Title: Leadership in Victim Services, Chapter 5. Essential Skills for Leaders: Facilitation of Change 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 32 pages 73,728 bytes ---------------------------- 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. ---------------------------- Table of Contents 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 ---------------------------- 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. ---------------------------- 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): ---------------------------- 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. ---------------------------- 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 statute "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. . 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