her power as a leader is ill-advised when s/he can take
the time to befriend them, communicate with them, and explain to them why
s/he is taking an unpopular decision. Abraham Lincoln said that when a leader
begins to coerce his followers, he is essentially abandoning leadership and
embracing dictatorship.

When the conduct of men is designed to be influenced, persuasion, kind,
unassuming persuasion should ever be adopted. If you would win a man to your
cause, first convince him that you are his sincere friend. On the contrary,
assume to dictate to his judgement, or to command his action, or to mark him
as one to be shunned and despised, he will retreat into himself, close all avenues
to his head, and his heart; and tho' your cause be the naked truth itself . . . you
shall no more be able to reach him, than to penetrate the hard shell of a tortoise
with a rye straw. (Phillips 1992, 41)

THE WIN/WIN PARADIGM


Probably the strategy that has received the most attention in Covey's theories
on leadership is the Win/Win paradigm. In this model, the goal of any
interaction between individuals, in families, and in organizations--both internally
and externally--is the creation of win/win solutions. Covey explains that our
focus in every human interaction should be on "producing personal and
organizational excellence by developing information and reward systems, which
reinforce the value of cooperation." (Covey 1989, 206) To operate with the
Win/Win paradigm means that one is in a frame of mind and heart "that seeks
mutual benefit in all situations." The belief inherent in the concept is that there is
plenty for everybody, that one person's success is not achieved at the expense
or the exclusion of the success of others, and if it is a "No Win" situation, then it
should be avoided.

Arriving at a win/win solution requires trust in the good intentions of the parties,
openness in the sharing of information, and honesty in all dealings. By arriving at
an understanding of the needs and realities of both parties, the process
promotes the creation of solutions that are mutually beneficial. Covey points out
that this kind of exchange provides "tremendous emotional freedom and
harmony in family and work relationships. In the business world it promotes the
kind of creative and cost-saving collaborations between organizations that are
becoming a necessity in the modern world (Ibid., 207-214).

Covey also stresses the importance of "No Deal" in the win/win model.
"Anything less than Win/Win in an interdependent reality is a poor second best
that will have impact in the long-term relationship. The cost of that impact needs
to be carefully considered." (Ibid., 214)

An analysis of win/win in successful interpersonal relationships can be looked at
from the points of view of (1) the characters of the participants, (2) their
relationships, and (3) the agreements that they make. Necessary qualities of
character are self-awareness, imagination, conscience, independent thinking,
courage, and an understanding of one's innermost values.

In the relationship there must be mutual learning, influence, benefits, and
commitment to the win/win outcome. This relationship will not diminish the
issues to be resolved but will replace the negative energy generated by the
conflict with positive, cooperative energy focused on understanding the problem
and finding a mutually beneficial solution (Ibid., 216-222).

Finally, win/win agreements can cover many types of interaction: between
employers and employees, between independent people working together on
projects, between companies and suppliers, and between companies and their
clients. Win/win agreements are a means to clarify expectations of any group
working together for a common or an interdependent effort. In win/win
agreements, the following elements are made explicit:

o Results desired.

o Guidelines within which the results are accomplished.

o Resources available for the effort: human, financial, technical, and
organizational.

o Accountability: standards of performance, time frame, and method of
evaluation.

o Consequences: What happens as a result of the evaluations (Ibid, 223-244).

Covey writes of a four-step process to help people develop a win/win
approach to negotiations and problem solving:

o See the problem from the other point of view. Understand and give
expression to the needs and concerns of the other party.

o Identify the key issues and concerns.

o Determine what results would constitute a fully acceptable solution.

o Identify possible new options to achieve those results (Ibid.).

MOVING BEYOND ADVERSITY: THE NATURE OF OPTIMISM

As a leader during a time of change, I think it is my obligation to first quickly
deal with my own predictable emotional cycle. Then it is my job to help people
move through their feelings and to understand that we are all totally in control of
how we react to major changes that we don't agree with or didn't engineer.
--Phyllis Campbell, President, U.S. Bank of Washington (Mackoff and Wenet
2001, 116)

How a leader responds to adversity and how s/he frames a difficult or
threatening situation to co-workers has a great deal to do with how well s/he
will be able to respond. Major General John Stanford used to say, "leadership
is not a role but a point of view." (Mackoff and Wenet 2001, 122) The greater
the fear component and the negative energy attached to any problem, the
harder it is to view it objectively and respond to it efficiently. Another
Stanfordism is that "[w]hen leaders choose to live in the world of "yes," they
can turn adversity into an event of knowing." (Ibid.) Leadership theorists define
the reframing of negative events in a positive light as a positive explanatory
style. Many effective leaders practice this approach quite naturally.

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A typical reaction to a problem that has been created is to ponder certain
questions, such as: how long will it last; how will the leader be affected by it;
and who is to blame (and the leader is to blame). Using a negative explanatory
style, a leader responds that it is always happening; that it will ruin the company;
and that it is all his/her fault. Imposing the discipline of the positive explanatory
style is to answer the questions truthfully but in a way that is more objective. 
The leader takes the long view on the time frame, having the expectation that
with enough time, the situation will work out or be solved; confines the problem
to the specific circumstance it relates to; and takes realistic responsibility for the
problem or error, in the context of previous accomplishments (Danzig 2000,
79-82; Mackoff and Wenet 2001, 112-122).

Maj Gen John Stanford was hired as the superintendent of Seattle Public
Schools, having had little experience in the field of education. There was
opposition to his hiring. Colleagues in the field advised him that he had been
hired as token minority and could expect to be fired rather quickly. While he
took care not to personalize the threats and assumed his duties with great
enthusiasm, he found the job at hand to be daunting. The poor condition of the
school district was detrimental to the quality of education they were able to
provide to the children. The adversity centered on school management and
dwelled on class size, teacher-principal conflicts, and department heads
competing for dwindling dollars. No one had time to think about the students
(Mackoff and Wenet 2001).

Applying positive explanatory techniques, Stanford decided to reframe school
problems and set new goals that addressed the needs of the students and their
achievements. He created a successful plan with a slogan that became a rallying
point for all the participants and allowed them to set aside their complaints and
bickering--"Victory in the classroom." The plan created an academic
achievement plan for the students and a contract with a "trust agreement" for the
teachers to deal with school budgets and staffing weighted towards student
needs. Teachers and administrators were reminded of why they had chosen
teaching in the first place and the plan helped them to renew their personal
missions to teach (Ibid.).

POSITIVE ENERGY

Since leaders continually interact with other people, their co-workers look to
them to be positive, good humored, and cheerful. Leaders must find a way to
effectively manage their own fears and emotions. In his darkest moments during
the Civil War, when his generals were failing to carry out orders and he was
angry and frustrated, Lincoln wrote scathing letters--which he never sent--to
expend his negative energy. He was very careful not to let minor differences
and personal preferences affect his mood while working with others. With
regard to quarreling over insignificant matters, he once advised a military
officer, "Better give your path to a dog than be bitten by him in contesting a
fight. Even killing the dog would not cure the bite." (Phillips 1992, 82)

A leader should consider mood maintenance as part of the job. Everyone is
entitled to his/her moods, but if the leader can find an innocuous outlet for
his/her negative energy--writing, vigorous exercise, meditation, etc.--
co-workers will find refuge in the leader's equanimity.

OPTIMISM

Conveying optimism is an essential skill for any effective leader. An optimistic
state of mind is attainable with practice. Among the Cherokee Indian Nation
leaders, for example, there is a prayer that is offered at the beginning of
meetings that is a plea for a positive framework. Participants are asked to
dispel negative thoughts in order to make space for positive and creative ones.
"Being of good mind" in fact is a general practice among the Cherokee that is
used  to create positive energy. In dispelling negative energy, they reflect on
problems in a bigger context, and try to observe the connection between
negative events and the universe (Mackoff and Wenet 2001, 104).

Chief of the Cherokee Nation Wilma Mankiller first learned "being of good
mind" when her family was moved by the Indian Affairs Relocation Program
from the woods in Oklahoma to central San Francisco. Rather than dwell on
the injustice and the discomfort her family felt at leaving their friends and their
lovely home in the woods, her parents focused on what the city had to offer to
them: electricity, inside plumbing, central heating, good schools, and job
opportunities, all of which they had previously lacked. It was true that they felt
they had been wronged but they chose not to be dragged down by their own
negativity that would prevent them from seeing the benefits of their new life.

When the previous chief retired, Mankiller accepted the challenge to run for
chief of the Nation. Many Cherokee were angry that a woman wanted to
assume leadership. She received harassing phone calls and other forms of
intimidation, including death threats. She believed that gender was a nonsensical
issue in the election and that she would lose the election if she allowed herself to
dwell on it. Mankiller admits that sometimes there is very little upside to a
negative situation, in which case the best one can do is reflect on what s/he
learned (Ibid., 103-105). She has found throughout her career as a leader that
"being of good mind" has been an essential practice--a simple prayer that rids
the mind of negative thoughts, improving energy and heightening creative
thought processes.

PASSION FOR WORK

In discussions of leadership, the term "charisma" has been given a number of
different but overlapping meanings: a leader's magical qualities; an emotional
bond between leader and led; dependence on a father [mother] figure by the
masses; popular assumptions that a leader is powerful, omniscient, and virtuous;
imputation of enormous supernatural powers to a leader; and simply popular
support for a leader that verges on love (Phillips, citing Burns, 1992, 77). The
leadership attributes that best evoke the adjective of "charismatic" are the clear
communication of mission and the passion felt for work. Passion and conviction
have great and energizing power that can stimulate co-workers and inspire them
to help achieve the goal. "Passion ignites a contagious optimism." (Danzig,
quoting Stanford, 2000, 82)

Unquestionably, survival and excellence in the field of victim services are clear
indications of the passion an individual feels for helping victims and seeing
justice served. In the process of acquiring greater leadership skills, the
individual needs to look inward to better understand self, motivations, and
passion. In so doing, s/he improves interpersonal skills and acquires practical
skills that make him/her a more adept and confident leader.

Servant Leadership

Today there is a growing voice in modern leadership theory, and a shift in
emphasis from financial capital to human capital as a source of organizational
success. The concept of servant leadership (as defined by leadership theorist
Robert Greenleaf 1977) is at the heart of this transformation, and elements of
this theory abound in current leadership models. The point of departure for the
servant-as-leader paradigm is that enlightened leadership puts serving others--
employees, customers, and community--as the number one priority.
Furthermore, strong servant leaders focus on means and attitudes as well as
outcomes. They see choices, have the willingness to make the right choices
(based on values like respect, caring, and competence), and take responsibility
to stay their course (Spears 2001).

Greenleaf attributed the foundation of servant leadership to Journey to the East,
a work by Hermann Hesse (1956). This book is an autobiographical account of
the narrator's journey toward enlightenment, wherein he is accompanied by his
faithful servant, Leo. Throughout the arduous journey, the narrator and his
companions are assaulted by all kinds of disasters and hardships. Leo, by his
spirit and warmth and gentle service, is able to sustain the travelers through
these challenges. Then Leo is lost. The effect on the travelers is extreme; they
end up wandering for years, and the narrator nearly dies. Finally, the narrator
finds Leo, and is taken to the society he has been seeking--there, he discovers
that Leo, his trusted and loyal servant, is actually the leader of the enlightened
society.            

According to Greenleaf (1977), the key elements of servant leadership are:

o Listening receptively to what others have to say.

o Accepting others and having empathy for them.

o Having foresight and intuition.

o Being aware and perceptive.

o Having highly developed powers of persuasion.

o Having an ability to conceptualize and to communicate concepts.

o Having an ability to exert a healing influence upon individuals and institutions.

o Building community in the workplace.

o Practicing the art of contemplation.

o Recognizing that servant leadership begins with the desire to change oneself.

While theorists and researchers often take great care to avoid the injection of
morality into organizational theory, Greenleaf affirmatively states that it is the
very moral underpinnings of leaders who choose to serve that prevents the
typical corruption so often seen in hierarchies of power. Many leading writers
on leadership echo this "new" approach to leadership. John C. Maxwell cites
"servanthood" as one of the twenty-one indispensable qualities of a leader and
cites five qualities of the true servant leader:

1. Puts others ahead of his/her own agenda.

2. Possesses the confidence to serve.

3. Initiates service to others.

4. Is not position-conscious.

5. Serves out of love (Maxwell 1999, 136-37).

This challenging approach to leadership creates more questions than answers. It
is not the embodiment of a simple formula that can be objectively applied for
specific results. The exercise of servant leadership is as individual and varied as
there are individuals and organizations. Yet the basic premise remains steadfast
and unchanged--leadership in the name of true service to those led.

In his book Synchronicity: The Inner Path to Leadership (1998), Joseph
Jaworski takes the concept of servant leadership one step further in describing
the true servant leader as one who makes the choice to serve life. In his
introduction to Synchronicity, Peter Senge, a renowned authority on leadership
and organizational theory, describes Jaworski's work as making a profound
connection between the world of hierarchical power that is quickly disappearing
and the newly emerging scheme of shared power, vast networks, and self-
managed teams. Senge cites Jaworski's assertion that:

. . . in a deep sense, my capacity as a leader comes from my choice to allow life
to unfold through me. This choice results in a type of leadership that we've
known very rarely, or that we associate exclusively with extraordinary
individuals like Ghandi or King. In fact, this domain of leadership is available to
us all, and may indeed be crucial for our future . . . That is the real gift of
leadership. It's not about positional power; it's not about accomplishments; it's
ultimately not even about what we do. Leadership is about creating a domain in
which human beings continually deepen their understanding of reality and
become more capable of participating in the world. Ultimately, leadership is
about creating new realities (Jaworski 1998, 2-3).

The concept of servant leadership draws upon all the qualities discussed in this
chapter, and carries the need to know oneself to its highest level of potential. In
knowing one's own capabilities, strengths, and weaknesses, one prepares
oneself for the most effective and constructive leadership possible.

Conclusion

The many examples of leadership highlighted in this chapter offer both
inspiration and insights into what makes an individual an effective leader. One's
past experiences--both personal and professional--contribute significantly to
leadership attitude, style, and strategies. While there is no "one" style of
leadership that emerges as preferential, there are many components of different
leadership styles addressed in this chapter that offer strong guidance for
creating a self-style of leadership that is comfortable, creative, and effective.
Key among research espoused by prominent leadership theorists is the need for
leaders to know and understand their own strengths and weaknesses.

The next chapter examines personal stories and historical illustrations of a
quality absolutely essential to knowledge of oneself and one's true capacity for
leadership--the possession and exercise of integrity.

References

Bennis, W., and B. Nanus. 1997. Leaders: Strategies for Taking Charge. New
York: HarperCollins.

Burns, J. M. 1978. Leadership. In D. Phillips. 1992. Lincoln on Leadership.
New York: Warner Books.

Danzig, R. J. 2000. The Leader Within You. Hollywood FL: Frederick Fell
Publishers.

Covey, S. 1989. The 7 Habits of Highly Effective People. New York: Simon &
Schuster.                

Covey, S. 1999. Living the 7 Habits. New York: Simon & Schuster.

Fogg, V. 8 January 2001. Personal communication with author.

Greenleaf, R. K. 1977. Servant Leadership: A Journey into the Nature of
Legitimate Power and Greatness. New York: Paulist Press.

Haasnoot, R. 2000. The New World of Business: 9 Guiding Principles from
Today's Leaders. Chicago: Dearborn.


Heifetz, R. 1994. Leadership Without Easy Answers. Cambridge, MA:
Harvard Business School Press.

Hesse, H. 1956. Journey to the East. Translated by H. Rosner. New York:
Farrar, Straus & Giroux.

Jaworski, J. 1998. Synchronicity: The Inner Path of Leadership. San Francisco:
Berrett-Koehler.

Kennedy, J. F. 2000. Profiles in Courage, perennial edition. New York:
Harper Collins.

Ledeen, M. 1999. Machiavelli on Modern Leadership. New York: St.
Marten's Griffin.

McCall, M. 1998. High Flyers: Developing the Next Generation of Leaders.
Cambridge, MA: Harvard Business School Press.

Mackoff, B., and G. Wenet. 2001. The Inner Work of Leaders: Leadership as
a Habit of Mind. New York: Amacom.

Maxwell, J. C. 1999. The 21 Indispensable Qualities of a Leader. Nashville,
TN: Thomas Nelson Publishers.      

Pedlar, M., J. Burgoyne, and T. Boydell. 1997. The Learning Company. New
York: McGraw Hill.            

Phillips, D. 1992. Lincoln on Leadership. New York: Warner Books.

Senge, P. 1990. The Fifth Discipline. New York: Doubleday.

Spears, L. C. 2001. Servant Leadership: Quest for Caring Leadership. As
viewed 21 January 2001 on the Robert Greenleaf Web site
<http://www.greenleaf.org>.

Wicklund, C. 8 January 2001. Personal communication with author.

Wolfe, T. The Right Stuff. 1979. New York: Farrar, Straus and Giroux. In
McCall, M. 1998. High Flyers: Developing the Next Generation of Leaders.
Cambridge, MA: Harvard Business School Press.

----------------------------


Chapter 2. Integrity and Ethics in Leadership

Abstract

The test of a true leader is his/her capacity to adhere to a strong foundation of
ethics, articulate them as standards for colleagues and staff, and "practice what
s/he preaches" by example on a daily basis. Personal leadership values form this
ethical foundation, and are based upon past life experiences and current work
processes that seek to improve rights and services for victims of crime. Ethical
behavior reflects a sense of self-respect that translates into respect for others in
all encounters. The process of living one's personal values in a leadership role
requires being in touch with one's inner world of purpose, dreams, principles,
aspirations, and ethics, which in the end gives meaning to one's life. The
application of a leadership lifestyle is challenging and requires total commitment
to the concept of integrity.

Learning Objectives

Upon completion of this chapter, students will understand the following
concepts:

o The various themes of ethics in leadership roles.

o Ethical behavior as an organizational theme and how to measure one's own
ethical principals and behaviors.

o Personal leadership values that promote ethics and integrity and how to apply
them in a leadership role.

o Challenges to ethical leadership and strategies for facing such challenges.

o The essential role of ethics and integrity in conveying a "unity of purpose" for
an organization.

Introduction

The greatest leaders of history, regardless of their age, gender, race, or
platform, all share one quality in common--absolute commitment to the
principles they serve. Integrity in leadership is a quality that cannot be contrived
and, in turn, is unmistakably apparent when a leader is truly committed to the
cause s/he serves. Consider the words of Nelson Mandela, arguably one of
today's most revered and honored world leaders, a man who emerged from
twenty-six years as a political prisoner to be hailed as the triumphant leader and
hero of a new South African democracy by allies and former enemies alike. In
1963, as he faced, before a British court in the strict apartheid regime of South
Africa, charges of government sabotage which carried a possible death
sentence by hanging, he made what many consider to be the most effective
political speech of his career, detailing his efforts on behalf of democracy and
freedom. In his authorized biography on Mandela, Anthony Sampson quotes a
powerful portion of Mandela's speech in the following descriptive narrative:

"During my lifetime I have dedicated myself to this struggle of the African
people. I have fought against white domination, and I have fought against black
domination. I have cherished the ideal of a democratic and free society in which
all persons live together in harmony with equal opportunities." He paused and
looked at the judge: "It is an ideal which I hope to live for and achieve." Then,
dropping his voice, he concluded: "But, if needs be, it is an ideal for which I am
prepared to die." (Sampson 1999, 192)

Mandela had dedicated his entire adult life to the struggle for freedom and
democracy for the black Africans. His long ordeal as a political prisoner of the
South African regime had barely begun. His lawyers, in every attempt to spare
him the death penalty, initially begged him to leave out the statement "it is an
ideal for which I am prepared to die." Mandela refused to leave out these
words, finally agreeing only to insert the phrase, "if needs be." (Ibid., 191).

While leaders are rarely called upon to risk their own lives for the integrity of
the causes they serve, it is this kind of unwavering and heartfelt commitment that
can propel men and women into positions of great leadership. Often magnificent
displays of integrity are recognized only with hindsight, after the drama and
tension surrounding a situation have subsided and the atmosphere has cleared
sufficiently so that the nature and intent of the act and the opposition to it are
manifest. It requires great courage in periods of adversity and dramatic change
for leaders to conduct themselves ethically. They are often alone,
misunderstood, and under fire for taking on powerful opponents or for
struggling to change the status quo. Subtle acts of integrity go unnoticed and
thus unappreciated. Yet without a leader's constant adherence to the precious
core values that underwrite the entity that s/he represents, an organization's
well-being can rapidly deteriorate. Ethical conduct in leadership and trusting
relationships among the participants--be they a company, a victim services
agency, a political constituency, or a family--are prerequisites for healthy
environments.

George Norris, whom John F. Kennedy memorialized in Profiles in Courage,
was the freshman Senator from Nebraska who took on the Senate and
President Wilson in 1917 to resist the United States' entry into the Great War in
Europe. He led a small but committed opposition to the Armed Ship Bill that
would have authorized the arming of American merchant ships in the war zone.
Norris believed that Wilson was pandering to the munitions business that was
seeking military protection for their commercial shipments to Europe, and that it
would encourage German attacks and push the country into the war
unnecessarily. Importantly, passage of the Bill would also have set a precedent
for transferring the authority to declare war that resides with the Congress to
the President, which is in violation of the laws of our nation (Kennedy 2000,
174-178).

Although a three-day filibuster prevented the passage of the Bill, President
Wilson managed to arm the ships and "let lose a scathing indictment of the little
group of willful men who had rendered the great government of the United
States helpless and contemptible." Norris came under brutal attack from his
peers and constituency; his unpopularity soared; and he expected to be recalled
to his state at any moment. He kept his office by explaining the simple truths of
his argument while making personal appearances throughout the country. Even
though the nation soon entered the war, in hindsight Norris was honored for his
integrity and deemed a hero for his opposition to the Bill (Kennedy 2000, 178-
191). Norris' commitment to the principles upon which he staked his political
career is memorialized in the following quote:

I would rather go down to my political grave with a clear conscience than ride
the chariot of victory as a Congressional stool pigeon, the slave, the servant, or
the vassal of any man, whether he be the owner or manager of a legislative
menagerie or the ruler of a great nation . . . I would rather lie in the silent grave
remembered by both friends and enemies as one who remained true to his faith
and who never faltered in what he believed to be his duty. (Kennedy 2000)

As a service-based field, integrity in leadership is crucial in the victims' rights
discipline. The efforts of victim advocates in the last thirty years to get the nation
to focus on the plight of crime victims in the criminal and juvenile justice systems
has been a battle in which the exercise of integrity has been essential. Securing
the passage of laws that mandate victims' rights has required that the principles
of justice to victims become established components of criminal and
constitutional law. It is an ongoing process. Caring for victims and seeing that
their rights are honored and justice is served is, by definition, "ethical behavior."

Victim services is a dynamic, exacting, and developing profession that both
compels and consumes those who have made it their profession. It spans local,
state, and federal criminal justice systems and allied professionals, and sweeps
across every aspect of daily life. Victim service professionals deal daily with
traumatized people who but for giant strides made by the victims' rights
discipline would be unattended or poorly served. What crime victims need,
want, and are entitled to receive has been learned out of necessity and in a
relatively short period. The knowledge has come as a result of increasing
collaboration between policy-driven systems and individual crusaders for crime
victims. Ethical and uncompromising leadership across the wide spectrum of
victim concerns and issues has been a powerful catalyst in the development of
comprehensive services currently available to victims, and such leadership is
essential for further progress. Integrity, that unwavering commitment to
purpose, has been responsible for the many gains made in the effort to gain
recognition and rights for victims. Integrity in leadership, then, is nonnegotiable.
To be effective, a leader must understand and embrace a strong set of ethics,
communicate them as a valued standard to co-workers, and live by them.
Integrity is the cornerstone on which trusting relationships are built and from
which all honest consensus is created. This chapter defines elements of integrity
and discusses how these elements are essential to effective and authentic
leadership in any field and specifically in victim services. In what ways does a
profession that deals largely with human emotions affect the nature of
leadership? The chapter will look at ownership and the different kinds of
boundaries that are relevant to leadership in victim services. Finally, it will
discuss integrity, both practically and philosophically, in human relationships and
in leadership roles.

Applying Ethics in Leadership Roles

Ethics is a way of teaching you how to live as though you were one with the
other. --Joseph Campbell

Ethical behavior often has a great deal to do with reconciling interests: the moral
principles behind the choices one must make are often in conflict; choosing one
option over the other requires critical analysis and deliberation. Recognizing an
ethical problem within a complex set of circumstances is a test of one's ability to
reason moral issues. Often, making moral choices in a family situation is clearer
and more straightforward than making moral choices in professional life where
the positive and negative repercussions of an ethical choice may occur at a
greater distance from the decision maker and have little direct impact on
him/her. In the corporate world, leaders frequently find themselves caught
between their professional duties and general morality. Do their actions serve
the good of the staff? Do their actions serve the good of the community-at-
large?
                    
Those whose task it is to watch over the general well-being often see their
mission as a career; at the center of which their own person occupies pride of
place. Under such conditions, it's difficult for them to disregard the immediate
term--especially their own popularity--and consider what would be best for
everyone's good in the long term (Ricard and Revel 1998, 195).

Making ethical choices requires a clear idea of one's moral mandate and the
ability to critically analyze choices to determine how they stand up to principle.
Although there are many approaches to making ethical choices, all basically
reflect on good and evil and whether or not an action taken will be harmful to
someone or something. The long-term positive results of a decision emphasizes
its validity. Some of the different (and sometimes contradictory) choices are:

o The categorical imperative: Always act so as to treat others as an end and
never only as a means.

o Be courageous but not rash, liberal but not stingy, righteously indignant but
not malicious. Have pride but not vanity.

o Take account of the preferences and interests of all those affected to bring
about the greatest net satisfaction of preferences.

o Resist what appears to be good in the short run for what appears to be really
good in the long run.

CLASSICAL ETHICAL PRINCIPLES

Arriving at moral decisions (or in some cases, the most moral decision possible
in a circumstance) is about asking the right questions. Socially responsible
business ethics attempt to apply classical ethical principles to modern business
practices by proposing the questions below. The ten principles illustrated are
tests to determine whether a decision can be considered ethical. It is
recommended that seven out of ten be satisfied before a decision is made and
the consideration should be for the long-term good:

1. Is the action contemplated in the long-term self interest of yourself and/or of
the organization to which you belong?

2. Is the action contemplated honest, open and truthful? Is it one that you would
not mind being widely reported to the media?

3. Is the action contemplated kind and does it build a sense of community, a
sense of all working together toward a commonly accepted goal?

4. Is the action contemplated in violation of any laws (as the law represents the
minimum moral standard in society)?


5. Does the action contemplated result in the lesser harm for society of which
you are a part?

6. Is the action contemplated something you would like to see others take when
faced with a similar dilemma?

7. Does the action contemplated abridge any agreed upon and accepted rights
of others?

8. Does the action contemplated seek to maximize profits subject to legal and
market restraints?

9. Is the action contemplated one that harms the least among us in any way?

10. Does the action contemplated interfere with the right of all of us for self-
development and self-fulfillment? (Eighinger 1998)

Further, the elements to consider when faced with an ethical decision are:

o What are the ethical issues in this case?

o Whose rights are involved?

o What are the social justice issues?

o What solution strategies are available? How does the strategy measure:

--reduction of harm?
--maximization of benefit?
--respect of rights?
--fair treatment of all parties involved?

o What are the potential consequences of solution strategies? Who will be most
affected by the choices? Are there unintentional consequences that have not
been considered? Will the positive outcome outweigh the negative ones? (Ibid.)

It is clear that leaders must consider a multiplicity of issues and concerns in
making consistently ethical decisions and in developing a code of ethical
behavior for their organizations. It is the leader's role to set a clear and uniform
example of ethical behavior and to articulate specific expectations and goals so
that ethical behavior becomes an integral theme of the organization.


LEADERSHIP AND TRUST

True leaders gain the trust of those they lead. While it is difficult to define
exactly what trust is and what it means to those who follow a particular leader,
we certainly know when it is present and when it is not. We know that it
involves predictability, consistency, clarity of communication and purpose, and
that it is essential to the maintenance of good leaders. The establishment and
maintenance of trust allows leaders to guide and shape an organization through
good as well as difficult times. A strong foundation of trust sustains an
organization or any group through challenging obstacles so that the proper care
and time can be taken to find the right solutions.

Warren Bennis and Joan Goldsmith, in their book, Learning to Lead (1997),
describe four qualities of leadership that, when practiced, create and engender
trust. They are vision, empathy, consistency, and integrity. The authors, through
their extensive research on leaders, argue that a leader who is trusted
demonstrates these four characteristics:

o The leaders has a vision for the organization that is clear, attractive, and
attainable. We tend to trust leaders who create inspiring visions. The leader's
vision functions as a context that provides shared beliefs and a common
organizational purpose with which we can identify and feel that we belong. The
leader involves us in the visions, empowers us to create it, and communicates
the shared vision so that we integrate it into our lives.

o The leader has unconditional empathy for those who live in the organization.
We tend to trust leaders who can walk in our shoes and are able to let us know
that although they may have a different point of view, they are able to see the
world as we see it and understand the sense we make of it.

o The leader's positions are consistent. We tend to trust leaders when we know
where they stand in relation to the organization and how they position the
organization relative to the environment. We understand how our leaders'
positions evolved and know that they are willing to reconsider them in the face
of new evidence.

o The leader's integrity is unquestionable. We tend to trust leaders who stand
for a higher moral order and who demonstrate their ethical commitments
through actions that we can observe. Leaders uphold a standard of ethics and
call themselves and others to account for deviations from this moral code.

It is helpful to consider these four qualities as we consider the importance of
trust and integrity in leadership. Oftentimes, as we reflect on leaders in our past
and present that have influenced us and/or continue to play an important role in
our lives, we see these qualities in action. This is more fully explored in the
learning exercise contained in Appendix B-3, Qualities of Leadership.

Ethical Behavior as a Theme in the Organization

We should therefore examine whether we should act in this way or not as not
only now but at all times. --Plato   

When the ethical behavior within an organization is suspect or there is an
atmosphere of apathy and a need for a strong ethical code to serve as a
positive motivating factor for all employees, the effort to establish the ethical
code begins with the leader of the organization. The motivation starts at the top.

The National Institute of Ethics reports that leaders who encourage staff to
maintain a high level of ethical behavior and to maximize their potential
inherently do the following:

o Convey a sincere interest in others.

o Satisfy the needs of subordinates.

o Develop an organizational commitment.

o Are honest and open in dealings with fellow employees.

o Allow co-workers to play an active role in decision making.

o Provide challenges and responsibilities for staff.

o Convey trust and understanding.

o Assist in personal development (Trautman 1998, 41).

ETHICS IN THE WORKPLACE ASSESSMENT

The National Institute of Ethics has developed for law enforcement a series of
training tools and manuals to determine what policies, procedures, or practices
within an organization need to be added or revised to ensure integrity and ethics
in the workplace. Two different surveys are conducted--one with staff and one
with management. To encourage staff to speak openly, the surveys are sealed
upon completion. Staff are requested to frankly disclose their criticisms about
the level of ethics in the workplace, from the top down, and to give suggestions
for improvements.

General survey questions that apply to criminal justice (and that also apply to
victim service providers) are meant to provoke a discussion about the level of
ethics in the organization and what would enhance them: What are the greatest
needs in relation to ethics? Do unethical acts occur in the organization? What
are the strengths in relation to ethics? How can they address the weak areas?
(Ibid., 53).

Completion of the surveys allows the staff and leadership to examine and
express their ideas, expectations, and shortcomings without risking job security.
Once ethics become a central theme of the organization, the group as a whole
can decide if they would benefit from ethics training.

ETHICS ASSURANCE COUNCIL AND ETHICS TEAMS

The National Institute of Ethics also proposes the creation of Ethics Assurance
Councils for all kinds of organizations to bring staff together to share ideas,
suggestions, and critical information while organizing and directing the effort to
make ethics a focal point of the workplace. Councils can identify and resolve
any unavoidable ethics-related problems that arise in the workplace as a result
of company protocol or policy (Ibid.).

In a similar vein, co-workers who form Ethics Teams can work together to
improve each other's ethical decision-making skills. They can coach each other
and staff on solving problems, providing resources, and offering objective
feedback.

The following are questions used in the National Institute of Ethics Self-
Evaluation:

o How do I decide ethical dilemmas?

o Do I have set ethical beliefs or standards?

o If so, do I live by these beliefs or standards?

o How often have I done things that I am ashamed of?

o How often have I done things that I am proud of?

o Do I admit my mistakes?


o What do I do to correct mistakes that I make?

o Do I often put the well-being of others ahead of mine?

o Do I follow the golden rule?

o Am I honest?

o Do people respect my integrity?

o List the three best things that have ever happened to me.

o What is the most dishonest thing I have ever done?

o Did I ever rectify the situation?

o What is the most honest thing that I have ever done? (Trautman 1998, 87)

Personal Leadership Values

Victim service professionals hold the public trust as surely as do other public
servants such as prosecutors, law enforcement, and the judiciary. Victims of
crime trust and rely that professionals will adhere to a code of conduct based
upon established principles and values. That code of conduct must also require
service delivery to be appropriate and of the highest quality in technique and
nature. The leader establishes a code of conduct and decision making that s/he
adheres to with complete integrity. Integrity is individuals conducting themselves
by a code or standard of moral virtue, which prevents untoward behavior in
thought, word, or deed. The key to integrity is consistent and unwavering
commitment to a standard of principles or virtues.

One of the challenges facing victim services is a lack of clearly agreed upon
standards and credentials by which the quality and ethics of services offered by
both individuals and programs can be objectively measured. This is not a
reflection of dissension within the field, but rather an indication of the maturation
and growth that has led to an increasing need for the articulation and creation of
a common set of values. The diversity of service professionals within the field
makes this a complex and complicated process that requires deep
consideration and skilled consensus-building. The process has already begun--
several states have developed certification processes and the Office for Victims
of Crime has funded a national project that will culminate in recommendations
(gathered from a diverse, national advisory board, as well as from grassroots
populations throughout the country) regarding individual, program, and ethics
standards.

The lack of uniformity in credentialing is a challenge to public recognition of the
standards upon which victim service practitioners and programs operate.
Therefore, it is incumbent upon leaders to clearly articulate the values and
principles that form the cornerstone of their provision of victim services. The
individual articulation of these principles and values will guide and shape the
overall articulation of standards.

What are some of the virtues by which integrity in victim services leadership
should be measured?

The instructor said, Go home and write a page tonight. And let that page come
out of you--Then, it will be true. --Langston Hughes in Theme for English B 

The greatest rewards come only from the greatest commitment. --Arlen Blum,
Mountain Climber, Leader American Women's Himalayan Expedition

o Commitment. The first virtue of integrity is commitment to a purpose. It is
absolute dedication to accomplishing a worthy goal. Commitment is unwavering
and uncompromising. It endures doubt, blame, and rejection. Emotional
attachment or passion, which is often ignored, begins with commitment and is a
function of commitment. Leaders believe--through their own vision of lofty
ideals--that they can make a difference. They embrace a goal, and expect and
hope that others will devote their lives to the achievement of that goal. Leaders
must be willing (in their passion for the purpose) to ensure that others also have
a stake in creating and owning the possibility of the purpose.

o Trust. Without trust, effective leadership is impossible. As a virtue, trust refers
to loyalty and truthfulness. When leaders demonstrate that they are consistent in
their actions, they create a relationship of safety and engender trust from others-
-trust that situations and events will be handled in accordance with principled
standards. The often cited example of "going to the well with someone in the
dark of night" captures the core of trust. Trust means knowing that one is in safe
hands even under perilous conditions. Integrity in leadership engenders that kind
of assurance. Leaders in victim services must not only establish trusting
relationships with staff; they must also serve as teachers to the staff who may
not yet be adept at forming trusting relationships with the victims they serve.

o Wisdom. Daniel Payne said, "Wisdom is the gift, the endowments to know
how to use power. Knowledge is only an instrument in the hand of wisdom."
(Johnson 1995) Integrity in leadership requires the ability to use the power of
wisdom in positive ways to strengthen people, systems, and institutions.
Wisdom allows a leader to predict, distinguish, and discern conflicts, actions,
and situations. It clears the vision to see beyond the immediate--to take into
account the past, present, and future. Wisdom is the virtue that drives integrity.

o Responsibility. A sense of responsibility which comes with power is the rarest
of things. This virtue allows that leaders will step up to the line, take on the
mantle, and demonstrate reliability. Responsibility means modeling a standard of
excellence to which others can aspire. Responsibility must be embodied and
actual. Victim service professionals are faced daily with the overwhelming
responsibility of caring for people during critical periods in their lives. The
"responsibility" aspect of their work includes treating every client as a unique
individual, whose pain and suffering deserves a consistent, quality response.

o Courage. One isn't necessary born with courage, but one is born with
potential. Without courage, we cannot practice any other virtue with
consistency. We cannot be kind, true, merciful, generous or honest. Victim
service professionals need courage to confront the overwhelming issues in a
field that hinges on life and death. They are also sometimes called upon to
confront allied justice professionals about issues that affect the fair and
respectful treatment of victims.

o Competency. Knowledge is not power, it is potential power that becomes
real through use. People with integrity are honest enough to acknowledge when
they do not know something. At the same time, they bring a level of proficiency
to their work which includes expertise in leadership skills. Leaders will
challenge, inspire, and enable others through competent measures, as a function
of their integrity. They will always lead by example.

o Sensitivity. Sensitivity is a powerful source for helping others to feel strong.
The victim services field is founded on the principle of empowerment. Integrity
is based upon the ability to sense, consider, and regard the feelings and needs
of others. Respect for others gives rise to the ability to be sensitive to others.
Respect for the human condition should permeate one's standard of conduct.
What seems to be most natural for professionals in victim services can
sometimes become a "lost art" when one surrenders to isolation, loses touch
with others, and focuses only on him/herself. Leadership is not an independent
activity, but one that relies on relationships between people.

o Justice. Injustice anywhere is a threat to justice everywhere. We are caught in
an escapable network of mutuality, tied in a single garment of destiny. Whatever
affects one directly affects all indirectly. We associate justice with entitlement--
giving an individual what s/he is due. Justice is that and more. It is also a virtue
of integrity, which permits a range of acknowledgment, consideration, attention,
and redress to the needs of individuals that may not fit the definition of what is
"strictly owed." This virtue takes patience, foresight, flexibility, and an
understanding heart.

o Servitude. "Real leaders are humble servants and not power-hungry tyrants.
This concept proposes that greatness is achieved only through humility. Leaders
with integrity refute the idea of superiority through position. Rather, they engage
in helping and enabling others to have the leeway and the tools that they need
for success--recognizing that the success of others is a positive reflection on
them. Servitude means refusing to act with pretense, arrogance, or self-
importance; it also means making the welfare of people and organizations--
rather than power and prestige for one's own gain--a priority.

o Self-respect. Joan Didion, in her essay "On Self-respect," says that to have
the sense of one's own intrinsic worth is potentially to have everything: the
ability to discriminate, to love, and to remain indifferent. To lack it is to be
locked within oneself, paradoxically incapable of either love or indifference
(Didion 1968).

These nine virtues comprise minimum requirements for integrity. They require
diligent pursuit, which in turn requires strength, time, and the will to persevere.

Can integrity be taught or measured? Integrity develops out of repeated
confirmation of self-worth and determination. Integrity is measured by one's
actions. In essence, people with integrity are able to successfully integrate these
virtues and others into their daily transactions. They live the precepts of
honesty, reliability, resourcefulness, and concern and consideration for others.
They inspire and challenge others to greater levels. They refuse to demand
loyalty, yet are grateful for loyalty when inevitably, it comes. Finally, integrity
accepts individual differences--both the frailties and strengths--which are by-
products of the human condition.

Applying Personal Values in a Leadership Role

As the field of victim services matures, so does the need for leadership training
and education. Having been integrated into police departments, prosecutor and
court offices, probation and parole agencies, and hospitals, direct service
professionals are being catapulted into positions of power in these bureaucratic
institutions where established supervisors have had the benefit of years of
leadership training and practical experience. Many victim service providers
have been ground-level employees who were never exposed to leadership
training. Now occupying positions of authority, but without the support or
funding to acquire training, they may have a tremendous need for training in
basic leadership qualities and strategies.

Preliminary advice to victim service professionals who find themselves
overwhelmed with the leadership position they have assumed includes the
following:

o Learn not only about things to be done, but also about how to do them.

o Learn to accept the new role and function as an equal with other leaders in
the hierarchy of agencies and institutions. Embrace the total organization--not
just the segment that provides victim services. Relate every conceivable aspect
of the organization to the activities of victim services.

o Seek to understand the policies and politics that drive the operation of the
organization, and find constructive ways to contribute to both.

o Learn from the experiences--both negative and positive--of colleagues in all
divisions of the organization.

o Understand the importance of continuing education and training.

o And finally . . . believe in yourself.

It is also important to recognize that personal values among victim-serving
professionals vary significantly. While the diversity of beliefs should be viewed
as an asset, it can also present challenges to professionals who are "set in their
ways."

A strong leader encourages and even thrives on diversity in values and beliefs of
professional colleagues and staff. The varying perspectives often bring new,
innovative approaches to victim services. They help victim service organizations
to more appropriately "mirror" the diversity of the clients they serve. Perhaps
most significantly, diversity in values and beliefs ultimately improves the quality
and scope of victim and justice-related services.

MAINTAINING CONSISTENCY IN INTEGRITY AND ETHICS

We are all faced with many instances in which we are challenged to put our
most dearly held beliefs and values into action. Sometimes there is a gap
between what a leader believes is right and the action that s/he takes. This has
been referred to as the "integrity gap." Having the courage and commitment to
stand up for what we believe in when the time comes to do so is a common and
recurring challenge for all human beings (Bennis and Goldsmith 1997, 139).
Bennis and Goldsmith (1997) cite a study by authors Everett, Mack, and
Oresick that analyzes the pressures upon corporate executives in maintaining
ethical values while working to increase profitability of their corporations. One
finding was that the executives fell generally into two types of categories: (1)
"principled risk takers" and (2) "conventional decision makers" (Ibid., 139).
The executives in the study fell generally into one of these two categories, and
the differences were seen in the following three areas:
          
1. Self-Consistency: Wholeness or Compartmentalization. Did individuals see
life as an integrated whole in which their beliefs applied to work as well as to
church groups, volunteer organizations, and values at home?
          
2. Personal Efficacy: High or Limited Sense of Agency. Did individuals have a
sense of power and control in their work life so that they believed they could
take action to express their values?
          
3. Scope of Awareness: Global or Circumscribed. Did individuals see
themselves as global citizens with responsibilities that are larger than their own
corner of the world? (Ibid.)

It is a rare person who is solely a "principled risk taker" or "conventional
decision maker." Most of us are combinations of both. Analyzing and reflecting
upon the issues raised by the above three qualities is extremely helpful in
determining our own capacities for leadership and for withstanding the
pressures that oftentimes come with positions of leadership, e.g., pressures to
conform, to take the easy way out, to keep everyone happy, to do things the
same way they've always been done, or to not "make waves." Maintaining
one's personal values and morals consistently and congruently throughout one's
personal and professional lives is no easy task--like everything discussed in this
manual, it is a long and highly personal journey. Appendix B-4 contains an
interactive learning exercise designed to assist in analyzing one's own potential
gaps in integrity.

Challenges to Ethical Leadership

The beginning of this chapter addressed the high price of integrity in leadership:
learning it and constantly reinforcing its practice. Sometimes the best lessons are
learned through failure and mistakes. As the old saying goes, that which does
not destroy me, makes me stronger. Success can be measured by the ability to
overcome obstacles. Put another way, success can be measured by one's
ability to avoid the mistakes that others have made along the way.
In order to gain some insight into problems that are common to victim service
professionals, the following scenarios present examples of possible ethical
quandaries.

ADAPTING TO CHANGE AND REMAINING RESILIENT:
THE AGE/EXPERIENCE FACTOR

Lauren has been involved in the victim's movement for over twenty years. She
remembers a time when the word "struggle" applied to the recognition of victims
and their rights, the acquisition of resources for victims, funding for programs,
and even respect and salaries for professionals in the field. Lauren cherishes her
journey in all of these instances, which in some way defines her purpose in life.
Her motivation has always been her passion to reach out and help victims; her
commitment has often driven her to live her job 24/7. The organization for
which she has been the director for twenty years has grown from a staff of three
to a staff of eighteen. One of the major contributing factors to the dynamics of
the workplace environment is the age and level of experience of the victim
advocates, and how each generation's motivations and core values shift
dramatically from one age group to another.

Lauren lives by a traditional work ethic. Her primary motivation is to give back
and to serve--to do good for others. She works hard at her job to serve victims
to the greatest degree possible, and if that involves overtime and home phone
calls, so be it. When her staff jumped from three to eighteen people, the first
difference she noted between her motivation and that of her new staff (who
were generally age thirty and younger) was an apparent lack of shared
commitment. They wanted to work a nine-to-five job, and they wanted
independence and responsibility assigned to them immediately without regard
for learning and earning the work experience. They were fearless but seemed to
demonstrate less passion for serving victims than their more senior counterparts.
Lauren was frustrated because she did not view them as serious in their quest to
serve victims and witnesses of crime in the same passionate sense that she
applied to her life's work. An added dynamic of the extremes in age/experience
within Lauren's office was a generation disparity. Older, more traditional staff,
who entered the field of victim services with considerable experience in related
fields, sometimes expressed feeling insecure and inadequate among the
younger, more aggressive staff who have not had the years of experience but
nevertheless are charged with more responsibility in the work environment. The
older individuals, new to Victim Services, were often trained by first-line
supervisors who in some instances could be as much as twenty-five years
younger than the trainee, and the dynamics of the training were hampered
because of such an age/experience differential.

Specifically, Lauren was concerned about the discomfort of a newcomer, a
therapist who joined her staff. She brought with her years of training and
experience with clients in crisis. After learning from the young trainer about the
speed and efficiency required in dealing with the great number of victims who
require speedy referrals and case processing, the therapist (who is fifty-six
years old) felt that she was being asked to ignore her victim counseling skills to
help streamline office protocols. Not only did this newcomer resent the lack of
recognition of her experience in helping those in need, she also felt that the
younger staff members did not respect her as an individual.

Issues to consider:

o In a discipline where people often deal with high tensity emotional
experiences, how does this example demonstrate a common theme in the
workplace? Why is this situation an ethical quandary for Lauren?

o What type of serious long-term damage can result from allowing a situation of
this nature to go unchecked? Tolerance, as a virtue of integrity, might allow
Lauren to connect/communicate/understand her younger, less experienced staff.
In what ways can she expand her own perspective by broadening her lens?

o While part of the problem with the new therapist may be related to the
therapist's dislike of her subordinate position to a young trainer, Lauren must
deal with the essential issue of her employee's self-respect as well as the
fundamental well-being of the organization. Lauren may need to reassure the
therapist that she was hired precisely because of her experience as a therapist.
How can Lauren help the therapist to frame the responsibilities of her new job
in such a way that she will employ those skills, improve and expand them, and
pass them on to others?

Lauren's challenge as a leader is to recognize that she cannot impose her work
ethic on others, a critical factor in the leader/follower relationship. How much is
too much in that relationship? Lauren as a leader must be capable of supporting
all of her staff to do very good work on their own terms. The ultimate challenge,
however, is to make the trials of others easier to bear.

Current leadership theorists have examined with great interest how sensitivity to
generational differences is becoming a factor in motivating staff to improve their
performance. Essex and Kusy (1999) write that:

For generation X (born from 1964 through 1975), growing up with computers
and MTV and being the first generation of latchkey kids, it's no surprise that
they are not used to being closely supervised. While loyal to a profession or a
cause, they are not necessarily loyal to an organization, having witnessed the
downsizing of many baby boomers. They may want rewards based on
performance, not longevity or degrees, and don't understand why they should
be required to work their way up if they have the necessary skills now. As Xers
enter the workforce, leaders of all generations will need to understand how best
to lead and retain them because this is the thinnest labor pool in recent times.

According to Essex and Kusy (1999), baby boomers (those born from 1946 to
1963) typically demonstrate stronger work ethics and company loyalty. They
are more open to talking through issues at length with supervisors,
brainstorming with colleagues, and working in team efforts. They have a clear
sense of the importance of career building and establishing an income base.

The oldest work pool for organizations is made up of people born between
1925 and 1945 who share traditional work ethics, value loyalty and stability,
and demonstrate respect for authority. "They bring a strong work ethic, a
wealth of life and work experience, as well as commitment to the organizations
fortunate enough to have captured their wisdom." (Ibid., 20)

Drawing upon three generations of workers who have powerfully different
motivations requires that leaders cease to even consider that what they want--
and how they want to achieve it--is transferable. For example, the current rule
for dealing with generation Xers is to stop "squeezing them for motivation and
commitment." They can be excellent at their job if one remembers that "play
and work go hand in hand." To GenXers, "there is life after work" (Ibid.).

Baby boomers have other needs. They are more organizationally loyal and
relate profoundly to their work even if they don't like their job. A key
motivation to a baby boomer is having adequate opportunities for advancement
and participation in key organizational decisions. Essex and Kusy (1999)
suggest that boomers need help in stretching their talent, but they also tend to
work excessively. "To avoid mid-career burn-out, provide boomers with the
self-actualizing experiences for which they hunger." Allow them opportunities to
be creative. Give them mobility and offer them sabbaticals.

Essex and Kusy (1999) point out that it is common among older workers with
traditional work ethics to feel that what they have accomplished in their careers
is not being held in as high esteem as it should be. It is important that their
abilities be recognized. Under skillful leadership, they oftentimes become the
office "sages" to whom younger staff turn for a wide range of advice about
challenges in victim services, as well as general life situations.

OWNERSHIP: THE IMPORTANCE OF CLEAR AND HEALTHY
BOUNDARIES                    


People drawn to the field of victim services are often passionate about crime
victims and their issues. Victim service providers, as pioneers and crusaders for
victim justice, work tirelessly to ensure that crime victims are afforded rights
and services. Crime victims and providers enter into a close relationship
characterized by the victim's dependency on the service provider. When service
providers become so involved with their clients that they become reliant upon
their relationship with their clients to address their own needs, this behavior
represents a compromise of ethical standards of professionalism. It is necessary
to recognize the importance of--

o Understanding that the "need to be needed" is potentially harmful to clients as
well as staff.

o Separating from one's work and finding a balance between work and other
aspects of one's life. Just as there are addictions to drugs, alcohol, and sex,
there are addictions to "being needed by others."

o Finding resources to support one's mental health--a mentor, therapist, friend,
hobby, family, exercise, spiritual leader, or a combination.

o Understanding the tremendous impact that a leader's behavior may have upon
clients and their families.

Kathy is a victim service provider in a law enforcement agency. Throughout her
years of working victim cases, she has developed close relationships with many
homicide survivors, and is deeply aware of the importance of not cultivating a
dependence that some survivors may develop during their interactions with key
players within the criminal justice process. Those interactions may be with
victim service providers, prosecutors, police detectives, or other
agents.

Kathy observed a phenomenon among some female homicide family survivors
that she realized could create a serious problem for them. They have a tendency
to become completely reliant and dependent on the male detectives
investigating the homicide. It is difficult to assess how much of the dependency
is the result of the need for victims to be in touch with every bit of information
specific to their cases, the all-consuming aspects of homicide, or possible issues
associated with the investigators' needs beyond professional accomplishment.
Whatever the reason and extent of these sometimes involved and intense
associations, the end of the investigation often results in the end of the
relationship and can have devastating effects on the grieving survivor.

Kathy believed her duty was to take a stand on helping investigators to
recognize the important influence they have on victims. The climate of her
agency would not permit an open discussion of the situation without
jeopardizing her job and the working relationships she had spent so many years
developing.

Issues to consider:

o Kathy may need to establish a policy of meeting with all female homicide
family survivors early in the investigation. This process could help educate
victims further regarding their right to information, not as a component of their
relationship with the investigator, but as a full-scale right required by law.

o Kathy may consult with local mental health professionals familiar with this
type of dependent response in victims to develop the most effective means of
communicating with the victims whom she considered vulnerable. One option
may be to develop a training for law enforcement that will assist them in
explaining the sort of unusual emotional responses that victims might have in
dealing with their loss, i.e., excess alcohol or other drug use; excess medication;
and falling in love with an inappropriate person who may be helping them deal
with the crime. Kathy communicated this message throughout the staff, and it
has been assimilated without causing any harm or creating animosity among co-
workers, investigators, or detectives.

SEARCHING FOR APPROVAL IN ALL THE WRONG PLACES:
FAILURE TO STRIVE FOR WHOLESOME RELATIONSHIPS WITH
SELF AND OTHERS          

In his "Rules" adapted from his autobiography, My American Journey, Colin
Powell (1995) indicates that one should never let ego get so close to one's
position that when the position goes, one's ego goes with it. It is a mistake to be
guided by one's own need for ego fulfillment in leadership situations.

Leaders sometimes find that they are driven by a need to have employees like
them, include them in their lives, and identify with them beyond the dictates of
the job. These struggling leaders fail to recognize their inner world. They cannot
draw a distinction between their own personal needs and the professionalism
required for the work environment. Ethical behavior allows that distinction.

Relationships must start with the leader's concept of self and move on to
relationships with others. These relationships must be meaningful, empowering,
and reciprocal in nature, and must reflect a broader view of respect than one's
inherent due. The broad view is the infusion of respect throughout every
encountered situation. Rather than look for adoration from followers, real
leaders search instead for respect through mutual relationships. Leaders must
create a valuing culture in the workplace where relationships are built on
appreciation--rather than on tolerance--and all are made to feel an equal part of
the whole.

Beth and her co-worker Vickie had worked together in establishing a unique
program response to victims of sexual assault. The two colleagues considered
themselves crusaders in providing quality service for specific types of crimes.
They spent long grueling hours planning and implementing their program. The
hours together created a bond that carried over into their personal lives. The
two received public acclaim for their contributions to the field and as a
consequence, a grant provided the opportunity to hire more staff and Beth was
promoted into the position of director of the program. Vickie did not resent the
promotion. However, their close friendship proved to be a problem for the
newly hired staff, to the extent that Beth experienced major difficulties in
retaining staff, based on accusations of favoritism, failure to include total staff in
various projects, and a distorted assumption of project ownership.

Issues to consider:

o Prior to the expansion of the program and her promotion, Beth's relationship
with Vickie was typical of those shared by colleagues in the workplace
environment. When the promotion and staff adjustments changed this, Beth
failed to make the appropriate corresponding adjustment.

o What did Beth need to know and understand about her role as a leader?
What ethical issues were apparent in her behavior? Could Vickie have helped
Beth in modifying their relationship?

o Could Beth also have been struggling with some ego-related issues
surrounding her special work with sexual assault victims? Could she have been
possessive of the program and her relationship with Vickie and unwilling to
bring others into the process? What are her ethical obligations in this situation?

Sometimes individuals placed in leadership roles assume that because they have
special responsibilities, particularly those associated with managing people, they
are entitled to special privileges and so can take the best of everything . . . the
best office, equipment and materials, holiday time, and other benefits. Being in
charge and setting the pace and standard for others is exciting and exhilarating.
When leaders become obsessed with their sense of importance they fail
ethically. Any amount of this conduct, even seemingly insignificant behavior,
ultimately manifests itself in a destructive way. The manager who demands
loyalty, extracts favors, and abuses employees cannot hope to become a
leader. Employees are quick to discover inequities in a system fueled by
exploitation. Integrity demands that leaders let go of petty self-interest.

FAILURE TO BRING EVERYONE INTO THE INNER CIRCLE

Valuing diversity means dealing with cultural differences and expanding one's
awareness and acceptance of these differences. It means having the integrity to
confront and dispel one's own personal negative feelings and attitudes about
individual differences among people. Whether the differences relate to sexual
orientation, physical or mental disabilities, race, age, ethnicity, socioeconomic
or religious affiliation, leaders make a point of including and caring for about
everyone. They ensure that appreciation is truly about quality treatment for all.
Leaders believe in their followers and promote an environment of respect and
support.

Leadership, Relationship, and Unity of Purpose

A successful organization must be founded on a strong set of core values that
are embraced by all of its members. In a group of people with many
backgrounds, interests, and motivations, how can one be sure that they will all
commit to the same set of values? It is the responsibility of the leader to
establish those values within the organization by stating them, restating them,
and openly living them in words and deeds. It is the leader's job to inspire co-
workers, to take them beyond their everyday selves to a higher level of
awareness, motivation, and commitment. The leader must also provide ongoing
opportunities for staff to understand and "buy in" to the organization's values, as
well as to review and revise them, as needed.

Lincoln shared, emphasized, and continually restated two fundamental values
throughout his presidency: the pursuit of liberty and equality. He described the
Civil War as the "people's contest," writing that "on the side of the Union it was
a struggle for maintaining in the world that form and substance of government
whose leading object is to elevate the condition of men [and women] . . . to
afford all an unfettered start, and a fair chance, in the race of life." (Phillips
1992, 53).

Leadership historian J. M. Burns writes that Lincoln in his role as leader felt the
duty to reach down to the person behind him or below him and help to elevate
that person to his or her better self. Lincoln was one of those leaders who
"perceive their roles in shaping the future to the advantage of groups with which
they identify, an advantage they define in terms of the broadest possible goals
and the highest possible levels of morality." (Burns 1978)


In many religions and philosophical teachings it is advised that we share:
"[s]haring in all reactions, of all attitudes, of all types of wisdom, of all problems
and difficulties and limitations, so that they become constructive in the group
sense and cease to be destructive." (Haasnoot 2000, 44) In discussing the
leader's role in creating a sharing environment among co-workers, Haasnoot
emphasizes the importance of sharing information--both positive and
negative--about the health and direction of the company and their individual
status within it with staff. Citing Deepak Chopra's second spiritual law of
success, he also asserts that "[s]haring is a form of giving. Companies and
leaders must give and receive in order to keep wealth and affluence." (Ibid., 45)

A program that has been frequently cited for its approach to sharing within a
traditional corporate  environment is the "Work-out" program at General
Electric. The tremendous growth of the company in the last decade, as it
became an increasingly global entity, created barriers as a result of distance
between geographic locations, diversity of functions, and varying corporate
structures. The GE leadership concluded that the best way to address the "no-
man's land" that was developing between the divisions was to put people
together from different units in a noncompetitive environment on a regular basis. 
A discussion of financial goals and achievements was consciously excluded
from the meetings to place emphasis on creativity, discovery of new
motivations, open exchange, and generation of open feedback.
 
In the "Workout" model, managers meet two full days a month with the
leadership in "candid, face-to-face exchanges to resolve issues, share new ideas
and projects, and identify new opportunities." At the end of their meetings, they
go back to their divisions and share information with their co-workers. Within
divisions, employees also meet regularly over a period of two days without the
presence of supervisors or managers to resolve issues, share information, and
learn from each other. On the third day of meetings they invite the managers to
be present at their exchanges. The result of the regular open dialogues,
according to Danzig, Haasnoot, and other leadership writers, has been the
evolution of a unified global attitude in every corner of the corporation. Trust
building, employee empowerment and engagement, elimination of unnecessary
repetitive work, and the culture of an open, boundaryless workplace have all
contributed to the organization's continued success and well-being (Danzig
2000, 36-7).

This chapter has discussed many methods of relationship building with co-
workers that leaders can employ to promote ethical behavior and attitudes in
the workplace. Perhaps the most important ingredient necessary to maintain
trust is deep confidence in the leadership, confidence that they will do the right
thing for the staff and for the health of the organization. When times are tough
and unpopular decisions are necessary, what maintains the trust, therefore
continuing to affirm the shared values of the organization?

EMOTIONAL BANK ACCOUNTS

An emotional bank account is a term coined by Steven Covey that describes
the amount of trust that has been accumulated in a relationship. Like a financial
bank account, the size of the account increases and decreases according to
how much is deposited and how much is spent. Deposits are made through acts
of courtesy, kindness, honesty, and promise keeping. Withdrawals occur when
we show discourtesy and disrespect, ignoring and betraying trust. Implicit in the
description is the suggestion that we should consciously seek to keep a large
reserve on account so that when we make mistakes and behave badly, there is
good will still available to take us through the negative phase without inflicting
further damage (Covey 1989, 188-189). Leaders make mistakes. They are
also forced by necessity to make choices that are detrimental to people within
their organization. To sustain a high level of trust in an organization, a leader
requires many emotional bank accounts: with the managers, with the staff, with
the clients, and with the organization as a total entity.

Covey describes six efforts that we can make in our relationships to build
healthy emotional bank accounts:

1. Understanding. We can seek to understand individuals and groups so that
we better understand what constitutes a deposit in their accounts. "One
person's mission is another person's minutia." Deposits should be based on
what is important to the individual or the group with whom we are dealing.

2. Paying attention to the small things. Little kindnesses and courtesies are
important.

3. Keeping promises. Breaking promises and ignoring commitments constitute a
major withdrawal from the emotional bank account. People build their hopes
around promises and when they are broken, the level of trust is weakened.

4. Taking the time to clarify expectations. When individuals do not understand
what is expected of them, they are uncomfortable in the relationship. When they
misunderstand the role that they are meant to play, they may feel
inconsequential, ignorant, or distrustful. In any new situation, it is important to
spell out expectations and, in particular, to allow time for the differences in
interpretation to be voiced and addressed before they create conflict.

5. Personal integrity. Integrity creates trust; lack of it will destroy the fabric of
almost any relationship.

6. Apologize when you are in error. Sincerely apologize and express your
regret when you make a withdrawal from the emotional bank account. A
sincere apology can be a deposit in the account, although repeated apologies
are eventually seen as insincere and are interpreted as withdrawals (Ibid., 190-
199).

The leadership qualities that have been addressed--commitment, trust, ethics,
integrity, and emotional bank accounts--are all what many consider moral
qualities. What is the role of a leader in a spiritual or moral context? The
concept of the "servant leader," as introduced in Chapter 1, is at the heart of
any discussion of leadership values and integrity.

SERVANT LEADERSHIP

An examination of the effectiveness of the servant leader focuses upon the
impact of the leader's actions upon the well-being of those served:

o Are those served growing as individuals?

o Are they healthier, wiser, freer, more autonomous, and more likely
themselves to become servants?

o What is the effect on the least privileged of society? Will they benefit or at
least not be further deprived? (Spears 2001)

When a leader pays attention to values--makes values the "boss in the
organization"--the organization and its people can flourish. It requires
"implementing a "values-platform" by clarifying values, then communicating them
and working diligently to align organizational actions and practices with them. 
Furthermore, it requires a rethinking of how we use power: we must learn the
distinction between power over staff and power with staff. So much unethical
behavior in the workplace results from poor use and abuse of power. Ideally,
the servant leader creates the means by which there can be a reconciliation
between what is good for the soul, good for the customer, good for the
employee, and good for the health of the larger institution and yet still has
viability in the marketplace (Ibid.).

In practice, the servant leadership concept is being applied in several areas: as a
working philosophy for profit and not-for-profit organizations; as a model in
management and leadership courses; and by independent consultants who work
directly with companies to develop new organizational models. In its purest
form, servant leadership advocates the power of persuasion and the seeking of
consensus so that the mind of the servant leader and the needs of the
employees, customers, constituents, and community, become the most
important reason for the organization's existence.

Conclusion

The heartfelt desire to lead with fairness, justice, and integrity requires a strong
commitment to knowing oneself and to living in accordance with a clearly
established set of core values and principles. Stated simply, respect for one's
self transcends to respect to and for others. While a leader must be flexible and
open in numerous contexts so that the needs of his/her organization can be met
most effectively, integrity is not a negotiable issue but must be adopted as a way
of life. Becoming a leader with true integrity is never easy and the journey is
filled with challenges, mistakes, and lessons along the way. But the rewards of
ethical leadership with integrity cannot be measured, and the effects will live on
long after the leader is gone.

Combining a solid foundation of ethics and integrity with flexibility in the face of
challenges and problems is key for leaders in facing the everyday problems of
organizational life. There are a multitude of solutions to every problem, and
knowing how to choose the right one is a skill that can be developed and
refined. In the next chapter, we will discuss an essential skill of leadership:
creative problem solving.

References

Bennis, W., and J. Goldsmith. 1997. Learning to Lead. Reading, MA: Perseus
Books.

Burns, J. M. 1978. Leadership. New York: Harper & Row. As quoted by
Phillips, D. 1992. Lincoln on Leadership. New York: Warner Books, 54.

Campbell, J. 1988. The Power of Myth with Bill Moyers. New York:
Doubleday, 225.

Covey, S. 1989. The 7 Habits of Highly Effective People. New York: Simon &
Schuster.

Danzig, R. 2000. The Leader Within You. Hollywood, FL: Frederick Fell.

Didion, J. 1968. "On Self-respect." Slouching Towards Bethlehem. New York:
Farrar, Straus & Giroux. Cited in Lightfoot, S. L. 2000. Respect. Cambridge,
MA: Perseus Books, 154.

Eighinger, L. 1998. Condensed Version of the Study of Ethics. The
Interpreter's Network <http://www.terpsnet.com/resources/99r003.htm>.

Essex, L., and M. Kusy. 1999. Fast Forward Leadership. London: Prentice
Hall.

Haasnoot, R. 2000. The New Wisdom of Business. Chicago IL: Dearborn.

Johnson, V. 1995. Heart Full of Grace, A Thousand Years of Black Wisdom.
New York: Simon & Schuster.

Kennedy, J. F. 2000. Profiles in Courage, perennial edition. New York:
Harper Collins.          

Lightfoot, S. L. 2000. Respect. Cambridge, MA: Perseus Books.

Phillips, D. Lincoln on Leadership. New York: Warner Books.

Powell, C. 1995. "Rules." My American Journey. With J. E. Persico. New
York: Random House.

Ricard, M., and J. F. Revel. 1998. The Monk and The Philosopher. London:
Harper Collins.

Sampson, A. 1999. Mandela: The Authorized Biography. New York: Vintage
Books.

Spears, L. C. 2001. Servant Leadership: Quest for Caring Leadership. As
viewed 21 January 2001 on the Robert Greenleaf Web site
<http://www.greenleaf.org>.

Trautman, N. 1998. Integrity Leadership. Longwood FL: National Institute of
Ethics.

Additional Reading

Covey, S. 1999. Living the 7 Habits, The Courage to Change. New York:
Simon & Schuster.

DePree, M. 1992. Leadership Jazz. New York: Dell Publishing.


Gates, H. L., Jr., and C. West. 2000. The African-American Century. New
York: Free Press.

Kouzes, J. 1995. The Leadership Challenge. San Francisco: Jossey-Bass.

Manz, C. C. 1998. The Leadership Wisdom of Jesus, Practical Lessons for
Today. San Francisco: Berrett-Koehler Publishers.

O'Toole, J. 1999. Leadership A to Z, A Guide for the Appropriately
Ambitious. San Francisco: Jossey-Bass.

Perkins, D., with M. P. Holtman, P. R. Kessler, and C. McCarthy. 2000.
Leading at the Edge. New York: Amacom.

Waldroop, J., and T. Butler. 2000. Maximum Success. New York: Doubleday
Publishers.
     
----------------------------

Chapter 3. Essential Skills for Leaders: Creative Problem Solving

Abstract

A strong leader must have the capacity and skills to anticipate, identify, solve,
prevent, and learn from problems that occur in the work environment. Creative
problem- solving skills require positive processes that incorporate strong
communication skills, respect for all parties involved, and innovative
approaches. When problems are viewed as "opportunities," the benefits for
both leaders and staff can be highly positive.

Learning Objectives

Upon completion of this chapter, students will understand the following
concepts:

o Qualities of good problem solvers.

o Positive communication skills and techniques that enhance problem solving.

o Practical approaches to creative problem solving.

o How do deal with difficult staff in problem situations.


Introduction
                    
We are bogged down. We keep going over the same old ideas. We
desperately need a new approach . . . --Edward DeBono in Six Thinking Hats 

Problems arise in any group or organization. The question is: What does a
leader do with those problems? A leader can either react to problems and the
resulting change or look ahead and visualize the future with creative problem
solving. Effective leaders anticipate change and learn how to facilitate and
manage it. A leader does not have to wait until problems come to him/her.
Good leaders know to seek solutions before the problems land on the
doorstep. "Individuals who get startled by the future," says Gary Hamel (2000),
"weren't paying attention."

In Leading the Revolution, Hamel (2000) says, "You can, and must, regain your
lost curiosity. Learn to see again with eyes undimmed by precedent." When
leaders allow their assumptions and value judgments to get in the way, they
stifle their own creativity and find themselves thinking predictable thoughts. In
Quantum Creativity, Pamela Meyer (2000) states "Judgment paralyzes.
Abstaining from judgment removes the obstacles to the natural and passionate
flow of your creativity. To free yourself of these chains, you need to fiercely
confront your learned blocks."

When work is all-consuming, it is easy to lose perspective on the future and
how to make it better. Keeping an open mind can be difficult when one works
in a Crime Victim's Unit and has to respond to victims' immediate and crucial
needs every hour. When a claims specialist with a victim compensation program
must produce a certain number of claims per day, creativity may be the last
thing on his/her mind. However, it is certain that whatever the individual is doing
now will eventually change for one reason or another. Maybe claims aren't
being produced fast enough to keep up with the demand, or perhaps more
indictments each month result in more crime victims needing notification. New
problems face leaders daily; the choice is either to be overwhelmed or to make
solving the problems meaningful.

The way to handle change is to problem solve creatively--to be open to new
possibilities and avenues that may not, at first, even seem plausible. "Thinking
outside the box" may now be old news. Hamel (2000) says the leader should
throw the box away altogether. Innovation is more than coming up with new
ideas or assembling a creative business plan or a creative approach to a
problem. Innovation is learning to see what is not obvious, developing a sixth
sense for change, and being totally open to new thoughts and unconventional
ideas.


Edward DeBono (1985), in Six Thinking Hats, states the concept simply: "We
need creativity because nothing else has worked. We need creativity because
we feel that things could be done in a simpler or better way. The urge to do
things in a better way should be the background to all our thinking." He goes on
to say that "there are times, however, when we need to use creativity in a
deliberate and focused manner. It may be necessary to put forward provocative
ideas that are deliberately illogical."

Unfortunately, leaders often find themselves surrounded by staff who may be
complacent and comfortable with the procedures that are currently in place.
The need to produce more work in a smarter, faster way is sometimes not the
priority of the staff. Sometimes the priority of the staff is maintaining the status
quo. Leadership then has to be not only innovative in solving the problem at
hand but also creative in how s/he helps the staff to adjust to the new
procedure.

Helping the staff to become comfortable and also to "own" the new procedures
takes a great deal of energy, time, and finesse. Although in some businesses and
organizations, this process may not work, in most, it will be advantageous to
have the staff participate in the problem solving. Staff members, like crime
victims, want to be heard. Most staff members do not expect nor demand to
set policies or solve problems themselves. Usually they just want input and are
most often understanding of the fact that management will consider their
opinions, but not necessarily adopt them. However, if staff members are never
consulted and their input is never considered, morale decreases and the feeling
of working in a dictatorship begins to prevail.

It is also important to note that staff members themselves, if helped to tap their
creativity, can be the best problem solvers since they are usually the ones doing
the majority of the work. They know the techniques, how long processes take,
the types of interferences they usually experience, and all the other issues
surrounding the jobs they do every day. However, when they are asked to
become involved in the problem-solving process, it is oftentimes difficult for
management to refrain from identifying barriers to each solution. Good leaders
can help the creative juices begin to flow through themselves and their staff
members by using certain techniques, as described below.

Qualities of Good Problem Solvers

In his book, The 21 Indispensable Qualities of a Leader: Becoming the Person
Others Will Want to Follow, John C. Maxwell (1999) describes the five
qualities of leaders with good problem-solving ability. They--


o Anticipate problems. Problems are inevitable and good leaders anticipate
them. Have a positive attitude but plan for the worst.

o Accept the truth. Denying problems only prolongs the agony. Be willing to
look at the issues honestly, accept responsibility, and move forward.

o See the big picture. Have a vision of the future and be able to see where the
organization can be in five or ten years. Do not be overwhelmed by emotion or
bogged down with details. Have someone trustworthy ferret out the details.

o Handle one problem at a time. Eat the elephant one bite at a time.

o Don't give up on a major goal when they're down. See life as a roller coaster-
-sometimes up and sometimes down. Don't give up on the vision just because
some glitches occurred.

A significant key to creative problem solving is the capacity and willingness to
view problems or challenges from a new perspective and to seek innovation in
exploring potential options.

TECHNIQUES FOR INNOVATION

Gary Hamel (2000) lists seven tips for becoming more innovative and regaining
curiosity:

o Be a novelty addict.

o Find the discontinuities.

o Search out under-appreciated trends.

o Find the big story.

o Follow the chain of consequences.

o Dig deeper.

o Know what's not changing.

Pamela Meyer (2000) extols the virtues of intuition as a way to become
innovative. While many discount intuition for the more preferred logic, Meyer
reminds us to get back in touch with our natural curiosity and allow ourselves to
restore a "lively awareness of possibilities." Edward McCraken, Chief
Executive Officer of Silicon Graphics, says, "The most important trait of a good
leader is knowing who you are. In our industry very often we don't have time to
think. You have to do all your homework, but then you have to go with your
intuition without letting your mind get in the way." In order to treat intuition with
respect, a leader must first learn to listen to it. Sometimes that small voice is
trying to tell the leader something, but s/he is ignoring it. It is imperative that
leaders learn to listen.

The more respected an individual is in his/her field, the more resistant s/he may
be to listening. Formal education, research, experience gained from working for
years, and information gathered from meetings and conferences all help when
making decisions. But the most important information comes from within.
Innovation needs an open door and an open mind.

Problems as Opportunities

Good leaders start with a plan and know that they need to be willing to throw
that plan out at any time in response to a new discovery or idea. Life is full of
changes that don't fit into the plan. A leader must be willing to dance with the
change. If the leader resists it, the change will still persist in one way or another.

Viewing the problem as an opportunity to create new procedures that will
improve service paints a positive picture and one that is a little more palatable
to staff and clients. For example, the files in a large state's crime victim
compensation program were taking up so much space that additional rooms
were needed to hold them. In researching how to archive the files, it was
learned not only that the files could be imaged onto disks that would be easily
accessible, but also that the document imaging process could help the workflow
which would eventually decrease the time it took to process claims from crime
victims. The problem of space opened the door to an entirely new and faster
system of processing claims.

When a problem presents itself, it can become an opportunity for staff in one
section to learn more about the inner workings of another section. When
departments or sections collaborate on problem solving, thus can learn about
the problems each faces on a daily basis and they can better understand how
their work affects the others. When one piece of the system changes, it can
affect several other pieces. If staff members are not consulted in the problem-
solving effort, changes can cause a great deal of resentment and make the
management of the change much more difficult.

THE NEED FOR A POSITIVE APPROACH


If problems are approached from a positive point of view and are seen by the
leadership as opportunities to review procedures and policies and to creatively
adopt new ideas, the staff is more likely to also view the change from a positive
point of view. For example, when the administration decides to ask the staff to
make their cubicles look more professional, the approach taken can be a
positive or a negative one. The "spin" can make all the difference in whether the
staff accepts the change or grumbles, complains, and fights.

If middle management takes the approach, "I don't like it either, but I'm just
doing what I've been told so you have to make the change," staff are not likely
to accept the change without grumbling. On the other hand, if the approach by
middle management is positive and the changes are couched in a way that lets
the staff know that they are professionals and that "our leadership encourages
us to look and act our best at all times," staff may be more likely to accept the
change.

Whether or not the organization works within teams, the leader can develop a
"team" mentality by a positive approach. When staff members feel that they are
a critical part of something bigger than themselves, they sense an importance to
their jobs. They feel needed; studies have often shown that an individual's need
for significant work ranks above the need for higher pay. Leaders who develop
a team spirit can use that camaraderie to nurture employees and enhance
productivity.

In Supervising and Managing People, several guidelines are offered to help
improve staff spirit:

o Select people who are right for the organization. Over time transfer or even
let go people who tend to tear the team or the organization apart. Like a coach,
the leader can't develop a winning team without having the right team members
to put forward a coordinated, highly motivated effort toward an agreed-upon
goal.

o Work to create a supportive environment for the team or staff. The entire
organization can reward cooperative, collaborative work methods.

o Challenge the team or staff to help the organization as a whole. Team spirit
thrives in an atmosphere filled with short-term assignments, medium-term goals,
and long-term missions linked directly to the organization's health and survival.
When the team or staff knows its work is important and valuable, each member
tends to feel a stronger commitment level.


o Create a unique team or staff identity. When a strong spirit and a good
productivity level exist, people tend to carry the same goals and work toward
them together.

o Encourage the team or staff to use its initiative and creativity. Tackling
problems and handling resources according to its own best judgment will boost
the positive spirit.

o Make the team or staff accountable. Part of taking responsibility for success
is being willing to have effort measured and evaluated. The spirit of a team
increases when members recognize that their contribution is a significant part of
the success (First Books 1996, 27).

REFRAMING PROBLEMS

Having a positive approach to problems, big and small, creates an environment
that is open, participatory, and creative. An essential part of a positive
approach is the ability to view problems as opportunities for learning and
growth, not disasters that must be avoided at all costs. The key to reframing
problems in this way is "keeping your eye on the end of the matter." (Mackoff
and Wenet 2001, 41) When problems are viewed as ends in and of
themselves, they become larger than they are, more powerful than they are, and
essentially isolated and removed from the underlying goals and objectives of the
organizations. When the focus remains on the "end," e.g., the guiding values and
principles articulated in an organization's mission statement, along with the end
goal of the specific project or undertaking underway, then the problems
become stepping stones that simply must be negotiated. They are lessons to be
learned along the way and can have a tremendously beneficial and positive
impact on the shaping of future actions and directions.

Esther Torres is the Director of the Community Development Corporation, an
organization dedicated to assisting eighteen-to-twenty-year-old former foster
youths in achieving constructive self sufficiency. Foster youths leave the system
at the age of eighteen and suddenly experience a world in which they are on
their own with no support of any kind; statistics show that this population has a
50 percent chance of ending up on the street within six months of coming of age
(Ibid. 42). One of the programs developed by the Community Development
Corporation is the HOME program in which the youths work in revitalizing
dilapidated housing in east Los Angeles.

Ironically, Torres' grandfather left the troubled neighborhoods of east L.A., with
his family, over six decades ago, in search of a more peaceful life in the rich
farming regions of the San Joaquin Valley. Although he spoke no English and
had little resources, in time he became one of the largest landowners and
farmers in the valley. The lessons Torres learned from her farming childhood
created the work ethic that guides her daily approach to the challenges she
faces in helping the youths and neighborhoods to which she has returned.

Torres uses a farming metaphor in describing the opportunities for learning that
present themselves with all challenges:

On the farm there are physical indicators that things don't work: The plant dies,
the cotton doesn't grow. You can work with your heart and soul, and the
season wipes you out completely. You don't unravel and wonder, Was it worth
it? You ask, What is the lesson here? What can we do together so our time will
be more productive? Where would we like to be in five years? And what are
the avenues we can take to get there? (Ibid.)

Opening up the channels. Another farming metaphor used by Torres is "opening
up the channels." Leaders utilize their vision in looking for new "channels" or
solutions, or reframing existing channels to address particular problems. The
leader's role is first to identify and then to ensure that the channels are
addressing the problem:

When you are a farmer, unless you channel the flow of water to flow through
the rows to nurture the trees or crops, they are not going to grow, and they are
not going to bear fruit. you've got to channel that water. There could be water
everywhere, but if it doesn't go to the right place, you don't have a crop. (Ibid.
43)            

It takes openness and creativity to identify the channel that will best address any
given problem faced by an organization. In Torres' creation of the HOME
project, the particular channel she utilized was opening up the communication
between two county agencies, the Community Development Commission and
the L.A. County Department of Children's Services. These two agencies had
never worked together, but through Torres' opening up of the channels, a new
partnership arose that addressed significant community needs in a highly
beneficial way. Housing was refurbished and made affordable, and youths with
little odds for success were given opportunities and the tools for burgeoning self
sufficiency.             

Effective and Ongoing Communication

Effective communication is key to any type of relationship--marriage, children,
work. Miscommunications and misunderstandings often cause wasted time, hurt
feelings, and negative outcomes. Ongoing communication between the
leadership and the staff is one element in helping workers to feel that their jobs
are significant and their job setting is comfortable.

As simple as it sounds, effective communication is not easy. Saying to staff, "I
have an open door policy--come talk with me about anything" is wonderful, but
it doesn't go far enough. Communication must flow freely and comfortably to
bring about a positive and constructive workplace environment. It is invaluable
for individuals to know that they can go to their supervisor with problems,
concerns, or innovative ideas and be heard.

Staff members want to be heard. They have opinions that have been developed
over time, based upon their cumulative work experience. They appreciate being
asked to share their opinions. Most employees understand that the leader of an
organization must make the final decision but having input is a huge morale
booster.

Staff members also want to be informed. If a new policy is on the horizon, they
want to know why it is needed, when it will be implemented, who will be
implementing it, how their jobs will be affected, and so on. To hear about the
new policy on the day it is being implemented is not effective communication.
Offering staff a chance to provide input and to ask questions is the preferable
way to communicate a new policy.

In Win Win Management: Leading People in the New Workplace, George
Fuller (1998) explains that workers today are recognized as valuable
contributors to fundamental decisions about how the job is to be done.
Although it isn't always possible to achieve a consensus within the group, it is
important that workers recognize that open discussions are encouraged and to
know they will be heard, even though every employee suggestion cannot be
implemented. As Fuller states, "After all, no matter how much teamwork and
cooperation there is, the buck always has to stop somewhere. By the way,
there is no requirement for overall agreement in every workplace decision." He
goes on to make the important point that employees themselves don't
necessarily want to be decision makers. What they do want is to be a part of
discussions that involve their jobs. This type of communication helps set the
stage for workers to accept the changes that they may not agree with. Simply
giving them input lets them know they contributed to the process.

Don't make the mistake of soliciting input when the decision has already been
made. Employees usually know when the supervisor is manipulating a situation
by pretending to receive input when in reality the decision has already been
made.


An important follow-up to allowing employees to be heard is listening, and it is
often a much harder task. Peter F. Drucker (1990) in Managing the Nonprofit
Organization identifies listening as one of the basic competencies of a good
leader. Drucker defines listening not as a skill but as a discipline and says good
leaders have the willingness, ability, and self-discipline to listen. "Anybody can
do it. All you have to do is keep your mouth shut." For most, that is much
easier said than done. Listening sounds like an easy task, but few people really
know how to listening effectively.

Often during social conversations, for instance, one or more of the people
involved begin to look around the room or worse yet, turn away and begin
talking to someone else. Leaders should take note of their listening skills and
see if they need improving--then practice listening to their employees.

Besides face-to-face listening, there are other ways of "listening":

o Hold staff meetings in which the differing of opinions is encouraged.

o Hold small meetings; they are more conducive to allowing people to talk
openly.

o Request written comments or thoughts.

o Keep a suggestion box with anonymous input.

o Go individually to employees' offices to solicit input.

o Periodically survey staff for their ideas and input (with anonymous responses,
if desired).

ATTUNEMENT

Attunement is defined as listening in such as way that one learns from those one
is leading (Mackoff and Wenet 2001, 125). It is important to never
underestimate the impact of truly listening to another individual.

When Dr. Mitchell Rabkin took over as CEO of Beth Israel Hospital in
Boston, his first official decision was somewhat unorthodox in the world of
hospital administration--he abolished the doctor's dining room. In so doing, he
sent a clear message to doctors concerning his expectations that they stayed
"tuned in" to their fellow hospital employees as well as the patients. It also
conveyed his high regard for every individual in the hospital, regardless of
position or status (Ibid.).


Being truly attuned to another individual allows the listener to begin to
understand the experience of that individual in a way that may never have been
possible before. Another policy instituted by Rabkin was to require first-year
medical students to spend their first three days in the hospital wearing a
nonmedical uniform and trying to do the job of someone in social services,
housekeeping, or laundry. His goal was to show these students, from the very
first moment of embarking upon their medical career, that the hospital
depended on a multitude of individuals, some of whom are never heard or even
acknowledged by the upper level medical staff. Equally important, it allowed
them the opportunity to understand the point of view of other hospital staff
members.

True listening is difficult, and like any skill, it must be learned and practiced.
Leaders are constantly setting examples in the way they function and operate on
a daily basis and the way they listen to others within their organization, no
matter what level that person may be, has a tremendous impact on how well the
organization will ultimately be able to achieve its goals.

The Benefits of Learning and Using a More Cooperative Style: The Seven
Challenges to Cooperative Communication Skills

Effective communications skills are essential to identify and resolve conflicts. In
The Seven Challenges: Cooperative Communication Skills Workbook and
Reader, Dennis Rivers (1999) identifies "the seven most powerful, rewarding
and challenging steps" to connect with people:

1. Get more done, have more fun, Living and working with others is a
communication-intensive activity. The better a leader understands others'
feelings and wants, and the more clearly they in turn understand the leader's
goals and feelings, the easier it will be to make sure that everyone is pulling in
the same direction.

2. More satisfying closeness with others. Learning to communicate better
involves exploring two big questions: "What's going on inside of me?" and
"What's going on inside of you?". Modern life is so full of distractions and
entertainments that many people don't know their own hearts, nor the hearts of
others, very well. Exercises in listening can help a leader to listen more
carefully, and reassure conversation partners that s/he really does understand
what they are going through. Exercises in self-expression can help the leader
ask for what s/he wants more clearly and calmly.

3. More respect. Since there is a lot of mutual imitation in everyday
communication (She raises her voice; he raises his voice, etc.), adopting a more
compassionate and respectful attitude toward conversation partners invites and
influences them to do the same.

4. More influence. When the leader practices the combination of responsible
honesty and attentiveness, s/he is more likely to engage other people and reach
agreements that everyone can live with. The leader is are more likely to get
what s/he wants, and for reasons that won't be regretted later (Rivers, n.d.).

5. More comfortable with conflict. Because people have different talents, there
is much to be gained by their working together, accomplishing together what no
one could do alone. But because people also have different needs and views,
there will always be some conflict in living and working together. By
understanding more of what goes on in conversations, a leader can become
better a team problem solver and conflict navigator. Learning to listen to others
more deeply can increase the leader's confidence so that s/he will be able to
engage in a dialogue of genuine give and take and thus be able to help generate
solutions to problems that meet more needs.

6. More peace of mind. Because every action a leader takes toward others
reverberates in minds and bodies for months (or years), adopting a more
peaceful and creative attitude in interactions with others can be a significant way
of lowering stress levels. Even in unpleasant situations, a leader can feel good
about his/her skillful response.

7. A healthier life. In his book, Love and Survival, Dr. Dean Ornish (1998)
cites study after study that point to supportive relationships as a key factor in
helping people survive life-threatening illnesses. To the degree that a leader uses
cooperative communication skills to both give and receive more emotional
support, s/he will greatly enhance chances of living a longer and healthier life.

Learning to listen and communicate in cooperative and effective ways is key to
uncovering one's own unique capacities for creative problem solving.

Accessing Creative Problem-solving Potential

Just as one can learn to lead by accessing his/her own unique leadership
qualities, positively inspiring and energizing those around him/her, so too can
one learn to access his/her own potential for solving problems in ways that are
constructive, innovative, and creative. Identifying and refining leadership style as
well as utilizing positive approaches to identifying and solving problems are the
keys.                    

IDENTIFYING PROBLEM-SOLVING STYLE

Problem-solving style is only one aspect of overall leadership style. However,
problem-solving style can fit into the four categories of leadership style found in
Leadership and the One Minute Manager by Ken Blanchard, Patricia Zigarmi
and Drea Zigarmi (1985):

o Directing. The leader provides specific instructions and closely supervises
task accomplishment.

o Coaching. The leader continues to direct and closely supervise task
accomplishment, but also explains decisions, solicits suggestions, and supports
progress.

o Supporting. The leader facilitates and supports subordinates' efforts toward
task accomplishment and shares responsibility for decision making with them.

o Delegating. The leader turns over responsibility for decision making and
problem solving to subordinates.

Leadership in today's workplace requires a balancing act between knowing
when to be assertive and when to step back and let employees solve the
problem. "Cooperation and teamwork succeed best when employees are
empowered to take responsibility for their work and to participate in oversight
and guidance to keep everything in focus. The trick is to do so in such a way
that you won't seem to be still making all the decisions." (Fuller 1998) There is
a diplomatic way of getting an idea accepted without it being obvious. Fuller
cites a situation in which several employees are trying to solve a problem. They
are at a standstill when the supervisor decides to share his opinion. He does so
very carefully and cautiously to let the group pick up on his idea.

Boss: " I got here late so you've probably already discussed this option, but
what if we combined step 3 and 4 and gave Mary step 5. It seems like the
workflow might be smoother that way."

Staff Member: "That's a good idea. We didn't discuss that possibility yet, but
that might work. What do you all think?"

By being diplomatic, the supervisor avoids appearing dictatorial and doesn't
assert his authority. On the other hand, when the problem-solving style of
directing is used, the group will feel that lip service is being given to their
suggestions and that in the end the supervisor will do what s/he wanted to do in
the first place.              


Problem-solving styles, like leadership styles, differ because problems are
different and staff members are different. Each problem cannot be tackled in the
same way, nor can each employee be treated the same. Each has his/her
different style of working and each requires different responses from his/her
supervisor.

THE PROBLEM-IDENTIFICATION PROCESS

(The following section is adapted from Teamworks Module: Problem Solving
by Barbara O'Keefe, n.d., <www.vta.spcomm.uiuc.edu>.)

Groups that find themselves having difficulties solving problems might want to
back up and try to determine if any of the difficulties stem from inaccurate
assumptions about what group members perceive the problem to be. At this
point, it may be helpful to follow the procedure outlined in Problem-Solving
Group Interaction (Patton and Griffin 1973). While identifying the concerns of
other group members may seem intuitive, many give up on the whole problem-
solving process as soon as they realize that others don't seem to share their
concerns. Patton and Griffin stress that there are many alternatives available to
the group before abandoning its efforts, including:

1. Identify possible concerns. The leader should begin at the most obvious level
and start by probing the others in the group to find out their orientation toward
the problem. The key here is not to defend one's own concern as the most
important, but to find out what the issue means to the group, and explore other
facets of the problem that may otherwise not have been considered. It is
important to avoid taking sides this early in the discussion.

2. Determine mutuality of concerns. Ideally, the group will be able to identify
one overarching concern as the most important. Realistically, this is not always
the case. One should not take it personally if others have a different orientation
toward the problem but rather appreciate that everyone has a different
background and different life experiences that have significant bearing on how
he or she is oriented toward a particular situation. If it is imperative for the
group to reach consensus about what the one major concern should be, then it
may be useful for members to stop here, and consider various conflict
management tactics for compliance-gaining before proceeding with the
discussion.

3. Identify complementary goals. Many groups can function quite productively
even if mutual concerns cannot be identified. For example, if one can help
others in the group achieve their goals while, at the same time, the group can
help him or her with separate goals, then there is no reason to call problem-
solving efforts to a halt. Many times, this can be a much more efficient strategy
than dissolving the group and looking for others who share one's one particular
concern.

4. Identify superordinate goals. If the group decides it can't help each other
achieve their own goals separately, there is another alternative before giving up.
Members should look for superordinate goals by broadening their perspective
to include the concerns of others beyond one's own particular concern. While
this is very similar to identifying complementary goals, there is an important
psychological difference between the two: In identifying superordinate goals,
one is willing to accept others' concerns as his or her own, and work to resolve
them in addition to any other concerns he or she has. The key is that others'
needs actually become one's own as well. While time and resources may make
it impossible to take on everyone else's needs, the group may be able to reap
greater benefits than was possible otherwise by making this commitment to
multiple goals.

REFLECTIVE PROBLEM SOLVING

(The following section is adapted from Teamworks Module: Problem Solving
by Barbara O'Keefe, n.d., <www.vta.spcomm.uiuc.edu>.)

No decision-making team follows exactly the same procedure for solving
problems as another team. Regardless of how leaders and staff members
approach a problem, however, most effective decisions are reached by
performing certain functions. Reflective problem solving emphasizes the
importance of basic tasks:

o Defining concepts.

o Identifying needs.

o Identifying and evaluating solutions.

Groups using reflective problem solving cover these key tasks. From this
perspective, there are five key sub-tasks involved in problem solving:

1. Defining the problem. The leader makes a list of resources--people, books,
Web sites, etc. that have some connection to and information about the
problem. The leader then uses these resources to clarify any unfamiliar terms or
concepts, and to clarify for the group what s/he understands the problem to be.
At this point, the leader is looking for symptoms--the evidence that a problem
exists--not causes of the problem.

2. Analyzing the problem. After the group has discussed the evidence for the
existence of the problem and defined what the problem is, the leader turns
his/her attention to analyzing the evidence more thoroughly, looking for relevant
data that may explain why the problem exists, evaluating the data collected and
the sources of the data.

3. Establishing criteria for evaluating solutions. The leader sets an objective with
the group that all proposed solutions should strive for. Based on the definition
of the problem and analysis of its cause(s), this objective should be the one
specific goal that any acceptable solution should attain. If the problem is too
complex to set only one objective, another way is to make a list of musts and
wants. "Musts" are those basic requirements without which the solution will be
unacceptable. "Wants" are those qualities that are desirable in any solution, and
should be prioritized from "most desirable" to "least desirable." A "musts" and
"wants" checklist may help the group maximize the effectiveness of any solution
without omitting any essential requirements.

4. Proposing solutions. After the leader has established some basis for
evaluating solutions, he/she can try brainstorming solutions (see the
"Brainstorming" section of this chapter for additional information). From the list
of solutions that emerge from the brainstorming session, the leader develops a
realistic range of solutions and selects the one that best fits needs according to
the evaluation criteria.

5. Taking action. The leader writes an action plan that details the steps and the
resources needed to implement the solution.

How the group performs these necessary problem-solving tasks is incidental, as
long as each function is addressed. Some groups find it helpful to follow a more
detailed and systematic procedure for problem solving to help keep them
focused. If the group is having difficulty staying on track, following the above
step-by-step process may help reach the goal more efficiently and effectively
.
CONFLICT-BASED PROBLEM SOLVING

(The following section is adapted from Teamworks Module: Problem Solving
by Barbara O'Keefe, n.d., <www.vta.spcomm.uiuc.edu>.)

Many problems that groups face are complex and ambiguous, and so there may
be several possible alternative solutions. These problems require a thorough
examination of both the assumptions and inferences that underlie them and their
solutions. In this situation, many managers and strategic planners use two
important conflict-based problem-solving techniques: dialectical inquiry and
devil's advocacy.

Such conflict-based problem-solving models stress critical evaluation over
group harmony. While group morale and interpersonal relations are always at
some risk whenever individuals engage in conflict, many problem-solving teams
find that structured conflict can yield high quality results.

Dialectical inquiry. In the dialectical inquiry process, the team uses the same set
of data to make two separate and opposing recommendations, and then
formally debates these recommendations based on the assumptions that were
used to derive them. The philosophy behind this method is that a clearer
understanding of the situation and an effective solution result when the
assumptions underlying each recommendation are subjected to intense scrutiny
and evaluation. (Refer to Appendix C-2 for an interactive exercise).

Devil's advocacy. Much like dialectical inquiry, the process of devil's advocacy
for problem solving and decision making relies on structured conflict to ensure a
high quality decision. A solid, well-supported argument is made for a set of
recommendations and then subjected to a grilling evaluation by another person
or sub-group. Those who use devil's advocacy assume that only the best plans
will survive such extensive censure. (Refer to Appendix C-3 for an interactive
exercise).

Using conflict effectively. In both dialectical inquiry and devil's advocacy,
structured conflict is central to understanding the soundest recommendations
and the assumptions that underlie them. There is, however, always risk involved
when individuals engage in conflict, and therefore it is important to develop the
right attitude for conflict activity.

o First and foremost, don't be afraid of conflict! Remember that this is a
structured debate. While the leader will have to either give or receive criticism,
s/he does not have to be confrontational and antagonistic to do it.

o Remember that critical evaluation is the crux of conflict-based models of
problem solving. Don't mistake legitimate criticism for a personal attack.

o Refrain from basing criticisms on the character of another group member. In
other words, keep the focus on the recommendations themselves, not who
made them or why.

o Always keep in mind that the goal of subjecting recommendations and
assumptions to an intense critique is to develop better ones, and to ensure that
the team's plan will ultimately be able to survive the same sorts of critiques from
outsiders. Strive for quality.

CREATIVE PROBLEM SOLVING

(The following section is adapted from Teamworks Module: Problem Solving
by Barbara O'Keefe, n.d., <www.vta.spcomm.uiuc.edu>.)

Many teams find that a more creative, less rigid approach to solving problems
often yields the highest quality solution. However, the leader needs to
understand what factors make creative thinking work best. Creative thinking,
otherwise known as the "association of ideas," is the process by which
imagination feeds memory and knowledge to cause one idea to lead to another.

Requirements for creative thinking. The key factors that influence team success
in any creative thinking session are:

o Suspend judgment. By far the most important characteristic of effective,
creative problem solving is to have an open mind. The leader and the team
should work on creating a supportive environment where judgment and
criticism are not permissible. These qualities stifle creativity.

o Self-assessment. In order to develop a more open mind, it may help to
determine tendencies to cling dogmatically to ideas and opinions.
Develop a positive attitude. Have enthusiasm and optimism for all ideas, even if
they seem wild and unrealistic. Develop an attitude that all ideas are good ideas;
cynicism will only inhibit creative thinking.

o Use checklists. The team should write down every idea, no matter how far-
fetched it might seem. It sends the message to the team that everyone's ideas
are valued, helping to create a supportive environment. Recording all ideas
ensures that nothing important is forgotten, and gives the team an opportunity to
go back and combine parts of one idea with parts of another, letting ideas feed
off each other.

o Be self-confident. Remember that many of the world's greatest ideas were
ridiculed at first. Have faith in creativity! Some of the most basic scientific
principles, such as "the earth is round and revolves around the sun," never
would have been advanced without the confidence and courage to go against
the grain.

o Encourage others. Praise and encouragement are the fuel for creativity. It
enables ideas to flow freely and motivates team members. Instead of criticizing
or rejecting an idea, offer praise and encourage the team to "keep up the good
work!".

The creative thinking process. Figure 1 summarizes the stages of creative
thinking. These stages resemble the steps in the reflective approach to problem
solving, with adjustments to encourage creativity and exploit brainstorming:

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Figure 1 is not included in this ASCII plain-text file. To view this document in
its entirety, download the Adobe Acrobat graphic file(s) available from this
Web site.

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o Orientation. This step sets the stage for a productive session, i.e., making sure
all the necessary requirements for an open and creative group process are
available.

o Preparation and analysis. This stage is primarily devoted to fact finding. While
gathering facts is important, it is necessary to gather only those facts that will
serve to further creative thinking. Getting bogged down in too many details may
actually restrain creative thinking efforts. There will be time later to go back and
fill in needed facts.

o Brainstorming. The philosophy behind brainstorming is that the more ideas
there are on the table, the more likely it is that a suitable solution will emerge.
This stage is a "freewheeling" exchange of ideas to list all possibilities.

o Incubation. Incubation is the "time-out" stage of the process in which group
members disperse for a period of time to let ideas grow and to encourage
"illumination" of the correct solution. While a time-out may not always be
practical for every problem-solving initiative, it is nonetheless considered an
important part of the creative process so as not to shortcut creativity by
overworking the mind.

o Synthesis and verification. Out of all the possibilities the team has generated
during its brainstorming session, the ideal solution should be a combination of
the best qualities of each idea. While during the orientation and analysis phases
of the process, the team's job was to break apart the problem, the task at hand
now is to construct a whole out of the ideas generated by brainstorming.

One good way to do this is to make a list of all the desirable qualities or
disadvantages that a solution might have, and then rate each idea accordingly.
Each quality or disadvantage can be weighted in terms of its importance, or
applied without weighting. The idea with the best overall profile is then
identified.

o Verification is the final phase, and requires testing the solution the team has
chosen to see if it achieves all of the team's goals.

SWOT ANALYSIS

(The following section is adapted from "SWOT Analysis," 2000, Mind Tools
Book Stores, <www.mindtools.com>.)

One of the easiest and most effective approaches to identifying problems, as
well as potential solutions, is through SWOT analysis. Often utilized for
organizational strategic planning, the SWOT process helps identify strengths
and weaknesses as well as the opportunities and threats an individual or
organization faces.

The SWOT process is accomplished through individual thinking and reflection,
followed by group discussion and brainstorming. A SWOT analysis seeks
answers to the following questions:

o Strengths.

--What are the leader's advantages?
--What does s/he do well?

Answers to these questions should take into consideration the points of view of
both the leader and the people with whom s/he works. The leader should not
be modest, but realistic. If the is difficulty with these questions, listing the
leader's characteristics or those of the organization may be helpful. Some of the
characteristics will be strengths.

o Weaknesses:

--What could be improved?
--What is being done badly?
--What should be avoided?

Again, this should be considered from an internal and external basis. Do other
people perceive weaknesses that the leader doesn't see? It is best for the leader
to be realistic and face any unpleasant truths as soon as possible.

o Opportunities:

--Where are the good chances facing the leader?
--What are interesting trends?
Useful opportunities can come from changes in:
--Technology and markets on both a broad and narrow scale.
--Government policy related to the field.
--Social patterns, population profiles, lifestyle changes, etc.
--Patterns of clientele or constituents.
--Support systems, such as human or financial resources.

o Threats:

--What obstacles does the leader face?
--If there is competition, what are they doing?
--Are the required specifications for the agency, job, or services changing?
--Is changing technology threatening the leader's position or the program?
--Are laws or policies perceived to be detrimental?
--Are there have concerns about funding?

The SWOT analysis is an effective tool in any democratic organization and one
that a leader can effectively use to move into a more in-depth problem-solving
or brainstorming session with input from all participants.

BRAINSTORMING            

Nearly every individual has the capacity and skills to brainstorm. Consider for a
moment a hot summer day from early childhood. All of the neighborhood kids
are bored and looking for something to do. The kids begin to suggest what they
can do--some ideas are rejected, others accepted. This is "brainstorming."

Brainstorming is a group process to develop creative solutions
to problems. Through brainstorming, participants "push the envelope" on
creative approaches. No idea is a "bad idea"; every idea is welcome. A
solutions is generated from the best idea or a combination of ideas.

The following rules are important to successful brainstorming (adapted from
<www.mindtools.com> January 2001):

o A leader should take control of the session, initially defining the problem(s) to
be solved or issue(s) to be addressed with any criteria that must be met, and
then keeping the session on course. He or she should encourage enthusiastic,
uncritical participation by all members of the team. The session should be
announced as having a fixed length of time, and the leader should ensure that no
train of thought is followed for too long. The leader should try to keep the
brainstorming on subject, and should try to steer it toward the development of
some practical solutions.

o Participants in the brainstorming process should come from as wide a range
of disciplines--with as broad a range of experience--as possible. This brings
many more creative ideas to the session.

o Brainstormers should be encouraged to have fun, coming up with as many
ideas as possible, from solidly practical to wildly impractical, in an environment
where creativity is encouraged and welcome.

o Ideas must not be criticized or evaluated during the brainstorming session.
Criticism introduces an element of risk for a group member in putting forward
an idea, and may dissuade others from participating. This stifles creativity and
cripples the free-running nature of a good brainstorming session.

o Participants should not only come up with new ideas, but also "spark off"
other people's ideas.

o A record should be kept of the session--minutes, tear sheet notations, or a
tape recording.

o Individual worksheets should be provided for participants to record their
ideas prior to sharing them with the group. This approach is helpful for creative
people who are somewhat shy in public venues, and can also provide useful
data that may not be shared with the full group due to time limitations.

o The group's ideas and findings should be subsequently studied for evaluation.

o Findings or outcomes from the session should be shared with all participants.

Individual versus group brainstorming. Brainstorming can be carried out by
individuals, groups, or both:

o Individual brainstorming tends to produce a wider range of ideas than group
brainstorming, but tends not to develop the ideas as effectively, perhaps
because individuals on their own--run up against problems they cannot solve.
However, individuals are free to explore ideas in their own time without any
fear of criticism or domination by other group members.


o Group brainstorming develops ideas more deeply and effectively. When
difficulties in the development of by one person's idea are reached, another
person's creativity and experience can be used to break them down. Group
brainstorming tends to produce fewer ideas (as time is spent developing ideas in
depth), and can lead to the suppression of creative but quiet people by loud
and uncreative ones.     

o Individual and group brainstorming can be mixed, perhaps by defining a
problem, and then letting team members initially come up with a wide range of
possible solutions. These solutions could then be enhanced and developed by
group brainstorming (<www.mindtools.com> January 2001).

Establishing ground rules for brainstorming sessions. All participants should be
given an understanding of what is expected of them, and what types of
behavior(s) are unacceptable. While ground rules should be established by all
members of the group at the beginning of the brainstorming session, there are
some general ground rules for consideration:

o No idea is a bad idea or, conversely, every idea is a good idea.

o Everyone is encouraged to participate, but nobody is encouraged to over-
participate at the expense of others.

o Individual work sheets will be provided, utilized, and collected to ensure that
every idea is captured.

o Building on ideas from others is helpful.

o Repetition of and/or repeating ideas is okay.

o Ideas will be captured (on tear sheets, by a note taker, or by an audio or
video recording).

o All participants should respect other participants' ideas, even if they disagree
with them.

o People should not interrupt others when they are speaking.

o Breaks will be taken when a consensus is reached that one is needed.

o The time line for the session is (number of minutes or hours).

o A summary of focus group findings will be provided to all participants by
(person responsible) by (deadline).

While many of these ground rules may appear to be obvious and simply good
common sense, it is extremely important to articulate ground rules at the outset
of a group process. The buy-in by the individual group members and
recognition of that fact by the group as a whole is the foundation for sticking to
ground rules and engaging in a truly constructive and creative group session.

Dealing with the Challenge of "Staff Infection"

One result of poor communication is rumors. When staff members are not
informed of what is going in within the organization, they sometimes create their
own version of the truth. This can happen even when the leader thinks s/he has
communicated very well.

Sometimes the rumors are not caused by a lack of communication but are the
result of a personality problem within the office. In many offices anyone can tell
without hesitation who the office gossip is and who starts the frequent rumors.
Often these rumors, having no basis in fact, can cause a great deal of disruption.

When miscommunication occurs, employees are usually hesitant to go directly
to their supervisor to clear up the matter. Instead some employees will go to
every other employee to discuss the misinformation and get his/her opinion. 
When this type of behavior occurs, the flow of effective communication is
disrupted and other side effects begin to occur. For example, the office gossip
overhears the supervisor complaining about the time it is taking a project to
come to completion. The gossip goes to the employee who is handling the
project and tells him/her--confidentially--about overhearing the boss say he was
dissatisfied with the employee's work. The gossip will couch the overheard
comments in negative terms and make the employee feel that it would be
impossible to go to the boss and ask him to share his concerns directly.

What then follows is an "infection"--employees think the boss talks about them
behind their backs, is never satisfied with anyone's work, and so on. Without
any clear communication, employee dissatisfaction increases and eventually
results in people taking sick leave, resigning to take other jobs, and showing
other signs of overall unhappiness.               

"Staff infection" may also be seen when a new policy is implemented but is not
acceptable to the staff. One disgruntled employee can stir up others to such a
degree that soon no one is on board with the new procedures and everyone is
"infected" with a negative attitude that eventually causes the downfall of an
otherwise healthy organization.

Although "staff infections" can occur over any issue, not just policy changes,
some employees are just resistant to change. They are not devious, just set in
their ways.

Workers resist changes within the workplace for many reasons (these are
addressed more fully in Chapter 5, Essential Skills for Leaders: Facilitation of
Change). Some employees resist all changes and cannot be persuaded to
accept anything new. Sometimes a leader doesn't even realize that s/he is
dealing with this type of person until s/he has done everything within
his/her power to help the employee accept the change(s). In other instances, the
employee makes it clear right up front that s/he plans to continue in the old
pattern. George Fuller (1998) states that apart from outright insubordination,
this situation presents an additional challenge: one employee can negatively
affect other employees who aren't particularly enthusiastic about the new
procedure either. Fuller recommends the following techniques when a leader
has to deal with an individual who adamantly resists doing something differently:

o Confront the individual in a calm and reasonable manner to determine his/her
objections to the change that's being made.

o Challenge the reasons given for not accepting the change. Don't let excuses as
to why the individual won't comply go unanswered. Otherwise, the employee
will take this as agreement with his/her position.

o Give the employee explicit directions that the change must be complied with.

o After allowing time to comply with instructions, confront the worker if there is
noncompliance. State calmly but firmly that further refusal to perform the work
in accordance with the new procedures will be grounds for possible disciplinary
action.

o Keep the boss posted about the problem if it appears that disciplinary action
may become necessary. It also makes sense to coordinate with the Human
Resources personnel to be certain the correct procedures are followed in terms
of disciplinary actions in general and termination of the employee in particular.

Early Detection, Identification, and Prevention of Potential Problems

Being aware of the circumstances that are likely to bring about morale and
system problems is the first step of a good leader. Recognizing that there are
many issues that cause morale problems and learning when the organization is
experiencing one (or more) is helpful in preventing future problems. For
example, if a non-profit agency loses grant funds, workers are likely to begin
worrying about the security of their jobs. Even though the supervisor may know
that the lack of funding will not affect the salaries, the staff may not know that.
Often, in a political setting, a new administration will make massive changes. A
good leader will recognize that employees may become concerned about their
job security after the elections. When a colleague is terminated, other staff may
become nervous about what is expected of them; tensions increase. Maybe
workloads are increasing. Even a change in the number of holidays has caused
dissension in the ranks.

Early detection of the problem can be very difficult. Sometimes a rumor gets
back to the supervisor and, although not true, can alert the supervisor that there
is a problem. Sometimes it is an employee who feels comfortable talking to
management who brings the problem to the attention of those in charge. If this is
the case, involving the employee in resolving the dilemma promotes the type of
cooperation the leader hopes to foster.

Fuller (1998) says that there are a number of practical benefits from having
employees bring bad news to the leader's doorstep:

o Prevents minor problems from becoming major ones.

o Allows remedial action such as providing additional training.

o Encourages employees to take risks without fear of criticism.

o Promotes cooperation with subordinates.

o Prevents unpleasant surprises because s/he wasn't informed.

o Minimizes damage by allowing prompt action to prevent repetition.

To accurately identify the problem, the leader must have input from more than
one person. Those involved must be able to communicate the problem and
discuss it openly to reach a resolution. A leader must not fall into the trap of
allowing employees to come with confidential information that they want the
leader to have but then ask him/her not to act on the information. This ties the
leader's hands and frustrates everyone.

If the problem is a one employee who is continuously causing trouble, deal with
him/her swiftly and within the guidelines created by the Personnel Policies and
Procedures. Document, document, document! Be prepared to handle the
situation, not ignore it. It won't go away! The problem employee will cause
even more trouble as s/he continues to affect co-employees; the problem
employee must be handled swiftly and according to policy.

If the leader detects a problem, one of the first actions to take is to bring the
problem to the attention of his/her boss. This isn't easy, since it is always hard
to bring any form of bad news to the boss. The leader may feel uneasy due to a
fear that the boss will think this is something the leader should be able to handle
him/herself. However, most likely, the leader's good judgment will help him/her
decide which issues warrant going to the boss, and the boss will appreciate
being kept informed. It may be that upper-level management policy is causing a
morale problem. But since morale can destroy not only productivity but also
eventually, the essence of an organization, the problem should be brought to the
attention of the boss.

PREVENTION OF THE PROBLEM

Some problems can't be prevented. The leader should not feel guilty thinking
s/he could have prevented a disaster that occurred in the past. Some people are
simply devious and the problems associated with those people are unavoidable.

However, the leader can prevent additional problems and prevent prolonging
the agony of certain situations. How? There are several techniques the leader
can master:

o Recognize the problem. The leader must stop denying what s/he senses, listen
to intuition, and face the facts. An employee is negatively influencing the work
environment. Take off the rose-colored glasses and deal with the harsh reality
that people like this do exist. Stop asking "How could someone be out to get
me?" "What have I ever done to deserve this?" The leader must realize that the
situation is not about logic or fairness and that it is time to face the fact that a
problem exists that must be dealt with swiftly and fairly.

o Look for an alternative placement for the problem employee. The leader may
uncover a perfect solution that suits the leader, the problem employee, and
everyone else. Perhaps the problem employee could be moved to another
department, another floor, another agency. Make the move into a positive one
but without it becoming a promotion. If co-workers sense that a problem
employee received a promotion to get him/her out of the way, the wrong
message is sent.

o Eliminate the position. Eliminating the position means the leader doesn't have
to be the bad guy and fire someone.


Other prevention techniques.

o Keep communication lines open. As already mentioned, clear and frequent
communication with staff is the best way to prevent problems. Trust develops
between leader and staff when they know the leader has nothing to hide.

o Ask for staff input and seriously consider their suggestions. A trouble-maker
who complains that the boss never listens will not gain much sympathy from co-
workers who know otherwise.

o Develop a screening process when hiring employees that helps distinguish
emotionally healthy workers from those with personality disorders. Talk with
other Human Resource people whose main job is to screen potential
employees. Talk to therapists who know how to quickly recognize personality
disorders; they can help develop evaluation skills so that potential problems
might be a little easier to recognize.

o Steer clear of developing friendships with staff members. Keep the lines clear
between employer and employee. The respect that is shown to the leader can
dissipate when s/he becomes social friends with employees.

When Problems Are Out of Control

There are two things to remember when discussing out-of-control problems.
They may actually be out of control or they may simply feel out of control.

When problems are truly out of control, whether a result of personnel
difficulties, workflow difficulties, policy complications, or a variety of other
issues, time is of the essence. The worst action a leader can take is no action. 

When the person in charge does nothing but sit and think about the situation for
weeks or months, the problems don't get solved and staff morale drops.
The leader should do something, even if it doesn't totally solve the problem.
S/he takes action and lets the staff know that s/he is in control and accepts
responsibility for the outcome. For the staff to know that someone has taken
charge and is in control can be a huge step towards preventing panic and
confusion.

A leader pulls together a team to help problem solve. It takes more
heads than one to solve major problems. The added benefit to the leader is that
the staff feel that their opinions are worthy of consideration. Use their creativity
to solve the problem.


Problems may simply seem out of control. Pamela Meyer (2000) describes
what she terms "chaos." Her advice? Embrace chaos. Her premise is that
positive organizational transformations and individual growth cannot happen
without chaos. Much opportunity is found within the midst of chaos. Leaders
must be open to change, and therein lies the problem. Because leaders tend to
hang on to their illusions of control and stability, they often view chaos as
disorder and lack of control.

Meyer (2000) says that two of the most important aspects of chaos are
persistent instability (constant, unpredictable change) and self-organization
(integrity maintained in the midst of change). "Chaos is persistent instability."
When a great deal of time and energy is spent resisting chaos, chaos is allowed
to continue. When chaos is viewed as an opportunity to grow, the problem
takes on a positive feel. In a self-organizing system the events that challenge the
status quo are, in fact, the most useful to its evolution and the things that came
along unexpectedly become not something to overcome, but the most important
part of the process.

Staff need to understand the concept that growth comes from chaos and that
problems within the organization are to be expected and can be an opportunity
to make positive changes. The benefits to the leader of taking time to help staff
understand his/her view are tremendous.

Conclusion

"Life without problems" might appear to make the leader's job simpler and less
stressful. However, as this chapter has emphasized, a leader can learn and
grow from the problems that arise on the job, and utilize each challenging
experience to hone his/her leadership skills.

As one long-time victim advocate notes, "A passion for problems has given me
tremendous passion and insights into the difficulties and challenges that crime
victims face on a daily basis. My skills as a problem solver help me as a leader
in my field but, perhaps more important, they help my colleagues and me to
achieve our fundamental goal of helping victims better recognize and address
the many problems that result from personal victimization."

References

Blanchard, K., P. Zigarmi, and D. Zigarmi. 1985. Leadership and the One
Minute Manager. New York: William Morrow.

DeBono, E. 1985. Six Thinking Hats. New York: Little, Brown.

Drucker, P. F. 1990. Managing the NonProfit Organization: Principles and
Practices. New York: Harper Collins.

First Books for Business. 1996. Supervising and Managing People. Los
Angeles, CA: McGraw-Hill.

Fuller, G. 1998. Win Win Management: Leading People in the New
Workplace. Paramus, NJ: Prentice Hall.

Hamel, G. 2000. Leading the Revolution. Boston: Harvard Business School.

Mackoff, B., and G. Wenet. 2001. The Inner Work of Leaders: Leadership as
a Habit of Mind. New York: Amacom.

Maxwell, J. C. 1999. The 21 Indispensable Qualities of a Leader: Becoming
the Person Others Will Want to Follow. Nashville, TN: Thomas Nelson
Publishing.

Meyer, P. 2000. Quantum Creativity. New York: NTC Publishing Group.

Mind Tools Book Stores. 2000. SWOT Analysis. <www.mindtools.com>.
O'Keefe, B. n.d. Teamworks Module: Problem Solving.
<www.vta.spcomm.uiuc.edu>.

Ornish, D. 1998. Love and Survival, chapter 2. New York: Harper Collins.

Patton, B., and K. Griffin. 1973. Problem-Solving Group Interaction. New
York: Harper & Row.      

Rivers, D. 1999. The Seven Challenges: Cooperative Communication Skills
Workbook and Reader. <www.coopcomm.org>.

Rivers, D. n.d. Conversation with communications skills teacher Marshall
Rosenberg.

Additional Reading

Ackoff, R. L. 1986. Management In Small Doses. New York: John Wiley &
Sons.

Blanchard, K., and R. Lorber. 1984. Putting the One Minute Manager to
Work. New York: William Morrow.

Bracey, H., J. Rosenblum, A. Sanford, and R. Trueblood. 1990. Managing
from the Heart. New York: Bantam Doubleday Dell.

Danzig, R. J. 2000. The Leader Within You. Hollywood, FL: Frederick Fell.
                    
Findley, B. F., Jr. 1999. Management: Processes and Paradigms for the 21st
Century. Pensacola, FL: Professional Management Resources.

Uris, A. 1986. 101 of the Greatest Ideas in Management. New York: John
Wiley & Sons.

Wren, D. A. 1998. Management Innovators. New York: Oxford University
Press.

----------------------------

Chapter 4. Essential Skills for Leaders: Collaboration and Team Building

Abstract

Strong, positive working relationships are essential to both leaders and the
organizations they lead. Collaboration and partnerships with allied professionals
and community members who share concerns about victims' rights and
assistance contribute to the success of the discipline as a whole. The capacity to
build and strengthen team initiatives that assist victims and promote public
safety--both within and without an organization--is a crucial skill for leaders in
this field.

Learning Objectives

Upon completion of this chapter, students will understand the following
concepts:

o Distinguishing features of the four types of working relationships, and
challenges to successful working relationships.

o Guidelines for successful collaboration to promote victims' rights and services
and public safety.

o Practical approaches for building, implementing, and evaluating team
initiatives.


o Characteristics of high-performing teams.

o Characteristics of a strong team leader.

Introduction to Working Relationships

Let us not be blind to our differences, but let us also direct attention to our
common interests and the means by which those differences can be resolved.
And if we cannot end now our differences, at least we can help make the world
safe for diversity. --John F. Kennedy, 1963

There are many phrases utilized in the victim assistance community to describe
efforts that bring people together with a common cause. George Keiser of the
National Institute of Corrections (1998) describes these terms and their
meanings:
          
Some recurring words are often used in a very cavalier fashion to describe
types of working relationships. It is important to be clear about the depth of
involvement contained in the meaning of these various words, and then to use
the appropriate word for the relevant circumstances.
          
These words include cooperation, coordination, collaboration, and partnership.
          
COOPERATION

Cooperation does not require much depth of relationship from the parties
involved. Typically, a couple of people identify how what they are doing in their
organizations would benefit each other. They agree to share what they do, but
are not required to do anything differently. The activities engaged in are very
informal. No resources are transferred, and the life of those involved goes on
much as it has. This may be the initial point of developing relationships between
the involved organizations. A key element for initiating cooperation is personal
trust.

COORDINATION

Like cooperation, the depth of involvement between organizations is not
required to be great. The relationship tends to be more definitive with specific
protocols or conventions commonly being established. The business of the
various organizations does not change significantly. The number of people
involved in the process is increased, and the participants are more cognizant of
how their independent activities can be integrated for common benefit, or can
influence the work of another organization. This level of working together
requires more discipline and more formal structure in following the established
protocols. The importance of integrity of the various participants and their
activities becomes more apparent.

COLLABORATION

Collaboration introduces the concept of organizations coming together to create
something new, commonly a new process. Generally, the organizations bring a
business they already know well and identify how, by joint actions, they can
redesign a process to their mutual benefit. There must not only be trust and
integrity as a foundation, but the parties now need to understand the
perspectives of the other collaborators' self interest(s). This understanding
suggests a greater depth of involvement between organizations. It is not merely
exchanging information, but developing a sense of awareness for whom
the other parties are, what motivates them, and what they need out of working
together. Unlike cooperation or coordination, for the first time something new is
being developed through the relationship of organizations. Even with the
increased intensity of involvement, the various organizations retain their
independent identities.

PARTNERSHIP

Partnership is the bringing together of individuals or organizations to create a
new entity. This may be the extreme extension of collaboration. The depth of
involvement is reflected by a commitment referred to as ownership. No longer
are there independent organizations agreeing to work together on some initiative
as long as it is convenient. Nor is this a group of organizations buying into
someone else's plan. With a partnership, there is an agreement to create
something new which, through joint ownership, requires that the partners make
it succeed. One measure of success is whether the partnership makes all the
partners successful.

Distinguishing Features of Cooperation, Coordination, and Collaboration

While the words "cooperation," "coordination," and "collaboration" are often
used interchangeably, there are features that distinguish notable differences
between both the words and their applications. A summary of research on
factors that influence successful collaboration, developed by Martin Blank
(1992), is included in Figure 1 below.

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Figure 1 is not included in this ASCII plain-text file. To view this document in
its entirety, download the Adobe Acrobat graphic file(s) available from this
Web site.

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Beyond Traditional Collaboration

In issues affecting crime and victimization, there are several conventional
stakeholders: crime victims, service providers, and juvenile and criminal justice
officials and agencies (from law enforcement through the appellate process).
Today there are new and exciting partnerships forming between victims, their
allies, and disciplines whose foci include issues relevant to crime and
victimization. Victim advocates need to closely evaluate exactly who resides in
the orbit around victimization. These partnerships, while surprising in some
cases, offer new, important alliances in the fight against crime and efforts to aid
victims. They are identified below:

o Members of the clergy are often the professionals to whom victims turn
following the crisis of victimization. As such, clergy members are important
partners in any effort that seeks to help victims cope with trauma and loss. For
example, clergy members were key partners in the Colorado-Oklahoma
Resource Council (CORC) that was created to assist and support victims who
attended the Oklahoma City bombing/murder trials in Denver, Colorado in
1998.

o Mental health and public health professionals and agencies possess expertise
and resources that can assist victims of crime. When violence was cited as a
major public health concern by the Surgeon General, a variety of partnerships
emerged that combined the knowledge and practical experience of health
professionals with that of professionals in public safety and victim assistance. In
1998, the Centers for Disease Control provided a five-year grant to a
consortium of mental health and victimology researchers and practitioners to
form the National Violence Against Women Prevention Research Consortium. 
The Consortium fosters interdisciplinary research and resources among
researchers, practitioners, criminal justice agencies, and public health officials.

o Public policy makers have historically had a significant role in effecting
changes in laws that define and protect victims' rights. In recent years, state
legislators, state-level executive branch officials, and local elected officials have
worked closely with crime victims and advocates to forge public policy agendas
dedicated to victims' rights and public protection. In 1998, the Council of State
Governments Northeast Region (with support from OVC) sponsored a regional
symposium with representatives from ten states, including victims, service
providers, legislators, and justice professionals, to develop public policy
recommendations and action plans for their respective states, specific to
improving victims' rights and services.

o The news media wield tremendous influence over public policy and program
development in the disciplines of victim assistance and public safety. Timely
information about trends in crime and victimization, model programs, and
responsive public policy is available to concerned citizens, elected officials,
justice practitioners and victim advocates through the news media. In a number
of communities, informal partnerships have emerged through regular "bench-
bar-press" sessions, in which the news media and justice professionals
(which can include law enforcement, judges, prosecutors, defense attorneys,
and victim advocates) meet to discuss media coverage of trials and public
safety issues. These sessions often result in collaborative efforts to increase
responsible news media coverage and create avenues through which the media
have access to timely, accurate information for their stories.

o Researchers and practitioners in the field of substance abuse have much to
contribute to the discipline of victimology. Many crimes are committed while
offenders are under the influence of alcohol or other drugs, and many victims
(particularly of domestic violence) live in environments where substance abuse
is pervasive. Numerous research studies have shown that some victims use
alcohol, prescription drugs, and even illegal drugs following their victimization to
cope with trauma. Unfortunately, alcohol and other drugs are the stress reducer
of choice for professionals involved in high-stress occupations, such as victim
services. Collaborative efforts focusing on substance abuse treatment,
education about the devastating effects of alcohol and other drugs (particularly
related to crime and victimization), and drug abuse prevention offer meaningful
insights to the field of victim services.

These five examples are indicative of the types of natural allies who can join
together to improve victims' rights and services. Collaborative efforts such as
these can be developed at the local, state, and national levels as well as across
these jurisdictions. If an individual or entity is in a position to further the cause of
victims' rights and the provision of quality victim services, then they have a
rightful and meaningful role in collaborative networks and coalitions.

Collaborating for Victims' Rights and Services

There are a number of ways that crime victims, service providers, and allied
professionals work together at the local, state, and national levels, as follows:

o Fiduciary relationships primarily involve financial support from government
sources for victim services from the federal level to states and localities, and
from states to local jurisdictions.

o Public policy initiatives have led to the passage of over 30,000 federal and
state victims' rights statutes. Often, good ideas for laws cross over jurisdictional
boundaries. For example, when California passed the nation's first anti-stalking
statute in 1990, the other forty-nine states followed suit within eighteen months.
The strength of America's grass roots victims movement has also been
instrumental in organizing to support key federal initiatives, most notably the
proposed federal constitutional amendment, and the successful passage of the
Victims of Crime Act of 1984 and the Violence Against Women Act (VAWA)
of 1994.

o Implementation of victims' rights helps ensure that no matter where a victim
lives or what type of crime he or she has been hurt by, help is available. With
over 9,000 victim assistance programs operating in the public and private
sectors, and advocacy services provided by numerous national organizations,
collaborative efforts have strengthened crime victims' ability to understand and
seek implementation of their rights.

o Research initiatives are increasingly involving partnerships between
researchers and victim assistance practitioners. National and regional public
opinion surveys, research of specific victim populations, and focus groups have
been conducted by national, state, and local practitioners, with the results
guiding the development of innovative and effective approaches to victim
services.

o Training and technical assistance, with substantial leadership provided by
OVC, to develop curricula and training tools help increase professionals' and
volunteers' knowledge of victims' rights and services. Standardized training
programs have been developed for law enforcement, the judiciary, prosecutors,
institutional and community corrections, and juvenile justice professionals as
well as for allied professionals such as mental health and public health
practitioners, clergy, and educators.

o Information and referral services constantly cross jurisdictional boundaries to
provide timely resources and referrals to victims in every region of the nation.
The use of the Internet, national toll-free telephone numbers, and the U.S.
Department of Justice-sponsored Resource Centers have greatly enhanced the
ability to provide information and referrals to crime victims and concerned
citizens.

Challenges to Successful Working Relationships

Whether victim advocates cooperate, coordinate, collaborate, or partner with
allied professionals, volunteers, and communities, there are ten common
challenges that can hinder the success of these important working relationships:

1. Lack of a shared vision or mission. When people work together toward a
common goal, it should be clearly understood, easily communicated, and
shared by all involved parties. If a vision or mission is pre-established by an
individual or a small faction of a larger group, it may not achieve "ownership"
that is needed by the whole group to ensure success. It is crucial to take time
and process through a shared vision or mission with all stakeholders and
establish goals and objectives that are supported by all.

2. Lack of agreement about the problem or issue to be addressed. While
diversity is one of the essential elements of collaborative efforts, it also results in
differing and often unique perspectives about the basic issue that is being
addressed. In developing good working relationships, stakeholders must seek a
consensus that respects different views and opinions.

3. Lack of incremental successes on the pathway to an ultimate goal. Too often
people working together aim for one definitive goal that, in their view, connotes
success. It is necessary to determine incremental, smaller successes that can
help stakeholders ensure that they are headed in the right direction, and
evaluate possible alternatives along the way to the ultimate goal if warranted.

4. Egos. The concept of "turf wars" is not foreign to most victim advocates.
When such battles expand to incorporate even more stakeholders (and more
egos), the results can be highly damaging to collaborative efforts. All interested
parties must be willing to break down turf barriers and "leave their egos at the
door" in their mutual attempts to reach a common goal.

5. Lack of diversity among group members working toward a common goal. If
it is true that "great minds think alike," it is likely that "different minds think even
better." One of the greatest strengths of professionals and volunteers involved in
public safety issues is their diversity--by gender, age, culture, sexual orientation,
profession, socioeconomic status, and geography. The many different
viewpoints and perspectives of victim advocates and allied professionals are a
key asset to collaborative efforts and, without them, such efforts are doomed to
failure.

6. Not having the "right players" at the table. In many public safety initiatives,
often the victims and their representatives are missing from collaboration
forums. It is helpful to adopt a "global" view of the problem or issue that is
being addressed in terms of all the stakeholders who are affected: victims,
offenders, the community, system professionals, public policy makers, and the
like. If a person or group of people is affected by a problem, it is absolutely
critical that they be involved in developing a solution!

7. Lack of understanding and implementation of change management
techniques. Most working relationships seek change: in justice processes,
service delivery, and community involvement, to cite a few examples. If the
road to a solution does not address the specific changes that will occur as a
result and institutionalize these changes for the future, the outcomes will not be
successful in the long run. Managing change is one of the most difficult, yet most
important, elements of collaborative efforts.

8. Lack of resources. If time, level of commitment, and human or financial
resources are not adequate to achieve a shared goal, failure is likely.
Considerable attention should be paid to what type of resources are needed, at
what point, by whom, and for how long, throughout the collaborative process.

9. Lack of measures to evaluate success. As stakeholders in collaborative
processes begin their joint efforts, evaluation must be a key tenet of all their
activities. Stakeholders' vision, goals, and objectives should all be measurable in
concrete terms, and their plan should be flexible enough to accommodate
changes that result from evaluative data that show a need to change course.

10. Lack of understanding about victim trauma, rights, and needs. While most
collaborative efforts related to improving public and personal safety are well
intentioned, some lack an overall understanding of how victims are affected by
crime. It is important to incorporate training about victims' rights, needs, trauma,
and sensitivity into any collaborative initiative that addresses public safety
issues. The involvement of crime victims as active participants or advisors to
guide the planning and implementation of such initiatives is also helpful.

Collaboration: A Checklist for Success

While this chapter has offered a broad overview of the core elements of
successful collaboration, they can be easily summarized in the following twenty
points:

1. The problem(s) or issue(s) of concern are clearly defined.

2. All potential stakeholders and key leaders/change agents have been invited
to participate in the collaborative initiative:


o People who live with the problem.

o People who have power to change the problem.

o People who have the technical expertise to address the problem.

3. Diversity among stakeholders is sought and respected as a key tenet of
collaboration.

4. A mission or vision statement that identifies the critical problems or issues
and possible collaborative solutions is developed and shared by all key
stakeholders.

5. The problem or issue is analyzed to develop theories about why it is
occurring and what can be done to change the situation.

6. Possible strategies or solutions are brainstormed among key stakeholders,
with consensus built around the most sound approaches to problem solving or
intervention.

7. The consensus strategy is divided into strategic goals and measurable
objectives.

8. Goals and objectives are assigned an order of priority, with a sense of
urgency given to the highest priority issues.

9. Responsibilities for action are developed and assigned to the relevant
stakeholders, with clear understanding of the interrelationships among goals and
objectives.

10. A time schedule for completion of goals and objectives is developed that
includes tasks, persons responsible, deliverables, and deadlines. This should be
flexible, depending upon ongoing evaluation results (see #14).

11. If necessary, memoranda of understanding and/or interagency agreements
are drafted to clarify roles, responsibilities, and interrelationships needed to
accomplish the goals and objectives.

12. A list of resources needed for success is developed, which may include
research, evaluation, training, technical assistance, marketing, funding, public
policy development, direct outreach to core constituents, public education,
media relations, and technology enhancements.


13. Stakeholders involved in the collaborative effort assume responsibility
(often jointly) for developing and/or providing resources that have been
identified as critical to success.

14. Significant attention is paid to evaluation measures that can delineate
success or failure. Flexible approaches are in place to allow for revision of
original goals and objectives, based upon evaluation results (this is an ongoing
process).

15. Methods of ongoing communications and regular meetings for status
reviews are institutionalized.

16. A commitment to managing the change that results from the collaborative
initiative is institutionalized, with consensus on how stakeholders will each
educate their professional peers and volunteers about the positive aspects of the
change and help them adjust to the new policies, procedures, and/or programs
that result.

17. Small successes and achievements are celebrated, and barriers to success
are viewed as surmountable challenges.

18. An assessment of the overall collaborative effort is conducted, with
participation of all key stakeholders.

19. Recommendations for revising or "fine-tuning" ongoing strategies for
success, based upon the overall evaluation, are developed.

20. Efforts are made to identify other initiatives that could benefit from the
collaborative efforts of the key stakeholders involved in this initiative.

Leadership and Team Building

The real basic structure of the workplace is the relationship. Each relationship is
itself part of a larger network of relationships. These relationships can be
measured along all kinds of dimensions--from political to professional expertise.
The fact is that work gets done through these relationships. --Michael Schrage
in No More Teams 

Merriam-Webster Dictionary defines a team as "a number of persons
associated together in work or activity." This somewhat broad definition
encompasses the fact that teams can be professional, social, or a combination
of the two. While the outcome of many team efforts is most often defined in
terms of professional accomplishment, what must also be recognized and
emphasized is the value of teams in promoting social and interpersonal
relationships that strengthen the professional partnership and its success.

The success of any collaborative effort relies considerably on teamwork. When
individuals commit to a common goal and work together to achieve it, they
collaborate in a team approach for a common cause. They rely on expertise
and ideas from individuals that, when combined, hold collective promise.

When Are Teams Needed?

While there are many benefits to teamwork, it is important to recognize that not
every project or goal requires teamwork. There are eight core elements to
consider in deciding whether or not a team approach is appropriate or
necessary:

1. One person or entity cannot accomplish a goal alone. The adage that "no
person is an island" is, in itself, a critical reason for developing team approaches
to a problem or issue. When ideas and input from a variety of resources can
benefit a common goal, then teamwork is appropriate and necessary.

2. A project or goal is long-term and multi-faceted. The more complex a
project or goal is, the more likely it is that a team approach will be needed.

3. There are many different points of view on a specific subject that should be
considered. If everybody agreed on a chosen outcome and the route to achieve
it, then teams would not be necessary. However, there are often different
opinions and insights that can bring a fresh perspective and valuable resources
to a desired goal.

4. There are many different resources that can contribute to a successful
outcome. When teamwork is being considered as an option, the sponsoring
entity should consider not only the potential team participants as resources, but
the full scope of what they "can bring to the table," including time, energy,
commitment, new networks, new information, funding, and prestige, among
other contributions.

5. Time, person power, and resources are limited. In any instance where
resources are limited, a team approach should be considered to expand the
base of support, and to ensure that a chosen path to a goal will not fail simply
because of a lack of time and human resources.

6. Diversity is sought and valued. In the delivery of services to clientele, it is
vital to mirror the demographics and characteristics of the ultimate customers.
Diversity in gender, culture, ability/disability, profession, and geography
contributes to the development of programs, processes, and goals that
ultimately reflect the needs and interests of the client population.

7. A team sponsor seeks a culture of inclusion. Initiatives that overtly or
covertly result in exclusion create adversarial relationships, and are almost
guaranteed to fail. A "culture of inclusion" recognizes not only the diversity of
populations that will be affected by any given initiative, but also the value of the
wide range of input, ideas, expertise and resources that a culture of inclusion
creates.

8. The initiative or goal cannot succeed without a team effort. There are many
projects that can be accomplished by one or two people and, as such, team
approaches are not always required. However, when an ultimate goal or
desired outcome is dissected into objectives and tasks, and it becomes clear
that increased and diverse resources are needed for success, then a team
approach is recommended.

When Are Teams Not Needed?

Management consultant and author Robert Bacal (2000) believes that "teams
are not a panacea; neither are they useless. It is important to consider the entire
system of doing work to determine if team building, or a team-oriented
approach, is likely to justify the investment of time and effort needed."

In his article "When Teams Aren't Important or Desired," Bacal asserts that
"teams work within an organizational context that will either support teamwork
or discourage it. In some cases, other factors in an organization will totally
preclude effective teamwork, and can suggest that a team-based workplace is
inappropriate" (Ibid., 2). He identifies five factors that pose barriers to effective
teamwork:

1. Autocratic leadership/management.

2. Predominance of independent job tasks.

3. Rigidly structured hierarchal organization.

4. Preference for individual-based work.

5. Extremely unstable, chaotic workplace (Ibid., 2-6).

AUTOCRATIC LEADERSHIP/MANAGEMENT

Bacal warns against autocratic managers who decide to force people to work
in participatory teams. In such situations, teamwork becomes something that is
done to people by a manager or executive, resulting in the following outcomes:

o Team members sense the contradiction between participatory teams and
autocratic management. They don't believe the rhetoric of the leader regarding
his or her commitment to teamwork.

o There is a tendency for autocratic leaders to lack the skills needed to lead a
team, so that teams end up directionless and confused. Some autocratic
managers try so hard to "not be autocratic" that they refuse to give any hints as
to what the team is expected to accomplish. Other autocratic managers supply
such rigid constraints for teams that there is no point in having a team at all.

o Autocratic leaders tend to use elastic authority. While they make a game
attempt to "let go" of at least some power, they will quickly pull the elastic band
to remove any autonomy that a team has. This elastic banding confuses teams
since they can never tell what the bounds of their authority are, or they realize
it's all a sham, and they have no autonomy or power anyway--just the
appearance of it.

o When an autocratic executive leads an organization, this makes effective
teamwork at lower levels difficult, even though that work unit may have a more
participatory leader. The work unit team may work as a team until they notice
that someone "upstairs" is ignoring them, or rendering their ideas and work
irrelevant or useless.

What results is: loss of credibility for management; increased frustration on the
part of team members; difficulty in sustaining any team efforts; and difficulty in
achieving even simple team goals.

PREDOMINANCE OF INDEPENDENT JOB TASKS

Some tasks require teamwork, while some tasks are best done by a single
individual working alone. Some require a mix. If you have a predominance of
job tasks that are best done independently, then productivity can suffer if you
try to shoehorn them into a team situation.

Four criteria can be used to determine if any given task is best carried out by a
team or an individual:

1. When tasks are simple and repetitive, teams are unnecessary and may create
higher "overhead." Even if the overall task is complex but your organization
breaks it down into teeny discreet tasks, a team may be unnecessary. An old
style automobile assembly line is an example of a set of simple, discrete tasks
that, when combined, yield a complex product.

2. When tasks require little communication between those carrying them out,
putting them in a team context can result in reduced efficiency and frustration.

3. When the information needed to complete a task is held entirely by one
person, teamwork may disrupt the task.

4. When jobs are so unrelated that each job or task can be carried out without
the person knowing what another person is doing, teams may not increase
productivity.

RIGIDLY-STRUCTURED HIERARCHICAL ORGANIZATION

Almost every organization is structured in some hierarchical way. However,
organizations differ in terms of the rigidity of that structure. The more flexible
organization is characterized by increased delegation of authority to lower levels
of the organization, flexible communication paths, and decentralized decision
making. The more rigid organization demands that its staff work through
channels, refer most decisions to higher levels in the hierarchy, and restrict
autonomy as well as communication. As a result of this rigidness, decision
making (and action) take a great deal of time.

A rigid hierarchical structure restricts individuals, but also teams. Teams below
the "decision-making level" may work very effectively internally, but when they
are faced with obtaining approvals through "channels," their usefulness is
curtailed. First, the process is too slow to sustain team commitment. Second,
when teams realize that they have no authority to complete their tasks, they
back off, knowing that their work is not very meaningful. Third, rigid
organizations, by restricting communication, can limit a team's effectiveness by
reducing access to information that the team needs to succeed.

PREFERENCE FOR INDIVIDUAL-BASED WORK

Some people prefer to work in teams, while others have a preference for
working more independently, or alone. Moving to a more team-based
approach may actually reduce the effectiveness of people who thrive on a
higher degree of isolation, while at the same time increasing their frustration and
even anger. This will be the case if a team environment is perceived to "slow
them down," or reduce their autonomy. Not everyone wants to be a team
member. What this means is that an attempt to force them into a team structure
imposed upon them may be counter-productive, particularly if there are no
clear reasons for the team approach.

EXTREMELY UNSTABLE, CHAOTIC WORKPLACE

A final consideration is the relative stability of the organization, including its
structure, mandate, staffing, etc. It is unlikely that any team will be effective
when it must interface with different masters; when its role in the larger
organization constantly changes; or when its own membership is always in flux.
Teams need some stability to function well and effectively.

The Lifecycle of a Team Effort

In "The Lifecycle of a Successful Team," quality and change management
consultant David Hutton (1997) highlights steps needed to initiate and support
teams so that they succeed and deliver results. Hutton observes:

High-performing companies are usually very proficient in using team
approaches, and typically employ a variety of team structures to complement or
even replace the traditional organizational hierarchy. Some, such as Hewlett-
Packard, are systematically striving to reduce the cycle time for team efforts--
so that the gains can be obtained sooner and more team initiatives launched.

Hutton notes that "launching a team initiative is rather like launching an
expedition to the moon--many actions must take place correctly, each at the
appropriate time, for the expedition to accomplish its goal and for the crew to
return safely. Many of these actions involve people on the ground, rather than
the crew who go on the mission. Some minor malfunctions can be overcome by
a resourceful crew, but a major error will usually cause the mission to fail"
(Ibid., 1).

He analyzes the "lifecycle of a team effort" to determine the various actions that
are essential, and hence the various failure points. Figure 2 sets out the main
phases of a problem-solving or process-improvement team initiative, and the
key success factors at each phase (Ibid., 2):

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Figure 2 is not included in this ASCII plain-text file. To view this document in
its entirety, download the Adobe Acrobat graphic file(s) available from this
Web site.


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Hutton recommends utilizing these phases and related success factors as a
"checklist" for assessing which parts of a team lifecycle are working well and
which need improvement.

TEAM IMPLEMENTATION

Teams can be established for a variety of reasons. They can:

o Be informal as a means of facilitating ongoing communications among
professionals.

o Be formal in order to accomplish prescribed goals and objectives.

o Focus on a single purpose or project with a "beginning" and "end" that is
arrived at when the goal(s) are achieved.

o Address a variety of issues that require input and ideas from a cross-section
of participants.

o Be multifunctional and require participation from a cross-section of
professions and personnel.

o Be a combination of several of the above.

The professional who decides to implement a team approach--who will often
assume, at least initially, a leadership role in team development and
implementation--should have a clear idea about the reason for creating a team. 
While this initial reason may change as the team evolves, it is helpful to be able
to provide an initial "vision" to potential team members.

ESTABLISHING GOALS AND OBJECTIVES
          
The way to achieve success is first to have a definite, clear, practical ideal--a
goal, an objective. Second, have the necessary means to achieve your ends:
wisdom, money, materials, methods. Third, adjust all your means to that end.  
--Aristotle          

While the person who implements the team may have a general idea about team
goals and expected outcomes, it is important to solicit input and involvement
from team members to either validate or expand these draft goals, or to
develop new ones. In implementing teams, goals and objectives keep the group
focused, and augment the cohesive structure of the group.

Goals are "macro statements" about the reality the team is trying to create.
Goals take time to achieve. They are long term. Finally, goals need to be
realistic and specific (Marshall, 7 October 1999).

Generally, goals include a:

o Description of the overall project or proposal.

o Statement regarding the importance of the project to team members, as well
as populations that will benefit from its outcomes.

o Hypotheses about desired results.

o Timetable for completion of objectives and tasks.Designation of roles and
responsibilities for individual team members as well as the collective team.

o Resources needed to complete the goal, such as personnel, communications,
equipment, and money.

o Performance or evaluation measures to assess success.

An objective is a "micro statement" that provides a detailed and measurable
description of how each goal will be attained. A single goal may have several
objectives to achieve it. In addition, different objectives may have different team
members--or even "sub-teams"--assigned to accomplish them.

SETTING "GROUND RULES"

Similar to goals and objectives, ground rules should be established through a
group process at the onset of team development. While ground rules may differ
based upon the team's shared goal(s) and objectives, there are ten general
guidelines for ground rules that are common to most teams:

1. There will be respect for, and encouragement of, diversity of opinions and
ideas.

2. How will decisions be made, and by whom?

3. How will tasks to accomplish objectives be assigned?

4. How will tasks be accomplished, i.e., by individuals, sub-teams, the full
team, or a combination of the above, based upon the task?

5. How will "leaders" within the team structure be delineated, i.e., by
volunteering, by group consensus, etc.?

6. How will group members communicate with each other on an ongoing basis?

7. How will timetables be established?

8. What measures will be taken to address team members who fail to meet
deadlines, i.e., will there be "troubleshooters" to address delinquencies? Will
support be provided to team members who miss deadlines? How will chronic
delinquency in task completion be addressed?

9. How will conflicts be addressed?

10. What are overall team members' expectations of its individual members?

Once ground rules have been established, it is helpful to provide them in writing
to all team members, review them regularly to ensure they are being met, and
revise them on an "as needed" basis.

CHOREOGRAPHING TEAM MEETINGS

(The following section is adapted from "Choreographing a Meeting," Doing
Journalism Tip Sheets, by E. Miller, 1999, St, Petersburg, FL: Poynter
Institute.)

Pacing a meeting requires knowing when to propel certain people to center
stage, and when to move them off-stage and bring others forward. There are
distinct stages individuals and groups go through as they learn. Meeting leaders
need to manage those stages and draw out those personalities who are most
effective in each stage. Choreographing these roles will have a direct bearing on
the pacing (and success) of a meeting.

In this model, there are four stages of learning: reflecting, connecting, deciding,
and doing.

First, people reflect on a problem or situation, coming up with several thoughts
or options. They then make connections between the various bits and pieces of
reflection. This leads to decisions and subsequent actions.

But each stage requires different skills. For example:

o Reflecting needs "divergent thinkers" to brainstorm and fantasize.

o Connecting requires "connection makers" who can take two different ideas,
for example, and fashion them into a more useful third option not originally
considered.

o Deciding depends upon "convergent thinkers" who can synthesize options and
converge on a plan.

o Doing requires "accommodators" who can get things done.

Most everyone can play all four roles, but each of us has one area in which we
particularly excel. The success of a meeting depends on how well the leader
understands the personalities and skills of the participants, and puts those
individual strengths to work at the appropriate time. For example, if you want
to have a brainstorming session to cook up a lot of ideas, you need to stack the
meeting with "divergent thinkers," the best idea generators in any organization.
If you want a meeting to filter the raw ideas and come to some decisions about
what to do, the key players will be the "connection makers" and the
"convergent thinkers," the ones who can best synthesize and focus.

Finally, if you are designing a planning meeting on how to implement the ideas,
you want the "accommodators," the people who are best at figuring out how to
get something done.

Unfortunately, life is never that tidy. Invariably, you'll find all four types at any
meeting (or people who think they are good at all four roles). The challenge for
the team leader is to know how to let people play to their individual strengths at
the appropriate times. The "divergent thinkers" who surfaced all those
interesting ideas need to be shut down during the connecting and deciding
stages, or else they will clutter the process with more ideas you don't need.
Similarly, when you are entering a deciding stage, the "convergent thinkers,"
who are often shy and withdrawn in the face of the gonzo "divergent" types,
need to be coaxed onto center stage.

One tip: To cut down on digressions, ask people to silently hold up an index
finger when they believe the discussion is digressing. This signals that the group
must get back to the point and watch the clock. Try it--it works!

Characteristics of High Performing Teams

Robin Reid (1998) identifies sixteen characteristics of team members that
contribute to high performance. (Note: Reid's key points [italicized bulleted
items] are augmented by descriptions developed by this manual's authors):

1. Share a common purpose and goals. Team members must be involved in
developing a shared mission, purpose, goals and objectives. Without "buy-in"
from individual team members, the concept of a shared effort is lost, and
disagreements on team processes are likely to be exacerbated.

2. Build relationships for trust and respect. Often, team members come from
diverse backgrounds and bring many ideas and strategies to the common team
table. Permission and encouragement must be given to participate, and team
members' involvement at every level must be validated as valuable and
important, regardless of potential disagreements.

3. Balance task and process. The "process" of team building and management
must be broken down into manageable tasks. While the ultimate goal is team
consensus and collaborative outcomes, it is crucial to recognize that a number
of tasks--performed by a number of individuals with varying degrees of
expertise, opinions and resources--is necessary for success.

4. Plan thoroughly before acting. A team without a plan is like a film without a
script. And as in film making, there are a wide variety of talents that are needed
for the final movie to be produced, disseminated, and enjoyed by the
multitudes. A team leader must be careful to bring planning ideas and processes
to the collective "team table" without dominating the planning process, and with
a goal of providing plenty of opportunity for individual team members'
contributions to the planning process.

5. Involve members in clear problem-solving and decision-making procedures.
The simplest path for a team leader to take in problem solving and decision
making is to "do it myself." It is also a clear path to destruction of team values,
participation, and eventual outcomes. While all team members are not always
involved in the creation of problems and the rendering of decisions, they are
ultimately affected by the results. As such, an environment of inclusion in
problem solving and decision making should be created and nurtured.

6. Respect and understand each others' diversity. Differences in team members'
ideas and approaches--as well as demographics such as age, gender, culture,
disability, geography, profession, and experience--must be valued as assets,
and never perceived as barriers.

7. Value synergism and interdependence. Team dynamics and ground rules
must emphasize the importance of "the sum of two equals," i.e., that the
independent ideas and input from individuals, when combined with others, can
create new, important, and innovative approaches that benefit the collective
team.

8. Emphasize and support team goals. While consensus among team members
for all team goals and expected outcomes is not essential for success, it is
helpful. Individual team members should be provided with the opportunity to
contribute to the initial development of overall goals, as well as making
revisions, as needed, based upon team processes and incremental outcomes.

9. Reward individual performance that supports the team. "Team spirit" can
sometimes preclude recognition of individual achievements that contribute to the
overall "spirit." Team processes that reward individual achievement help
recognize contributions; establish standards for achievement; and provide
encouragement for team members to continue wanting to contribute to the
overall team effort.

10. Communicate effectively. Standards and guidelines for group
communications should be established. While some team members may not
want to be "inundated" with information that they consider to be irrelevant to
their individual goals and tasks, others want to be kept "in the loop" on all team
communications. Electronic communications via web sites and e-mail ease the
process of overall team communications. However, it is critical to establish
individual preferences for information sharing and team communications as a
component of establishing team "ground rules."

11. Practice effective dialogue instead of debate. The key difference between
"dialogue" and "debate" is respect--respect for others' opinions, ideas, and
input. A focus on commonalities, rather than differences, can help create
opportunities for constructive dialogue that do not disintegrate into ongoing
disagreements.

12. Identify and resolve group conflicts. Small conflicts that are not addressed
quickly turn into significant problems that can affect team relationships,
processes, and outcomes. Team members should agree up front to identify
anything that even remotely resembles a potential conflict, and permission must
be given for all team members to participate in conflict resolution processes.
Guidelines should be established that create a team commitment to avoid "staff
infection," i.e., individual team members taking sides in a conflict, creating
divisions among the team members, and exacerbating the initial conflict into a
potentially unmanageable situation.

13. Vary levels and intensity of work. Team plans and processes must identify
and respect each team member's workload, within and beyond the
confinements of the team. No single team member should be expected or
allowed to shoulder the bulk of the work needed to complete a task, objective,
or goal. The interdependency of individual team activities should also be linked
to the overall success of the team endeavor, i.e., one team member's activities
are often intricately linked to the outcomes or success of another's.

14. Provide a balance between work and home. Avoidance of individual and
team stressors are closely linked to a balance in work/team demands and other
aspects of team members' lives.

15. Critique the way they work as a team, regularly and consistently. Ongoing
review of individual and collective goals, objectives, and expected outcomes
help create an environment of flexibility, and allow for revisions in "original
game plans," if or as needed. Critiques are never the function of one individual;
rather, they should be expected and solicited from all team members.

16. Practice continuous improvement. The adage "practice makes perfect" is
reflected in this characteristic of a high performance team. "Practice" of different
ideas, approaches and processes contributes to both individual team member,
and overall team, improvement.

Characteristics of a Strong Team Leader

While the principle elements of good leadership are addressed extensively in
Chapter 1 of this manual, a strong team leader should possess the following
characteristics:

o Commitment to excellence.

o Commitment to success, but willingness to accept failure with dignity.

o Willingness to learn and grow through the team process.

o Knowledge of group dynamics--"the good, the bad, and the ugly."

o High expectations of oneself and one's ability to lead.

o Positive thinking.

o Highly organized, or able to ask for support in maintaining the team
cohesiveness.


o Strong conflict identification and resolution skills.

o Sense of humor.

o Capacity and willingness to mentor other team members.

THE TEAM LEADER AS "MENTOR"

Each one, teach one. --Author unknown.

The exhaustive literature on teamwork emphasizes that every individual has the
capacity to lead. Some people are thrust unwillingly and unexpectedly into
positions of leadership; examples of victim activists who become strong leaders
as a result of their personal experiences as crime victims abound. Some people
lead when there is nobody else to "step up to the plate." And some people
become leaders because another person with strong leadership capabilities
takes time to cultivate their motivation and skills as a leader.

In a team environment, mentoring is essential for the survival of the team, as
well as for the future of the disciplines represented by team members. Persons
in positions of power often become overwhelmed by their responsibilities.
Leaders can burn out, change jobs, seek more balance in their lives that
precludes high levels of professional activities, and retire. Without ongoing and
effective mentoring, a significant void results.

How can team leaders mentor other team members?

o Motivate others by example: Remain committed to the team's goals and
objectives; always have a positive attitude; and complete assigned tasks on time
and with enthusiasm.

o Expect great things from themselves and other team members, and be willing
to provide support, encouragement, and nurturing to help other team members
reach their goals.

o Never give up! Once the team establishes goals and expected outcomes, a
strong mentor will do everything possible to support team members individually,
as well as collectively, to attain them. Milestones on the road to success will be
celebrated, and setbacks will be addressed in a positive and constructive way.

o Two-way communications are essential and continual. The mentor must be
open, honest, and forthcoming with team members. Opportunities for new ideas
and input from proteges are encouraged and welcome.

o Organize the team to be successful and, in addition, to demonstrate
organizational skills by example. Trust that other team members will help "keep
the wheels rolling," and be prepared to provide support and encouragement to
those that are having trouble.

o Respect individuals and individual differences. "Model" this attribute by having
self-respect and not being afraid to show it!

o Share their vision, ideas, expertise, and resources with team members, and
encourage them to do likewise.

Characteristics of High Performing Team Members

What constitutes a strong "team player"? The prolific literature on successful
teams offers significant insight as to the characteristics of a high performing team
member. They can be summarized in the following twenty points that provide a
strong foundation--as well as a simple "checklist"--for individuals who seek to
be successful team members:

As a strong team player, I--

o Will commit only to activities that I can accomplish with my knowledge, time
and resources.

o Will "not bite off more than I can chew."

o Will ask for help from my fellow team members when I need it.

o Recognize that when I commit to a team task or goal, others are reliant on me
to accomplish this activity for their own success.

o Am always willing and able to lead, and always willing and able to follow.

o Am flexible as an individual, and as a team member.

o Appreciate "strength in numbers" as well as the individual contributions that
create that strength.

o Can benefit from getting to know my fellow team members as people and
professionals, and recognize that building personal and professional
relationships should be an individual as well as team goal.


o Help and support my fellow team members.

o Can learn from the experiences and expertise of my fellow team members.

o Need to leave my ego at home.

o Bring strong skills to the team table that can be augmented by my team
members' expertise and experience.

o Must be willing to seek out new skills and resources that contribute to my
own personal growth and development as well as that of my team.

o Am willing to take risks, without jeopardizing either my own integrity or that
of my team.

o Respect diversity of people, processes, and opinions.

o Commit myself to cooperate, not compete, with my fellow team members.

o Will be willing to bring my perceived conflicts out in the open so they can be
addressed by the team in its entirety.

o Will not hold grudges if a team conflict is not resolved to my liking, and will
recognize that conflicts can result in personal and professional growth for me as
well as my team.

o Must be willing to consistently evaluate my own contributions to and
participation in team processes, as well as the overall team accomplishments.

o Seek, recognize, validate, and celebrate both individual team members as
well as overall team successes.

Virtual Teams
          
(This section is derived from a speech given by Lisa Kimball at the Team
Strategies Conference sponsored by Federated Press, Toronto, Canada,
1997.)

Teams aren't what they used to be.

The nature of teams has changed significantly because of changes in
organizations and the nature of the work they do. Organizations have become
more distributed across geography and across industries. Relationships
between people inside an organization and those previously considered outside
(customers, suppliers, managers of collaborating organizations, and other
stakeholders) are becoming more important. Organizations have discovered the
value of collaborative work. There is a new emphasis on knowledge
management--harvesting the learning of the experience of members of the
organization so that it is available to the whole organization.

All these changes in organizations have changed how teams are formed and
how they operate. The following table outlines the fundamental changes teams
have undergone in today's workplace environment:

----------------------------

Figure 3 is not included in this ASCII plain-text file. To view this document in
its entirety, download the Adobe Acrobat graphic file(s) available from this
Web site.

----------------------------

Although the technology that supports these new teams gets most of the
attention when we talk about virtual teams, it's really the changes in the nature
of teams--not their use of technology--which creates new challenges for team
managers and members. Managing a virtual team means managing the whole
spectrum of communication strategies and project management techniques as
well as human and social processes in ways that support the team.

Some of the things that need to happen in order for organizations to make
effective use of virtual teams include:

o Processes for team management and development have to be designed,
defined, piloted, tested, and refined.

o Team managers have to be trained in new team management strategies.

o Team members have to be trained in new ways of working.

o The culture of the organization has to be reshaped to support new structures
and processes.

o Organizational structures have to be modified to reflect new team dynamics.

o Reward systems have to be updated to reflect new team structures.


o New information technology (IT) systems have to be built to support teams.

o New management, measurement, and control systems have to be designed.

A NEW MANAGEMENT MINDSET

The following are some aspects of a virtual team manager's mindset which must
shift in order to be effective in contemporary organizations (Metasystems
Design Group and Catalyst Consulting Team):

----------------------------

Figure 4 is not included in this ASCII plain-text file. To view this document in
its entirety, download the Adobe Acrobat graphic file(s) available from this
Web site.

----------------------------

Different media raise different sets of questions for managers, which are
highlighted in Appendix D-6, Virtual Teams.

TECHNOLOGY FOR VIRTUAL TEAMS

Different communication technologies can be used to support different purposes
and participants. Many organizations are using their corporate Intranet to
support communication within each virtual team. It's also important to manage
the communication among the teams as well as communication between the
organization and other stakeholders. Creating an integrated communication
strategy that addresses all these dimensions is important.

There are no rules for what an Intranet must include, but most Intranets employ
a suite of applications, including:

o Web pages to provide members of the organization access to documents that
can be searched, and that may include text, graphics, and multi-media.

o Web conferences to provide places for interactive discussion.

o E-mail (both internal and, if desired, connected to the public Internet).

o Directories of people and offices.

Note: Additional team-related communication technologies utilized, for
example, by victim assistance organizations include compressed video and/or
satellite teleconferencing for distance learning, audio conferencing for team and
training initiatives, and list serves or user groups that share electronic
communications based upon a common interest.

STRATEGIES FOR SUPPORTING VIRTUAL TEAMS

Virtual teams form and share knowledge based on information pulled from
individual members, not a centralized push. Knowledge-based strategies must
not be centered around collecting and disseminating information, but rather on
creating a mechanism for practitioners to reach out and communicate to other
practitioners.

The goal is to find ways that support the transformation of individuals' personal
knowledge into organizational knowledge. That goal requires designing
environments where all the individuals feel comfortable (and have incentives) to
share what they know. It's important that this activity not feel like a burdensome
"overhead" task, which is why doing it in the process of what feels like an
informal conversation works well.

In order to have productive conversations among members of virtual teams,
you need to create some kind of common cognitive ground for the group. Even
teams from the same organization can have a hard time developing
conversations deep enough to be significant without some kind of specific
context as a beginning frame. Contexts can be created by guest speakers,
training courses, requests for input to a specific project or question, and special
events.

Managers of virtual teams can support their teams by:

o Recognizing them and their importance.

o Encouraging members to explore questions that matter, including questions
about how they are working together.

o Supporting the creation of some kind of shared space (the feeling that there is
an infrastructure where people are working together).

o Facilitating the coordination of the technology, work processes, and the
formal organization.

o Recognizing reflection as action and as legitimate work (getting the
infrastructure of the organization to support the learning process).

o Supporting activities that make the informal network visible.

Conclusion

The very foundation of victim assistance is based on the concept of "people
reaching out to people"--in times of need, in times that require a "chorus" rather
than a "solo performance," and in times that recognize there is, indeed, "strength
in numbers." The value of collaboration, partnerships, and team initiatives is
clear. With the knowledge gained from this chapter, the challenge to the leader
is to recognize and overcome barriers to collaboration and team building, and
demonstrate "team leadership" by always being a strong "team player," knowing
that his/her efforts will result in the "strength in numbers" necessary to promote
victims' rights and services, as well as public safety.

References

Bacal, R. 2000. When Teams Aren't Important or Desired.
<www.themestream.com>.

Blank, M., et al. 1992. Collaboration: What Makes It Work? A Review of
Research Literature on Factors Influencing Successful Collaboration.
Minneapolis, MN: Amherst H. Wilder Foundation.

Hutton, D. 1997. The Lifecycle of a Successful Team. Ottawa, Canada: David
Hutton Associates.

Keiser, G. 1998. Types of Working Relationships. Washington, DC: National
Institute of Corrections.

Kimball, L. 1997. Speech. Team Strategies Conference sponsored by
Federated Press, Toronto, Canada.

Marshall, J. 7 October 1999. Developing Goals and Objectives. San Diego
State University:
<http://edweb.sdsu.edu/Courses.EDTEC532/jobaids/Design/goals.html>.

Metasystems Design Group and Catalyst Consulting Team. Boundaryless
Facilitation, paper based on joint inquiry.

Miller, E. 1999. "Choreographing a Meeting." Doing Journalism Tip Sheets. St,
Petersburg, FL: Poynter Institute.


Reid, R. 1998. Characteristics of High Performing Teams. Reid Moomaugh &
Associates, <http://www.improve.org/team1/html>.

Additional Reading

Burnley, J. N. (now J. N. Sigmon), and M. A. Murray. 1997. Restitution
Reform: The Coordinated Interagency Approach. Washington, DC: U.S.
Department of Justice, Office for Victims of Crime.

Hinzman, G. 1994. Reciprocal Forbearance: How to Collaborate and Be
Successful. Cedar Rapids, IA.     

National Crime Prevention Council (NCPC). 1994. "Working as Partners with
Community Groups." Bulletin. Washington, DC: U.S. Department of Justice,
Bureau of Justice Assistance.
          
----------------------------

Chapter 5. Essential Skills for Leaders: Facilitation of Change

Abstract

The discipline of victims' rights and services has witnessed significant changes
since its inception thirty years ago. The ability to anticipate and facilitate
change--and to grow positively from the experience of change--are vital skills
for leaders, and affect how an organization will adapt to both uncertainty and
opportunities. When leaders successfully manage change, they create positive
opportunities for their organizations, staff, and allied professionals as well as for
themselves.

Learning Objectives

Upon completion of this chapter, students will understand the following
concepts:

o General assumptions about change as a driving force in the discipline of
victims' rights and services.

o The internal and external factors that affect change, and how to address
threats and resistance to change.

o Qualities needed for a strong "change agent."

o Change management techniques and tools.

Introduction

(This chapter is updated from "Change Management" written by Anne Seymour
in 1998 and published in the Promising Practices and Strategies in Technology
to Benefit Victims, published by the National Center for Victims of Crime with
support from U.S. Department of Justice, Office for Victims of Crime.)
                    
To improve is to change; to be perfect is to change often. --Winston Churchill    

If there is one thing leaders can count on facing, it is change. The world is
changing by the minute and it is imperative that leaders have the courage,
flexibility, and resources necessary to guide and facilitate their co-workers and
organizations through the virtual nonstop wave of change that is an essential and
unstoppable component of everyday life. Change can take place within an
organization in the form of budget cuts, personnel changes, or changes in the
leadership structure. Change can occur from without through changes in the
economy, developments or breakthroughs in work related to the organization's
mission and goals, or a reduction in funding for projects or positions. The
potential sources of change are limitless, but the way change is handled and
facilitated can be steadfast, consistent, reassuring, and positive. An absolutely
crucial role of any leader is to set the pace for how change, of any type, will be
handled by the individuals s/he is leading.

The victims' rights discipline is all about change. Just a quarter of a century ago,
victim services were virtually non-existent. Three organizations were founded in
1972 in San Francisco, St. Louis, and Washington, DC, to change how victims
were viewed and treated by the justice system. It is a tribute to the resiliency of
this discipline that all three pioneering organizations are not only in existence
today, but also remain strong and determined to continue their efforts to help
crime victims.

In the early 1970s, there were few entities devoted to promoting victims' rights
and services. Today, there are over 10,000 in communities large and small
across the nation. During this same period, there were a handful of laws that
defined and protected victims' rights. Today, there are over 30,000 statutes on
the books at both the state and federal levels, which specify victims' rights and
define victim assistance within the criminal and juvenile justice systems and in
communities. Attitudes that twenty-five years ago blamed victims for their
crimes have been significantly altered, resulting in attitudes that focus blame
appropriately on the offender who chose to harm another person. Each year
supportive services are provided to the countless individuals and communities
who are victimized by crime and delinquency.

Change as a Driving Force for Victims' Rights and Services

The victims' rights discipline has not only adapted to significant change but,
indeed, has propelled it. An historical assessment of the field shows little
planning or change management in the early days. Individuals were driven by
personal pain and indignity--what one longtime victim advocate calls "the power
of the personal story." National associations (e.g., Mothers Against Drunk
Driving, Parents of Murdered Children, the National Center for Missing and
Exploited Children, and the National Center for Victims of Crime) grew rapidly
out of grassroots efforts that resulted from a single crime in which victims were
treated poorly or ignored,. Ad hoc coalitions formed around specific victim-
related issues, such as domestic violence and sexual assault, then grew into
public policy and education initiatives that form the crux of victims' rights today.
However, such drastic change was not without its negative side effects:

o Professionals and volunteers burnt out early and left the field.

o Well-meaning grassroots organizations--"all heart and little structure"--
opened and then closed their doors.

o Competition for limited funding abounded.

o Relationships and partnerships were fractured, some permanently.

o Disagreements about the best approaches for victims' rights and services--in
terms of both legislation and service delivery--were common.

Aid for Victims of Crime Executive Director Ed Stout notes that change within
the discipline of victims' rights and services has occurred in two different ways:

1. Planned changes: The creation of the victim impact statement in 1976 by
then-Chief Probation Officer James Rowland of Fresno to give victims a voice
in sentencing hearings; the nationwide movement to pass state constitutional
amendments; the legislative initiatives that began as a good idea in one state and
quickly swept to passage in other states.

2. Unplanned changes: The victim services and programs that are initiated
primarily because of new grant funds available; the initiatives that result from a
high-profile victim case that generate the introduction of new laws or the
creation of new direct services.

Stout maintains that "the 30 years of history in our field has taught us that we
can be a powerful, constructive force for change, if we plan it and take control
of it, but not if we let it happen and react to it after the fact."

In the 21st century, victims' rights and services are neither a passing "fad" nor a
rebel movement. Instead, with its roots deeply imbedded in the grass roots of
action and activism, and an infrastructure supported by laws and ongoing
funding resources, the victims' rights discipline in the United States is becoming
institutionalized. Significant initiatives today focus on strengthening existing
efforts, entities, and partnerships that improve victims' rights and services, while
harnessing the power of additional individuals and innovations to meet the ever-
increasing needs of victims and witnesses of crime.

The "individuals" are professionals and volunteers--including victims of crime--
who join forces to make a positive difference in crime prevention, victim
assistance, crime control, and community safety. The "innovations" consist of
new approaches that make the job of victim assistance and support easier and
more manageable; new partnerships that recognize tremendous common
ground in victim assistance and community safety; and new technology that
improves management information, expands victim and public awareness, and
enhances victims' rights such as notification, restitution, protection, and input.

While there are considerable inherent benefits in the new approaches,
partnerships, and technologies that benefit victims of crime and those who serve
them, there are also significant challenges--how to identify and overcome the
barriers to planning and implementing new, collaborative, and creative initiatives
that help crime victims while increasing the benefits to victims, agency
professionals, the criminal and juvenile justice systems, and the public. This
process is called change management.

While this discipline has successfully created and, in some instances, forced
considerable, positive change to occur, the combination of people,
partnerships, and technology offers opportunities to increase both the speed
and scope of future change. Managing such change in a consistent, systemic
manner, however, is a skill that must be studied and honed.

General Assumptions about Change

There are six general assumptions about change that are relevant to victim
advocates and allied professionals:

1. The rapid nature of change within the fields of victim assistance, criminal and
juvenile justice, and allied professions has significant implications for victim-
serving agencies. While some changes sought by the victims' rights discipline
seem to take forever to make (for example, the fifteen-year effort to pass a
federal constitutional amendment), more often change occurs quickly and often
spreads in epidemic proportions. When researching and designing new
innovations in victim assistance--such as laws, technological applications, or
promising practices--victim service providers must keep apprised of current
research, assessments, and evaluation data that are relevant to the long-term,
rather than simply seeking "quick fixes" to current problems.

2. Change is most often viewed in how it will affect or improve processes.
What is erroneously overlooked is the effects of change on people. The
processes of change simply provide tools that enhance the capabilities of human
beings. The often mind-boggling changes that new approaches, new
partnerships, and new technology can bring affect the people whose efforts they
augment. When organizations focus solely on processes, and ignore the people
affected by the changes (who often are responsible for enacting new
processes), they are doomed to failure.

3. Change is not linear. Change is most often multi-tiered, complex, interactive
with, and dependent upon a variety of forces (both internal and external to
individuals and agencies). Victims' rights and services have never operated in a
vacuum. The interdependencies among victim advocates, justice professionals,
community representatives, public policy makers, and other key stakeholders
all contribute to this discipline's success and, in some cases, its failures. The
change an individual or entity is going through must be placed in the larger
context of other changes that simultaneously occur (some of which may be
related, and others that are not).

4. Often, when agencies focus on change through new approaches,
partnerships and/or technology, they ignore other changes that are occurring
within the organizational context that can affect the "change of focus." The
changes brought through new innovations can have unexpected "side effects" in
personnel, programs, and policies. Unless these subsequent changes are
validated and addressed in a timely manner, the change of focus may be
challenged.

5. Change is consistent and constant. For change to be facilitated, the change
agents and processes must also be consistent and constant. Essentially, change
is seldom a short-term process. It requires consistency and adaptability from
both managers and staff, with an eye toward "the long term" that is clearly
articulated by a mission and vision.

6. Change must be articulated in advantages and benefits for the individual, the
organization, and the discipline of victims' rights. In most cases, agency
administrators and leaders in new partnerships and programs have a clear vision
for what they hope to accomplish. Yet--unless this vision is validated and
shared by agency staff and key stakeholders, it will rightfully be challenged.

Guiding Principles for Facilitating Change

Change management consultant and author David Hutton believes that "in
supporting change, the game plan is important, but many decisions are required
day by day that can help make or break the process. The figure below
highlights key principles for facilitating change identified by Hutton (1997, 9-
10):

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Factors Affecting Change

In order to facilitate change, knowledge about factors that directly affect change
is essential to success. These can usually be segmented into external factors and
internal factors.

The key to effective change management is to understand and incorporate all
identified factors affecting change into research, planning, implementation, and
evaluation processes. It is also essential to identify factors that are manageable
only through collaboration with other entities (external factors), along with those
that occur within an organizational context (internal factors).

EXTERNAL FACTORS AFFECTING CHANGE

o Development of or revisions in state laws, judicial rules, and interagency
policies or agreements are often needed to evoke change, and must be
identified and addressed in the early planning stages. Indeed, laws, rules, and
policies often form the very foundation of change. An entity's time line for
change can be thrown off course if it is necessary to institutionalize such change
through legal or policy processes.

o There are countless applications of interesting innovations that may or may
not fit an agency's needs. Some ideas or programs look and sound good, but
are not entirely applicable to the problem(s) an agency is trying to address.
Extensive research (which takes time) is needed to match an organization's
current and projected needs with change applications; it must be determined if
the new program or approach is relevant and/or adaptable to meet not only
existing, but changing needs.

o Some victim service providers have had limited experience dealing with the
core requirements of change, which can include research, evaluation,
assessment, strategic planning, and formation of ongoing partnerships.

Some allied partners who are necessary for change to occur--such as justice
professionals, mental health providers, schools, the faith and business
communities, and community members--may have limited knowledge of victim
issues, and require information and education about the myriad topics related to
the change that is seeking to be achieved.

o Other agencies with which an entity must integrate to implement change can
pose a challenge to its implementation. For example, if a victim service agency
is seeking to improve restitution management, it will rely on law enforcement to
inform victims of their right to restitution; prosecutors to request restitution and
victim/witness professionals to help victims document losses; judges to order
restitution; probation to include restitution in pre-sentence investigation reports,
and manage the collection and disbursement of payments; and offenders to be
informed of their obligation to pay restitution as a component of accountability.

When other agencies are required to provide or share information and data
applicable to a new initiative, several issues need to be addressed:

--Who "owns" the data?
--Who has access to the data (which is especially significant in addressing
victim and/or offender confidentiality issues)?
--Do common data elements exist for the purposes of technological
applications, or must they be developed?
--Are there policies and procedures to guide information sharing and integrated
systems?

o The level, types, and scope of funding available to research, develop,
implement, and evaluate new approaches to victim assistance will affect both
the speed and scope of change.

o The ongoing needs/demands of victims/clients seldom diminish as an
organization goes through the change process. Personnel or program
assignments often must be adapted to accommodate the change. For example,
several victim service agencies have experienced problems when a staff
member whose primary responsibility is direct victim service gets reassigned to
focus on technology and the agency's management information systems. While
the expected outcomes are reduced workloads for everyone, the change
process requires an ongoing reassignment of that person's workload to other
staff in order to implement the change.

o Prescribed measurements of success and effectiveness resulting from new
programs or approaches often change. For example, as justice professionals
begin to develop "victim-centered" approaches to their work, the "old"
measurements of success--which have traditionally been offender-focused--
change to incorporate new victim-specific measures, i.e., number of victims
who are notified; number of victim impact statements that are solicited and
collected; amount of restitution that is ordered and collected; and the number of
inter-agency referrals that are requested by, and/or offered to victims.

INTERNAL FACTORS AFFECTING CHANGE

o Most victim-serving agencies have a clearly defined "culture" that has
emerged over time. The elements of culture, while varied among organizations,
are related to a variety of issues and practices, including but not limited to:

--Shared values centered around the provision of victim services.
--Staff relationships (healthy and unhealthy).
--Commitment to agency principles.
--Communications (both formal and informal).
--Agency policies, procedures, and protocols that define program
implementation.
--The agency's expectations of staff, and how meeting such expectations is
measured.

If a proposed change cannot be structured to adapt to an agency's culture, then
the culture must change to accommodate the change. As noted author and
psychologist Daryl Conner noted in Managing at the Speed of Change (1992),
"Whenever a discrepancy exists between the current culture and the objectives
of your change, the culture always wins."

o Staff's knowledge about new programs and approaches, and their
applications to their agency, is often varied. Efforts must focus on addressing
such "learning curves" in order to obtain an equilibrium of expertise.

o Staff turnover affects the change process, particularly when staff leave as a
result of being unable to adapt to change.

o How (or if) staff communicate on an ongoing basis figures significantly in
change processes. Agencies must incorporate formal communications
measures--such as meetings, memos, written policies, staff training, internal e-
mail, and internal agency publications, to name a few--with more informal
communications, such as conversations by the water coolers and gossip.

o If internal political conflicts exist, it is likely they will not be erased by change
processes, but exacerbated.

Historical and current expectations of individual staff members, agency
leadership, the organization, and the discipline of victims' rights must be
considered throughout the change process. Will new policies, programs and
practices disrupt staff expectations? How will the "status quo" be affected? Can
expectations grow, or will they be diminished?

o Funding can be both an external and internal factor in the change process.
The internal effects result from questions such as:         

--Is this a good investment for the short- and long-term for our agency?
--Will jobs be lost or severely modified as a result of the proposed change(s)?
--Where will the initial and ongoing funding come from to support this effort?
--Why are we funding this new program or approach in the first place when
funding for existing programs and services is so limited?

o Flexibility is a key factor to change, and comprises a "two-way street" in the
context of new programs or approaches. Can the new program be adaptable to
the needs of staff and clients? Can staff be adaptable to the changes brought by
the new program? Flexibility must be facilitated as a core value of any change
proposed or sought by an organization.

OVERLAP OF INTERNAL/EXTERNAL INFLUENCES

The external and internal factors cited above can simultaneously affect change.
While there are seldom predictable patterns to factors affecting change, the one
constant is that "change is not linear." A key to controlling negative factors
affecting change, and encouraging positive factors, is to recognize the possibility
that each may exist. When planning for change, the wide range of factors that
might affect change should be identified. Furthermore, change agents should be
aware that real influences are often less significant than perceived influences,
i.e., what staff and stakeholders think might happen can be more serious than
what could happen.

Threats to Change

Threats or challenges to change emanate from two frameworks: individual and
organizational. Both are equally important to address in planning for and
facilitating change. And both are often interrelated to the point of "triggering"
additional threats that overlap between the personal and professional.

How can these threats become advantages to change managers? The answer is
quite basic: When possible threats to change are identified, validated, and
addressed in the planning and implementation processes, they can be muted or
even eliminated.

The following possible "threats" to change are based upon personal and
organizational challenges that are evident from the history of the victims' rights
discipline in America. While there are undoubtedly many other challenges to
change, this list offers a framework that is specific to victim-serving agencies.

PERSONAL/INDIVIDUAL

o What's in it for me?

--New knowledge and skills?
--Expanded career opportunities?
--Does the proposed change fit my personal frame of reference?

o How much control do/will I have through the change process?

o Will I have input into the changes affecting my job, career, and organization?

o Do I view the transformation that change will bring as viable and/or even
possible?

o Will I lose my job?

o Will my job requirements change?

o Will some co-workers have new advantages resulting from the change that I
won't have?

o How will (or will) this make my job easier?

--Is there a development curve that requires extra work "up front," with the
benefits perceived as being far in the future?

o Will our staff structure remain the same?

--Who's in charge?
--To whom do I report?
--Does "teamwork for change" equate to equal status among employees?

o Will there be significant differences in how my performance is
measured/evaluated?

o Will I receive adequate training to utilize, participate in, and facilitate the
proposed changes?

--Orientation.
--Continuing education.
--Mentoring.
--Skills building.

o Who will have input into and access to the information that, until now, has
been my responsibility?

o If specific staff are assigned to plan and implement new programs, policies, or
practices, who will assume their existing workload?

o Are there new rules for confidentiality and information sharing? If so, how will
they affect my workload?

o If the change involves technology, will that technology eliminate or diminish
the "human touch" that is core to a victim-serving agency?  

ORGANIZATIONAL

o Do we really need this new program, policy, or practice?

o How are (or even are) staff motivated to accept this change, and be part of
its transition?

o Are we prepared for the introduction of this proposed change?

--Organizational readiness.
--Individual readiness.


o What are the ultimate goals and objectives of this effort, i.e. "the big picture"?

o Who is making the decisions? How difficult is it to get a decision made about
this program's application to staff, clients, the agency, and allied professional
agencies?

o Will funding for this new concept take away from funding for our existing
victim services?

o Are other victim service or allied justice agencies buying into this new
approach? Is there a need to "keep up" with allied professionals in enhancing
victim services through this approach?

o Does our agency have the collective resilience needed to maintain and/or
regain its equilibrium through the change process?

Resistance to Change

If individuals or organizations are threatened by change, resistance is a
predictable outcome. Change agents need to understand the underlying causes
of resistance in order to better prepare for and address its effects.

Common resistors to change within a victim service organization might include
the following:

o Comfort with the status quo. Staff should be expected to be comfortable with
"the way things are" and "the way things have always been," even if such
approaches are not best for them, nor the organization Any threat to this status
quo that is not accompanied by a thorough explanation and "buy-in" of how
"things could be" better through new approaches will produce individual and/or
organizational resistance. Daryl Conner (1992) cites the one circumstance that
motivates people to make and sustain a major change is "when they can no
longer afford the status quo."

o Humans are also "creatures of habit", and change often mandates changing
old habits and adopting new ones. Individual and organizational routines and
patterns are disrupted by change, and the transition to new, healthy habits can
be difficult.

o Fear. It is basic human nature to be afraid of the unknown. Fear can manifest
itself through overt expression, or covert feelings that are never articulated.
Change managers must identify and validate both types of fear, and involve staff
in increasing their understanding of known or expected outcomes and
decreasing the possibility of the "unknown" aspects of change.

o Lack of knowledge. As Peter Senge observed in his book The Fifth
Discipline, "The structures of which we are unaware hold us prisoners." The
more staff know about change, why it is needed, and what it will ultimately
bring, the less likely they are to resist it.

o Lack of time and resources. The irony of investing in new approaches that
ultimately save time, as contrasted with the initial investment of time and human
resources needed to manifest time-saving changes, is not lost on victim service
agencies. Change management works hand-in-hand with time management. As
Green Bay Packer football legend Vince Lombardi explained, "I never lost a
game. I just ran out of time on a few occasions."

o No belief in the advantages of change. Unless staff "buy the benefits" of
change, they are likely to resist or even fight it. Advantages should be defined in
both the personal context as well as the overall benefits to the organization and
its programs and services.

o Role conflict. If new programs, policies, or practices change individuals' roles
and responsibilities within an organization, then conflicts can ensue as a result.
Such changes must be identified in concert with affected staff, with their
concerns validated and addressed in a meaningful way.

o Keeping up with change. Change in victim service agencies often moves
quickly and, as such, staff must receive resources to help them keep up with the
speed of change. Included are revised policies, ongoing training, and continual
opportunities for communication about the change and its outcomes. This can
prevent "future shock," a phrase first coined by Alvin Toffler in 1965, which he
defined as "the shattering stress and disorientation that we induce in individuals
by subjecting them to too much change in too short a time."

THE "20 PERCENT RULE"

Change management consultant and author David Hutton offers the "20 percent
rule" for the types of reactions you can expect within any group of people when
they are beginning to embark on change:

A few people (say 20 to 30 percent) will quickly become committed
enthusiasts and standard-bearers for the new order. A few people (say 20 to
30 percent) will never accept the changes and will fight tooth and nail against
them. This campaign may be conducted overtly or covertly, crudely or with
style--but it will be fought.
          
The remainder of the group will usually go with the flow; that is, their support
(or resistance) will be more passive. They may be very vocal in supporting the
program, or any other initiative that their boss seems to favor. They may even
truly believe themselves to be very committed, but their actions will demonstrate
that they have other priorities.
          
No two situations are alike, but this is a typical pattern of response. If you can
see a few strong proponents emerging in key places, then the process is
working well. You should not expect more than this at first. Fortunately, a few
committed enthusiasts are all that's required to get the process started--
provided the leader is one of these. (Hutton 1997, 4)

Hutton believes the "20 percent rule provides a clue to one of the key strategies
for managing change":

If there is one "secret" that can be truly liberating for the change agent, it is this:
You do not have to spend a lot of time and effort on those who strongly resist
change. You only have to help and protect those who want to change, so that
they are able to succeed.

Put another way, the leader's job is not to plant the entire forest, row by row--it
is to plant clumps of seedlings in hospitable places and to nurture them. As they
mature, these trees will spread their seeds, and the forest will eventually cover
the fertile land. The rocks will, of course, remain barren regardless (Ibid., 5).

Typical Early Reactions to Change

Six typical early reactions to change, most of which call for some kind of
response from the change agent and/or other senior managers, are identified by
Hutton (1997, 5-7):

ENTHUSIASM AND INVOLVEMENT

Enthusiasts are the flag bearers for change--they make success possible. They
need to be nurtured and supported to ensure that they succeed, and protected
from opposition or sabotage by others. They also need to be recognized for
their contribution, and held up as a positive example to encourage others.

SKEPTICISM AND CYNICISM

Many people will at first dismiss the new initiative as yet another "fad," following
the well-worn pattern of many previous initiatives. Their disdain of senior
management's inconsistency may be barely concealed.

Some open opposition comes from skeptics. These people often exert
considerable influence over their peers because they are sincere, outspoken,
and demonstrate the courage of their convictions. However, these individuals
are not necessarily opponents--they may turn around and become the strongest
supporters if they are convinced that management is sincere and committed.

There may also be a few others, best described as cynics, who are chronic
naysayers and malcontents. These people can be distinguished from the
skeptics by the fact that they can offer no positive suggestions about what
should be done. The leader should not worry too much about these individuals-
-they have little influence because many of their coworkers find their attitude as
irritating as the leader does.

APATHY

Some employees may demonstrate complete apathy. They may ignore what is
going on and show no interest or desire to get involved in making things
better.There is no instant solution to apathy. This frame of mind is the
individual's personal choice--perhaps as a way of insulating them from a
working environment where their views don't seem to count.

When leaders encounter this reaction, they need to be patient and to keep
talking with their people, listening for the issues that arouse emotion and energy.
By taking these issues seriously and, when possible, involving these people in
developing solutions, the leader can channel this energy into useful action and
involvement.

LIP SERVICE AND BACKSLIDING

Some people will give the appearance of enthusiastic support, but will fail to
deliver. They will repeatedly miss commitments because of unexpected events
and will plead for more time. They may be apologetic, but the unspoken
message is that they have other higher priorities.

Those who give lip service but don't deliver usually belong to the middle 60
percent--those who will tend to "go with the flow." These people need to be
held to their commitments and convinced that their actions will have
consequences. As the process unfolds and the enthusiasts demonstrate
successes, the pressure to get on board increases progressively. In the end,
everyone has to face the choice of getting on board or getting out.

At the same time, management has to be listening and looking for the barriers
that are impeding these individuals. All the pressure in the world cannot make
people want to do something when they don't understand why--or make them
able to do something when they don't know how.

ANGER AND FRUSTRATION

Often, management's initial attempts to open up communications result in a
deluge of vocal, emotional, and perhaps unreasonable complaints. Managers
may be frightened by a sense of losing control--for example, if a meeting
designed to create a dialogue turns into a free-for-all.

Initial attempts to create two-way communications are often like opening a
floodgate. If someone asks your opinion for the first time in 15 years, you may
have a lot to say before you get it all off your chest.

It is important to prepare managers for their new role, including situations like
these. Efforts to open up two-way communication with employees often trigger
strong reactions. Managers need new skills to encourage employee
participation, and to channel in constructive directions the energy that is
released by doing this.  

Training is usually essential; for example, in skills such as listening, accepting
feedback, encouraging diversity, and managing conflict. It also helps greatly if
middle managers first seek these behaviors modeled by top management.

MALICIOUS COMPLIANCE OR SABOTAGE

A few who are opposed to the change may follow orders in such a mechanical
and unthinking fashion that the initiative is certain to go nowhere within their
areas. Or some managers may make it clear to their people that, regardless of
what other messages they may be getting, business as usual will continue in this
department--their people are forbidden to waste time on this latest craze, but
told to "get on with their work."

Like the backsliders, these people need to be brought into line and ultimately
given the choice of buying in or getting out. This can usually be done
progressively in a way that gives the individuals concerned time to change their
minds. Occasionally, immediate decisive action will be required to prevent an
influential opponent from undermining the whole process.

The Strong Change Agent

Change may be welcome and desired. Change may be encouraged or even
forced on individuals or entities by outside forces. Change is complex and never
linear. Change disrupts the status quo. Resistance to change is common, and to
be expected.

In other words, change is challenging. And the many challenges posed by
technological changes to victim service agencies require the vision, skills and
perseverance of a strong change agent. The success of change is largely
dependent on clear and consistent leadership throughout the change process.

In the victims' rights discipline, there are nine critical elements necessary for a
strong change agent:

INVESTMENT
                    
The future belongs to those who prepare for it. --Ralph Waldo Emerson    
  
"Investment" in change emanates from a recognition that things can work better
if done differently; that the process of change, while difficult, will make things
for an organization less difficult in the long run; and that change is fraught with
challenges, difficulties, and barriers--all of which can be overcome if the intent
and investment are clear and consistent. Investment can also come from sudden
and unexpected events: the trauma of victimization that propels a person into an
activist role; a crime that occurs with an outcome that is not in sync with
community or social mores; or the development of new approaches that result
from exposure to practices that hold promise for victim services, support, and
assistance.

When people "invest" in a new concept or idea, they usually do so with a belief
that they can make a difference, and that their investment will result in positive
change. Their motivation may be personal, professional, or a combination of
both. Regardless of the motivation, the expected outcome of the investment is
positive change. Without investment, there can be no foundation for change.

VISION
                    
Do not go where the path may lead; go instead where there is no path and
leave a trail. --Ralph Waldo Emerson

"Vision" recognizes that the status quo is no longer acceptable. In the pioneer
days of America's victims' rights discipline, there was a shared vision of "victim
justice" that remains today as the "new" status quo: that victims should be
afforded dignity and respect; that justice processes can be victim-centered as
well as offender-directed; and that communities as well as individuals are hurt
by crime, and need to be involved in prevention, interventions, and victim
assistance. Vision requires courage, commitment, and a willingness to consider
the "big picture" as well as snapshots of crime and its consequences.

CONNECTION
                    
Put two minds in a room and create a third. --Unknown
            
There are many different approaches to preventing and responding to crime and
victimization. While victim service providers have much to offer in the way of
solutions, they also have much to gain by connecting with, and listening to, other
who share concerns about crime and victimization. Some of the most significant
successes in our nation's victims' rights discipline have resulted from
partnerships that at one time might have seemed unlikely but today are
necessary for success.

DEDICATION

Flood your life with ideas from many sources. Creativity needs to be exercised
like a muscle; if you don't use it, you lose it. --Brian Tracy in The Seven Cs of
Success 

Change agents must believe not only in change, but in the hope or belief that it
can make a positive difference in the lives of victims and others who are
affected by crime. They must be willing to identify and overcome barriers to
change; provide support and mentoring to colleagues who may be challenged
by the core elements of change; and be committed "for the long haul."

KNOWLEDGE

The greatest discovery of my generation is that human beings can alter their
lives by altering their minds. --William James, Philosopher
 
Since the core elements of change include evolution and transformation, the
knowledge base one possesses while entering a change situation also evolves
and transforms. New information, data, facts, stakeholders, partners, and ways
of looking at things are critical to implementing and facilitating change. The
many assets of "the Information Age" ease the process of gaining knowledge on
a continual basis. Strong change agents not only seek and utilize new
knowledge but also make a point of sharing it with others involved in the change
process.

PERSISTENCE

It is not the strongest of the species that survives, nor the most intelligent, but
the ones most responsive to change. --Charles Darwin 
             
Success seldom occurs overnight. Often, more people are resistant to change
than those who are willing to embrace it. Persistence is a key factor to ensuring
that change is neither incremental nor incidental, but permanent and productive.

PRIORITIES

Nothing will ever be attempted if all possible objections must first be overcome.
--Jules Lederer, American businessman

The process of change can equate to juggling balls, trying to keep many afloat
at the same time without "dropping the ball." Yet the "balls" of change are
seldom equal weight; some must take precedence over others. A strong change
agent establishes, shares, and maintains priorities that provide the ultimate
foundation for change.

OBJECTIVITY

Better bend than break. --Scottish proverb                  

When one keeps an eye on the ultimate destination, it is easy to lose sight of the
detours along the way. Rigidity is one of the potential weaknesses of change
agents. A strong change agent is always open to new ideas, approaches, and
processes that can either augment the stated goal and objectives, or revise them
in ways that are more productive. Flexibility and a willingness to diverge from
original plans are key assets for change agents.

NO FEAR
                    
Fear is that little darkroom where negatives are developed. --Michael Pritchard 
   
Change evokes fear in many people. A strong change agent recognizes this,
seeks to mitigate fear in others, and, at the same time, reduces opportunities for
fear through careful planning; identifying and addressing sources of fear;
involving all individuals who will be affected by the change; and providing
leadership that evokes confidence and commitment from key stakeholders.
Daryl Conner (1992) identifies thirteen essential elements for a good change
sponsor:

1. Power: the organizational power to legitimize the change with targets.

2. Pain: a level of discomfort with the status quo that makes change attractive.

3. Vision: a clear definition of what change must occur.

4. Resources: a thorough understanding of the organizational resources (time,
money, people) necessary for successful implementation and the ability and
willingness to commit them.

5. The Long View: an in-depth understanding of the effect the change will have
on the organization.

6. Sensitivity: the capacity to fully appreciate and empathize with the personal
issues that major change raises.

7. Scope: the capacity to understand thoroughly the size of the group to be
affected by change.

8. A Public Role: the ability and willingness to demonstrate the public support
necessary to convey strong organizational commitment to the change.

9. A Private Role: the ability and willingness to meet privately with key
individuals or groups to convey strong personal support for the change.

10. Consequence Management Techniques: preparation to reward promptly
those who facilitate acceptance of the change or to express displeasure with
those who inhibit it.

11. Monitoring Plans: the determination to ensure that monitoring procedures
are established that will track both the transition's progress and problems.

12. A Willingness to Sacrifice: the commitment to pursue the transition,
knowing that a price will most often accompany the change.

13. Persistence: the capacity to demonstrate consistent support for the change
and reject any short-term action that is inconsistent with long-term goals.

The Tipping Point

In The Tipping Point, a powerful book that examines the roots of social change,
Malcolm Gladwell asserts that "ideas and products and messages and
behaviors spread just like viruses do". The emergence of significant social
changes can be viewed as "clear examples of contagious behavior" that are
exposed to other people, who then become "infected" with the change
(Gladwell 2000, 7).

Gladwell examined the significant drop in crime in New York City between
1992 and 1997--a 64.3 percent drop in murders, with total crimes decreasing
by nearly half. He believes that there are three key elements that contributed to
the rapid decrease in crime (Gladwell 2000, 7-8):

1. Contagious behavior: "What happened is that the small number of people in
the small number of situations in which the police or the new social forces had
some impact started behaving very differently, and that behavior somehow
spread to other would-be criminals in similar situations. Somehow a large
number of people in New York got 'infected' with an anti-crime virus in a short
time."

2. Little changes have big effects: "All of the possible reasons for why New
York's crime rate dropped are changes that happened at the margin; they were
incremental changes. The crack trade leveled off. The population got a little
older. The police force got a little better. Yet the effect was dramatic."

3. Change happens not gradually, but at one dramatic moment. "Crime did not
taper off. It didn't gently accelerate. It hit a certain point and jammed on the
brakes."

In examining social change, Gladwell notes that "the third trait--the idea that
epidemics can rise or fall in one dramatic moment--is the most important,
because it is the principle that makes sense of the first two and that permits the
greatest insight into why modern change happens the way it does. The name
given to that one dramatic moment in an epidemic when everything can change
all at once is the Tipping Point" (Ibid. 9).

"THE LAW OF THE FEW"

Gladwell identifies three types of "change agents" who are capable of initiating
epidemics of change:

Connectors. People who-- 

o Have a special gift for bringing the world together.

o Know lots of people.

o Are important for more than simply the number of people they know--their
importance is also a function of the kinds of people they know.

o Manage to occupy many different worlds and subcultures and niches.

o By having a foot in so many different worlds, have the effect of bringing them
all together.

o Have "the strength of weak ties", i.e., the more acquaintances they have, the
more powerful they are.

Mavens (from Yiddish--"one who accumulates knowledge"). People who-- 

o Have information about a lot of different products or prices or places.

o Like to initiate discussions with consumers and respond to requests.

o Want to solve other people's problems generally by solving their own.

o Solve his/her own problems--his/her own emotional needs--by solving other
people's problems.

o Have the knowledge and social skills to start word-of-mouth epidemics.

o Want to help, for no other reason than they like to help.

Salesmen. People who--

o Have skills to persuade us when we are unconvinced of what we are hearing.

o Have strong communication skills that are often subtle, hidden, and unspoken.

o Can quickly build a level of trust and rapport.

o On some level, cannot be resisted.

Change Facilitation Techniques and Tools

USEFUL TECHNIQUES

o Articulate and demonstrate the need for change. The message and the
messenger are equally important, as both must be respected and understood. o
The need for change must be meaningful for individuals as well as for the
organization as a whole.

o Involve staff and key stakeholders in the change process. This includes the
assessment, research and development, planning, implementation, and
evaluation stages.

o Offer incentives for change. Tangible improvements for either individuals or
agencies are strong incentives for change. However, incentives of a more
personal nature--such as comp time, money, desirable titles, improved physical
working environment, etc. are also valued rewards for employees who embrace
change in a positive manner.

o Build trust and understanding. Trust must be built in three ways: (1) between
the principal change agent and other employees; (2) among employees who are
directly involved in and affected by the change; and (3) about the new program,
policy, and/or practice that is creating the change.

o Encourage negative and positive input from staff and key stakeholders. The
best way to deal with resistance is to confront it head-on. Staff who are able
and encouraged to voice negative and positive reactions to change provide
opportunities for identifying resistance, validating critical concerns, and moving
forward with input that can affect the very direction of change.

o Address uncertainty. Ambiguity is a common side effect of change. The
clearer an organization makes the change process and expected outcomes, the
less skepticism will take hold.

o Value the "front line." Regardless of the level at which change occurs in an
organization, it is likely to affect everyone in both general and unique ways. The
"front line" in an organization--which can include support staff, direct service
providers, and volunteers have important contributions to make to change
processes. They are also likely to be more vulnerable to the impact of change;
as such, special attention to their needs and opinions should be offered.

o Explain rationale for changes on an ongoing basis. Regular updates and
communications about the change process, accompanied by opportunities for
input and revision as needed, are essential to maintaining individual and
collective acceptance of change, and what it seeks to accomplish. Consistent
staff communications--including superior/subordinate, peer/peer, and
information from the outside--facilitate this process.

o Control uncertainty to the degree possible. Identifying, understanding, and
addressing internal and external factors affecting change as well as potential or
real sources of resistance enhance the degree of certainty that change is good,
and that change as planned can and will occur.

o Identify, monitor, and try to meet staff expectations and perceptions. The
outcomes staff expect from change are both self-initiated from one's personal
frame of reference, and other-initiated from influences such as co-workers or
individuals/factors outside of the organization. Regular "reality checks" of how
change is affecting employees and their work from both perspectives are
necessary to monitor, validate, and, in some cases, revise staff expectations.
Recognition of the new and often quite different equilibrium--both personal and
organizational--that change brings is key to avoiding upheaval in either people
or processes affected by change.

o Measure change and its effects on a continual basis. Strategic planning for
change should be directly linked to measures that evaluate its success.
Assessment outcomes (particularly those that differ from existing performance
evaluation criteria) should be clearly defined, easy to measure, consistently
monitored, and articulated to staff.

o Commitment and resolve are key. The commitment of the principal change
agent is not only critical; it must also be contagious. Expressed
acknowledgment that "change is difficult" should be accompanied by a resolve
to surmount any barriers to change, and to take advantage of the many
opportunities the change offers both individuals and the organization.

TOOLS FOR FACILITATING CHANGE

Staff planning and strategic planning. There are many resources available that
provide guidelines for strategic planning. For victim service organizations that
are embracing change, however, a critical key to strategic planning is the
involvement of staff and key stakeholders--at all levels of staffing and at all
levels of the planning process. "Key stakeholders" are described by the
National Criminal Justice Association as people who--

o Are directly affected by the change.

o Have the knowledge to affect change.

o Have the technical expertise to affect change.

Mark Carey, Director of Dakota County Community Corrections in
Minnesota, offers a twelve-step process for change action:

1. Gain information.

2. Provide introductory training.

3. Set up planning team(s).

4. Conduct organizational audit.

5. Determine readiness for change.

6. Provide additional, more targeted training.

7. Develop action plan.

8. Develop strategy and time lines.

9. Review and revise agency mission and outcome measures.

10. Redefine agency values, roles, supports, and expectations.

11. Review and revise job descriptions and reward system.

12. Evaluate new practices (Carey 1997).

Acknowledge problems, deficiencies, and challenges. While many potentially
negative factors affecting change have been articulated throughout this chapter,
the essential tool is acknowledgment that problems can, and are likely, to
occur. Potential deficiencies can be reduced or eliminated through early
detection, rapid intervention, and revisions in plans.

Focus groups. The use of focus groups to guide candid and meaningful
discussions about new programs, policies, and practices, and the changes they
bring, is a critical component of research, assessment, and planning processes.
Focus groups can be conducted within an agency, with external stakeholders,
or with a combination of both. This important tool provides an opportunity to
educate participants about new programs, policies, practices and related
changes; to receive feedback about participants' perceptions; and to alter the
course of the change process as needed, based upon information gained
through the focus group.

User groups. One of the best ways to measure and monitor change processes
is to conduct a group process of the "end users" of new programs, policies, and
practices. Also called joint application discovery (or JAD) sessions, user
groups unite key stakeholders whose work will be most directly affected by
proposed changes. Participants in user groups can be within one profession (all
victim advocates or all judges), cross-profession (victim advocates, justice
professionals, and other allied professionals), cross-jurisdictional (local, state,
and federal), or a combination of the above, depending upon the scope of the
new program, policy, or practice.

User groups serve a variety of purposes, including:

o Providing an educational overview of the scope and nature of the overall
project, its goals and expected outcomes.

o Soliciting feedback about the project.

o Providing essential input into how work/tasks are currently done, in order to
facilitate a vision of how it can be enhanced through ideas and insights
generated by key stakeholders.

o Identifying common factors that must be addressed in designing and
implementing new approaches, such as information sharing, record-keeping,
and program evaluation.

Pilot projects. Although change may encompass a "big vision," it is sometimes
wise to start small. The initiation of pilot projects, prior to "rolling out" more
comprehensive programs and processes, allows entities and staff to easily
identify and target problem areas, test solutions, monitor staff's adaptation to
change, and make necessary revisions based upon feedback.

Consistent assessment and evaluation. The ability to "prove success" of new
approaches and relevant changes is important to employee satisfaction, further
development, and continued funding. "Measures of success" that are identified
through the planning process, with consistent input from those whose
performance and outcomes will be measured, help facilitate the evaluation
process. A common mistake is to implement a new program with either no
evaluation processes built into the design, or evaluation that occurs once a
project is finalized or near completion.

Periodic assessments of the effectiveness of the new program or process,
employee and client satisfaction, and achievement of expected outcomes can
help agencies "trouble shoot" and build stronger involvement in and support for
the change process.

Cross-agency task forces. If a change process involves multiple agencies, the
early establishment of task forces for planning, implementation, and monitoring
purposes is an important tool. While an administrative task force can oversee
change processes at the highest levels, separate groups can address more
specific issues, such as policies and procedures, common data elements
necessary for technological applications, victim and/or offender confidentiality,
user-friendly design of forms and brochures, and so on.

Training. If an agency understands the benefits and barriers of new programs,
policies and practices--and the changes that will result--training should be
designed not only to provide basic education about new approaches but also to
address individuals' concerns. Training can be accomplished in a variety of
ways, including but not limited to:

o Orientation training.

o Continuing education.

o Use of mentors.

o Specific skills building efforts that address individual employees' needs.

Technical support. The importance of technical support in change facilitation
has been articulated as extremely important by numerous victim service
providers. Identification of experts, mentors, demonstration sites, and technical
advisors who can facilitate and support change initiatives is critical.

Information sharing. The speed at which changes occur in the victim assistance
and criminal/juvenile justice disciplines today requires that victim service
providers stay up-to-date on new, cutting-edge approaches to victim services,
justice practices, and community safety initiatives. Sessions at victim and allied
justice conferences and educational forums, victim-specific news articles, and
on-line access to new innovations are all essential to move the discipline of
victims' rights forward with the most comprehensive knowledge about change
and its many benefits for victims of crime and those who serve them.

The Challenge of Change for the Future of the Victims' Rights Discipline
                    
Change is afoot, and most parties are resentful. --A state-level victim advocate  

While much change in the discipline of victims' rights and services cannot be
predicted, there are some paths upon which this profession is embarking that
clearly require change management leadership, skills, and vision. An informal
survey of long-time victim advocates identified six key issues that will result in
significant changes in the way victim service providers conduct business:

PROFESSIONALIZATION OF THE FIELD

Numerous long-time victim advocates spoke of the need to "professionalize"
the field through standards and certification. Generally, they felt the process was
critical, but also needed to be inclusive and respectful of the many advocates
who enter this field with the primary "credential" of personal victimization. As
one eight-year advocate noted, "Some fear that 'professionalization' means we
cannot stay a 'movement' and that the experience of victimization itself will no
longer be the expertise they are fighting to have it recognized as."

HIGHER EDUCATION

The emergence from a "movement" to a "discipline" requires professionals who
have a strong educational foundation upon which to build leadership and victim
assistance skills. Several national leaders emphasized the need for victim-
specific programs in higher education. According to Ed Stout, "We need to
focus major attention on introducing curriculum on victim issues into our
universities and colleges--law schools, medical, theological, social work, mental
health, etc." Stout believes such programs must be organized in a systematic
and planned fashion. "We need to get control of the process, and not let others
make decisions for the profession and impose their wills," he said.

NEW PARTNERSHIPS

Collaborative efforts have resulted in great strides for crime victims and those
who serve them over the past thirty years. It can be argued that virtually
everybody in the United States has a stake in crime and victimization issues
and, as such, should be considered potential stakeholders in victim assistance
initiatives.

Napa County Chief Probation Officer James Rowland emphasizes the need for
"more collaboration among victim service organizations, as well as with justice
system organizations." He believes that increased interest from victim service
professionals in correctional policies and programs--including intensive
probation services and the public safety benefits and the principles and
programs of restorative justice--is vital to our collective future. Rowland also
notes that "some victim organizations oppose or fail to support education and
training programs for offenders. This is very short sighted in view of the 70
percent recidivism rate. Good programs can change (offender) behavior and
reduce recidivism."

IMPLEMENTING EXISTING VICTIMS' RIGHTS

While there are over 30,000 statutes at the federal and state levels that define
victims' rights, they are not always enforced. In many cases, remedies for
victims are non-existent. The initial "change" sought by the passage of such laws
becomes a moot point when concerted implementation is not enforced.

St. Louis City Victim Advocate Kathy Tofall believes "the priority has to be
recourse and required training, as we have attorneys and judges entering the
system who have little knowledge of victims' rights. . . . The original buy-in of
judges, prosecutors, and other administrative types disappears as these folks
move to other positions or retire. There could easily be a movement by folks
who do not embrace the history of the victims' rights movement, and choose to
accept proposed limits or restructuring of both the established rights and the
implementation/services aspects." Tofall notes that "as we enlist new supporters
to the cause, we need to focus on expanding the range of understanding of not
only the rights of victims but also how the implementation of rights has created a
more encompassing form of justice."

TAPPING TECHNOLOGY

The awesome benefits offered to victim advocates by technological advances
are simply incredible. Technology can enhance the enforcement of victims'
rights, provision of victim services; organization and case management; and
information sharing within and among entities that assist victims. Yet technology
changes with tremendous rapidity--changes that must be noted and harnessed
by professionals who assist victims.

Lori Hayes, Director of the Vermont Center for Crime Victim Services, says
the field must come to grips with the effects of technology. "I think for many
reasons the advocacy world is not keeping up with these rapid changes, and we
are getting dangerously behind," she said. "Future organizing efforts and ideas
about the skills necessary to be an effective advocate need to assume
technology skills."

CREATING THE NEXT GENERATION OF LEADERSHIP
                    
Each one, teach one.

In the early days of the victims' rights movement, "mentoring" occurred
naturally. Victim advocates relied greatly on other victim advocates for ideas,
encouragement, and leadership. While there was no "world wide web" to
facilitate rapid and widespread communications, the number of professionals
and volunteers in the field was much less than today; at any given conference, a
large segment of the entire field could be present. Strong personal relationships
created strong professional leadership.

Ed Stout sees " a growing interest in the field from various different
professions." Yet he worries "that the focus on the next generation has been
'service-oriented' and not 'advocacy' or 'public policy' oriented. Stout notes that
"the 'old buffaloes' who had to be advocates know that the three must go hand
in hand," and wants to see "the same fire" exhibited by the "old buffaloes" in the
new generation of "buffalo nickels" today. Florida attorney Jay Howell concurs,
"We need to examine the role of advocacy in a movement that has turned into a
profession."

California State University, Fresno professor Dr. Steven Walker says, "We
need to start out simply--what are the basics of being a professional in both
criminal/juvenile justice-based and community-based victim services? What are
the commonalities?"

Respect For The Past, Vision For The Future

What is past is prologue. --William Shakespeare
         
Carved into the base of the statue "Future" in front of the National Archives
Building in Washington, DC, this simple statement reflects on the importance of
history in creating a vision for the future. Lori Hayes believes that "everyone in
the field needs to have a solid understanding of the history of this work."
Virtually anybody who has been in this discipline for over a decade concurs.

At the 2000 Wisconsin Victim Assistance Academy, the faculty presented a
seminar entitled "The History of the Victims' Rights Discipline, a.k.a. The Bad
Old Days." This tongue-in-cheek title gave way to a lively discussion of the
early days when, as one speaker noted, "We called ourselves a 'movement'
because we knew if we ever quit moving, we would simply quit." Quiet
reflection upon the days when victims were not allowed in courtrooms; when
"victims' rights" were an oxymoron; and when victim services were few and far
between is not only helpful, but vital to the future of this discipline. The lessons
of the past are critical to the changes of the future. And the foundation our
history provides gives strength and hope to our collective future.

Conclusion

While change may be inevitable, so are the many skills that are needed to
facilitate it. Leaders in the discipline of victims' rights and services, have "surfed
the waves of change" without drowning. Now, the challenge for the leader is to
take the information from this chapter and, combining it with personal
experiences, actively lead and guide his/her staff and allied professionals on the
change journey that lies ahead. When change is viewed in terms of opportunity-
-and not deficits--it can be embraced as a welcome and necessary process that
contributes to the very foundation of the field.

References

Carey, M. 1997. Lecture. U.S. Department of Justice Restorative Justice
Symposium.

Conner, D. 1992. Managing at the Speed of Change. New York: Villard
Books.

Gladwell, M. 2000. The Tipping Point. Boston, MA: Little, Brown and
Company.

Hutton, D. 1997. Managing Purposeful Change. <www.dhutton.com>.

Senge, P. 1990. The Fifth Discipline. New York: Doubleday.

Seymour, A. 1998. "Change Management." Promising Practices and Strategies
in Technology to Benefit Victims. Washington, DC: U.S. Department of Justice,
Office for Victims of Crime.

Additional Reading

Hardy, George. 1997. Successfully Managing Change. Hauppauge, NY:
Barron's Educational Series.

Harvard Business Review on Change. 1998. Boston, MA: Harvard Business
School Press.            

Hutton, D. 1997. The Change Agents' Handbook: A Survival Guide for Quality
Improvement Champions. Milwaukee, WI: Quality Press.

Smith, D. 1996. Taking Charge of Change: 10 Principles for Managing People
and Performance. Reading, MA: Perseus Books

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