U.S. Department of JusticeNational Institute of Corrections

Correctional LeadershipCompetencies for the 21st Century

Manager and Supervisor Levels

U.S. Department of JusticeNational Institute of Corrections

320 First Street, NWWashington, DC 20534

Morris L. ThigpenDirector

Larry SolomonDeputy Director

Robert M. Brown, Jr.Chief, Academy Division

John Eggers, Ph.D.Project Manager

Dee HalleyProject Manager

National Institute of CorrectionsWorld Wide Web Site

http://www.nicic.org

Correctional Leadership Competenciesfor the 21st Century:

Manager and Supervisor Levels

Nancy M. CampbellCampbell Consulting

December 2006

NIC Accession Number 020475

This publication was prepared under cooperative agreement 02A18GIV4 from the National Institute of Corrections, U.S.Department of Justice. Points of view stated in this publication are those of the authors and do not necessarily representthe official position or policies of the U.S. Department of Justice.

Campbell Consulting, Inc.

The National Institute of Corrections reserves the right to reproduce, publish, or otherwise use and to authorizeothers to reproduce or use all or any part of the copyrighted material contained in this publication.

ForewordGiven the increasing number and diversity of offenders in the nations correc-tional institutions, the challenging responsibilities being placed on correctionalagencies and organizations, and the complexity of the social, political, and legalclimate in which they operate, it is now more vital than ever for correctionalagencies/organizations to identify and train effective leaders at all levels of man-agement, from the frontline supervisor to the head of a correctional system. Tothis end, the National Institute of Corrections (NIC) and its Academy Divisionasked, What are the skills and attributes of an effective correctional leader andhow can they be developed?

In response, NIC and the Academy Division developed the Core CompetenciesProject. This project called on the expertise of a number of respected profes-sionals in the leadership field to identify the qualities needed by effective lead-ers across a wide range of correctional agencies/organizations. After definingfour levels of correctional leaders and developing managerial profiles for eachlevel based on key areas of responsibility, the project identified core competen-cies for each level through focus groups and surveys of correctional leaders,consultation with experts in the correctional field, and comparison with otherfields. Then, for each competency, the project developed a knowledge base tohelp correctional leaders at each level understand the competency better andidentified a set of key skills and behaviors related to the competency.

This publication, Correctional Leadership Competencies for the 21st Century:Manager and Supervisor Levels, and its companion document, CorrectionalLeadership Competencies for the 21st Century: Executives and Senior-LevelLeaders, represent the culmination of that process. The core competencies pre-sented for managers and supervisors emphasize not only the value of capabili-ties such as oral and written communication, strategic thinking, programplanning and performance assessment, managing change, problem solving anddecisionmaking, and a knowledge of the criminal justice system, but also skillssuch as interpersonal relationships, motivating others, developing direct reports,managing conflict, initiating collaboration, and team building and attributes ofcharacter that correctional leaders need, including a strong sense of ethics andvalues. These competencies provide correctional agencies/organizations withtools for identifying and training current and future leaders who can embodythese capabilities and attributes. Also, they offer correctional professionalsguidelines for strengthening and cultivating their own personal growth anddevelopment.

iii

iv Foreword

In publishing these documents, NIC hopes to provide a tool for refining its lead-ership training programs and for helping correctional agencies/organizations ofall sizes identify the most appropriate candidates for leadership training.Correctional agencies/organizations will be able to use the competencies identi-fied in these documents to improve their recruitment and selection processes, inthe placement and retention of current employees, in succession planning forleadership positions, and in staff development. Finally, individual correctionalprofessionals can use these competencies to aid in their own personal growthand development.

Morris L. ThigpenDirector

National Institute of Corrections

vAcknowledgments From theNational Institute of Corrections The Core Competencies Project would not have been possible without the col-laborative will, dedication, and professionalism of all who contributed to thisproject. During its course, many hours were spent debating the merits of lead-ership, identifying the competencies known to be successful at various levelsof an organization, and struggling with developing a leadership model thatwould best serve both the National Institute of Corrections (NIC) and the fieldof corrections.

A special thank you is extended to Nancy Campbell for her professional guid-ance, which helped us to realize our vision of creating a model for leadershipand management development. NIC is indebted to her for the many hours shespent identifying the elements of this guide and coordinating the many contribu-tions of its authors. We are also indebted to Pat Andrews, Patrick Dobel, TeddiEdington, George Galazza, Janie Jeffers, Paul Katsampes, Barb Lucey, MarieMactavish, Nancy Raynolds, Chase Riveland, David Savage, Chele Shepard,Donna Stringer, Richard Swanson, Eldon Vail, William Woodward, and CindiYates for the many hours they spent on this project and the expertise theyextended to it.

At NIC, Dee Halley initially moved the project forward before moving on togreener pastures in our Washington, D.C., office. Her tireless energy and inputare much appreciated. John Eggers has since kept this project safe under hiswing, and to him we are deeply grateful. John spent many hours reviewing thefinal version of this guide. Thanks to his determination and expertise, this docu-ment has come to fruition.

As the Chief of NICs Academy Division, I am deeply grateful to MorrisThigpen and Larry Solomon. Morris and Larry have fully supported this projectsince its inception and have become champions in the art of patience and allow-ing us to find our own way.

Finally, a heartfelt thank you is extended to Brian Higgins of Lockheed MartinInformation Technology. Brians editorial support, sound suggestions, and atten-tion to detail much improved the final version of this document.

Robert M. Brown, Jr. Chief, Academy Division

National Institute of Corrections

vii

Acknowledgments Fromthe AuthorThe nature of the correctional environment has changed significantly in recentyears. The technological revolution, globalization, and changing workforcedemographics are just a few of the factors that are influencing and changingcorrectional agencies/organizations. The Core Competencies ProjectPhase IIattempts to define the skills and abilities needed today and in the future by cor-rectional managers and supervisors.

The core team for the project consisted of Robert Brown, Chief, NationalInstitute of Corrections (NIC) Academy Division, Marie Mactavish, JohnEggers, and me. Bob Brown sponsored and promoted the project. Dee Halley,the original project manager, got the project off the ground, introduced it inmany venues, and consistently offered suggestions for refinement and improve-ment. John Eggers effortlessly picked up the project lead when Dee took anassignment in Washington, D.C.

This project is grounded in the competency work that Marie Mactavish beganmore than 10 years ago. Marie helped to ensure that the development processfor this project was a learning process for all involved. I am thankful to her notjust for her professional support but for her personal support as well.

The authors, all of whom are experts in their fields, have worked with correc-tional leaders. Marie Mactavish once again demonstrated her expertise in collab-oration and team building. She also explores the interpersonal skills needed tobe an effective manager or supervisor and how to manage conflict. PatrickDobel brings a pragmatic yet challenging approach to understanding ethics. Arespected author on ethics, Patrick has trained correctional professionals and haschaired a public-sector ethics board. Barbara Lucey provides useful tips on howto communicate effectively in both speech and writing, and is joined by TeddiEdington in developing a practical approach to problem solving and decision-making. Cindi Yates provides a useful way for managers and supervisors toapproach the often daunting topic of program planning and performance assess-ment. And last but not least, William Woodward provides an overview of thecriminal justice system that reminds us how interconnected the system is.

In addition to the core team, a practitioner review team consisting of JanieJeffers, David Savage, Donna Stringer, and Eldon Vail kept me honest and onmy toes. Janie, Dave, and Eldon provided a much needed correctional perspec-tive, and Donna provided an overall organizational view. I was particularlypleased to work again with my former colleagues Dave and Eldon.

Although she was not technically on the core team, as primary editor TeddiEdington played a central role for all authors, providing sound critiques of ourwriting. Nancy Raynolds provided much valued technical editing for this volume.

The project has been an exciting collaboration of a diverse array of correctionalpractitioners, NIC staff, academics, and consultants. I have felt privileged towork with such bright people who are all committed to developing the nextgeneration of correctional leaders.

Nancy M. Campbell

viii Acknowledgments From the Author

ContentsForeword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .iiiAcknowledgments From the National Institute of Corrections . . . . . . . . . . . . .vAcknowledgments From the Author . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .viiExecutive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xxi

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1Nancy M. Campbell

The Core Competencies Project: Meeting the Challenge . . . . . . . . . . . . . . . . . .1Developing the Managerial Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2

Developing the Core Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2

How To Use the Core Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4

Chapter 1: Managerial Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5Nancy M. Campbell

Executive Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7

Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9

Senior-Level Leader Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10

Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11

Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

Manager Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .18

Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .19Supervisor Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

ix

Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .20

Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23

Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .24

Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .24

Chapter 2: Ethics and Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25J. Patrick Dobel

Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25

Why Should Correctional Managers and Supervisors Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25Ethics: A Criminal Justice Perspective for Managers and Supervisors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .26Foundation of EthicsThree Approaches . . . . . . . . . . . . . . . . . . . . . . . . . .28Managerial/Supervisory Ethics: Personal and Institutional Integrity . . . . . .29Acting With Integrity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30

Threats to Ethics in the Correctional Environment . . . . . . . . . . . . . . . . . . .33

Building an Ethical Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35Leadership Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .38Unethical Behavior . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .40

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44Articulating the Basic Values and Virtues of the Correctional Institutionand Agency/Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44Creating Strong Support and Accountability for Ethics . . . . . . . . . . . . . . . .45Anticipating and Addressing Predictable Points of Vulnerability and Ethical Slippage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .46

Appendix 21. Focus Matrix for Managers and Supervisors:Ethics and Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .47Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .49

Chapter 3: Interpersonal Relationships . . . . . . . . . . . . . . . . . . . . . . . . . . . .51Marie Mactavish

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51

x Contents

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51Why Should Correctional Managers and Supervisors Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51Empathy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .52Social Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .54Relationship Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .55Effective Interpersonal Relationships Through Technology . . . . . . . . . . . . .56Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .58

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .59Empathy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .59Social Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .59Relationship Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .59Effective Interpersonal Relationships Through Technology . . . . . . . . . . . . .60

Appendix 31. Focus Matrix for Managers and Supervisors:Interpersonal Relationships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .62

Chapter 4: Oral and Written Communication . . . . . . . . . . . . . . . . . . . . . . .63Barbara Lucey

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63

Why Should Correctional Supervisors Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63Fundamentals of Effective Oral Communication . . . . . . . . . . . . . . . . . . . . .64Group Communication: Meetings and Presentations . . . . . . . . . . . . . . . . . .73Written Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .78

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .82

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .82Fundamentals of Effective Oral Communication . . . . . . . . . . . . . . . . . . . . .82Group Communication: Meetings and Presentations . . . . . . . . . . . . . . . . . .83Written Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .84

Appendix 41. Focus Matrix for Managers and Supervisors:Oral and Written Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .85Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .86

Contents xi

Chapter 5: Motivating Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .89Nancy M. Campbell

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .89Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .89

Why Should Correctional Managers and SupervisorsDevelop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .89What Motivates? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .91Hiring Motivated Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .93Behaviors That Motivate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .95Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .103

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .104What Motivates? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .104

Hiring Motivated Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .105Behaviors That Motivate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .105

Appendix 51. Focus Matrix for Managers and Supervisors:Motivating Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .107

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .109

Chapter 6: Developing Direct Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . .111Marie Mactavish

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111Why Should Correctional Managers and Supervisors Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111

Joint Responsibility for Developing Direct Reports . . . . . . . . . . . . . . . . . .112Organizational Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .112Managerial Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .116Employee (Direct Report) Responsibility . . . . . . . . . . . . . . . . . . . . . . . . .120Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .121

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122Organizational Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122Managerial Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122Employee (Direct Report) Responsibility . . . . . . . . . . . . . . . . . . . . . . . . .123

Appendix 61. Focus Matrix for Managers and Supervisors:Developing Direct Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .124

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .125

xii Contents

Chapter 7: Managing Conflict . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .127Marie Mactavish

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .127

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .127Why Should Correctional Managers and SupervisorsDevelop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .127

Causes of Conflict . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .128

Understanding Ones Own Response to Conflict . . . . . . . . . . . . . . . . . . . .129The Roles of Managers and Supervisors in Conflict Situations . . . . . . . . .131Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .139

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .141Managing Conflict . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .141

Understanding Ones Own Response to Conflict . . . . . . . . . . . . . . . . . . .141Self-Awareness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .141

Managing Conflict With the Boss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .141

Managing Conflict With Direct Reports . . . . . . . . . . . . . . . . . . . . . . . . . . .142

Managing Conflict With Colleagues . . . . . . . . . . . . . . . . . . . . . . . . . . . . .142

Mediating Between Direct Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .143Facilitating Conflict Management in a Team Setting . . . . . . . . . . . . . . . .143

Appendix 71. Focus Matrix for Managers and Supervisors:Managing Conflict . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .145Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .147

Chapter 8: Team Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149Marie Mactavish

Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149What Is (and Is Not) a Team? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149Team Longevity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .149

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .150Why Should Correctional Managers and SupervisorsDevelop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .150Elements of Successful Work Teams . . . . . . . . . . . . . . . . . . . . . . . . . . . . .150Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .170

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .172Clarity of Purpose and Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .172

Contents xiii

xiv Contents

Performance Measurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .172

Team Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .172Trust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .173

Team Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .173Defined Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .173Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .173

Decisionmaking Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .174

Managing Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .174

Stages of Team Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .175Ongoing Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .175External Support and Recognition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .175

Appendix 81. Focus Matrix for Managers and Supervisors: Team Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .176Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .179

Chapter 9: Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181Marie Mactavish

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181Why Should Correctional Managers and SupervisorsDevelop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .181

The Four Collaborative Opportunities . . . . . . . . . . . . . . . . . . . . . . . . . . . .182Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .194

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .195Interpersonal Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .195Work Team Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .195Organizational Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .196External Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .196

Appendix 91. Focus Matrix for Managers and Supervisors: Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .197Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .199

Chapter 10: Problem Solving and Decisionmaking . . . . . . . . . . . . . . . . . .201Barbara LuceyTeddi Edington

Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .201

Contents xv

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .201Why Should Correctional Managers and SupervisorsDevelop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .201

The Problem-Solving and Decisionmaking Process:The Seven Steps of Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . .202Creative Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .213Proactive Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .215Intuitive Decisionmaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .215Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .216

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .218The Problem-Solving and Decisionmaking Process:The Seven Steps of Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . .218Creative Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .218Proactive Problem Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .219Intuitive Decisionmaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .219

Appendix 101. Focus Matrix for Managers and Supervisors:Problem Solving and Decisionmaking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .220Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .222

Chapter 11: Strategic Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .223Nancy M. Campbell

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .223

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .223Why Should Correctional Managers Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .223

What Is Strategic Thinking? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .225Expanding Your Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .228A Framework for Strategic Thinking: Management byGroping Along . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .235Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .237

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .237What Is Strategic Thinking? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .237

Expanding Your Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .238Frameworks for Strategic Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .238

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Appendix 111. Focus Matrix for Managers andSupervisors: Strategic Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .239Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .241

Chapter 12: Managing Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .243Nancy M. Campbell

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .243

Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .243Why Should Correctional Managers Develop This Competency? . . . . . . .243Understanding the Change Dynamic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .244The Change Process in Action: Eight Steps to Transforming Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .247

Managing Transitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .252Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .256

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .257Understanding the Change Dynamic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .257The Change Process in Action: Eight Steps to Transforming Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .257Managing Transitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .259

Appendix 121. Focus Matrix for Managers and Supervisors:Managing Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .260Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .262

Chapter 13: Program Planning and Performance Assessment . . . . . . . . .263Cindi Yates

Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .263Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .263

Why Should Correctional Managers Develop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .263Linking the Program Plan to the Strategic Direction of the Correctional Agency/Organization . . . . . . . . . . . . . . . . . .264Program Performance Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .272

Successful Program Planning and Implementation:Creating a Continuous Feedback Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . .278Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .284

Contents xvii

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .285Linking the Program Plan to the Strategic Direction of the Correctional Agency/Organization . . . . . . . . . . . . . . . . . .285Program Performance Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .286Successful Program Planning and Implementation:Creating a Continuous Feedback Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . .286

Appendix 131. Focus Matrix for Managers and Supervisors:Program Planning and Performance Assessment . . . . . . . . . . . . . . . . . . . . . .288Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .289

Chapter 14: Criminal Justice System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .293William Woodward

Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .293Knowledge Base . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .293

Why Should Correctional Managers and SupervisorsDevelop This Competency? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .293Criminal Justice System Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .294How the Criminal Justice System Works . . . . . . . . . . . . . . . . . . . . . . . . . .294Role of the Executive Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .295Role of the Judicial Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .300Role of the Legislative Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .302

Improving Criminal Justice System Operations . . . . . . . . . . . . . . . . . . . . .303

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .308

Key Skills and Behaviors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .310Role of the Executive Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .310

Role of the Judicial Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .310Role of the Legislative Branch . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .311

Improving Criminal Justice System Operations . . . . . . . . . . . . . . . . . . . . .311

Appendix 141. Focus Matrix for Managers and Supervisors:Criminal Justice System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .313

Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .315

ExhibitsExhibit 11. The Four Levels of Management . . . . . . . . . . . . . . . . . . . . . . .5Exhibit 21. Model of Integrity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .30Exhibit 22. Six Pillars of Character . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .33Exhibit 41. Personal Communication Style Clues . . . . . . . . . . . . . . . . . .65Exhibit 42. Personal Communication Styles Matrix . . . . . . . . . . . . . . . . .66Exhibit 43. Feminine and Masculine Communication Styles . . . . . . . . . .69Exhibit 44. The W.R.I.T.E. Way To Communicate Online . . . . . . . . . . . .81Exhibit 51. Factors Affecting Job Attitudes . . . . . . . . . . . . . . . . . . . . . . . .92Exhibit 52. Summary of the Four Behavioral Consequences and

Their Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .96Exhibit 53. Analyzing Behavior Using the ABC Model of

Behavior Change: A Corrections Management Example . . .100

Exhibit 61. Joint Responsibility for Developing Direct Reports . . . . . . .113Exhibit 62. Comparing the Three Stages of Direct Report

Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .116Exhibit 63. Managerial Approaches to Developing Direct Reports . . . .118Exhibit 71. Conflict Lenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .130Exhibit 72. Key Elements in Building and Maintaining an Effective

Relationship Between a Manager or Supervisor and a Boss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .133

Exhibit 73. Steps for Dealing With Conflict Between a Manager or Supervisor and a Direct Report . . . . . . . . . . . . . . . . . . . . . . .134

Exhibit 74. Comparing Attitudes in Position-Based and Interest-Based Approaches to Negotiating Conflicts Between Colleagues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .135

Exhibit 75. Steps for Negotiating Conflicts Between Two Managers orSupervisors With Equal Authority . . . . . . . . . . . . . . . . . . . . .136

Exhibit 76. Steps for Mediating a Conflict Between Direct Reports . . .138Exhibit 77. Steps for Facilitating Conflict Resolution

in a Team Setting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .139Exhibit 81. Factors of Team Leadership . . . . . . . . . . . . . . . . . . . . . . . . .154Exhibit 82. Hierarchical Organizational Structure Adapted

From Likerts Linking Pin Function . . . . . . . . . . . . . . . . .155Exhibit 83. Team Leader Balance of Roles and Use of Authority . . . . . .156

xviii Introduction

Exhibit 84. The Consensus-Building Model of Team Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .161

Exhibit 85. Decisionmaking Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . .164Exhibit 86. Ground Rules for Meetings . . . . . . . . . . . . . . . . . . . . . . . . . .166Exhibit 91. The Four Collaborative Opportunities . . . . . . . . . . . . . . . . .183Exhibit 101. The Seven Steps of Problem Solving . . . . . . . . . . . . . . . . . .202Exhibit 102. Pareto Chart of Causes of Visitor Dissatisfaction . . . . . . . .206Exhibit 103. CDF Criteria Rating Matrix . . . . . . . . . . . . . . . . . . . . . . . . .209Exhibit 104. Action Plan Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .211Exhibit 105. Contingency Plan Matrix . . . . . . . . . . . . . . . . . . . . . . . . . . .211Exhibit 106. Matrix of Management Problem-Solving and

Decisionmaking Roles . . . . . . . . . . . . . . . . . . . . . . . . . . . . .217

Exhibit 111. Conceptual Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .229Exhibit 112. Creative and Traditional Problem Solving . . . . . . . . . . . . . .231Exhibit 113. Guidelines for Brainstorming . . . . . . . . . . . . . . . . . . . . . . . .232Exhibit 114. Project-Related Mind Map . . . . . . . . . . . . . . . . . . . . . . . . . .234Exhibit 115. How To Mind Map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .234Exhibit 121. Eight Steps to Transforming Organizations . . . . . . . . . . . . .248Exhibit 131. The Cascading Process for Goals and Strategies . . . . . . . . .265Exhibit 132. The So That Chain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .274Exhibit 133. Steps for Successful Program Planning and

Implementation: Creating a Continuous Feedback Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .278

Exhibit 134. Action Plan Template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .283Exhibit 141. Government Direct Expenditures on the

Criminal Justice System . . . . . . . . . . . . . . . . . . . . . . . . . . . .295Exhibit 142. Overview of the Criminal Justice System From Arrest to

Final Disposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .296Exhibit 143. The Systems Approach to Criminal Justice . . . . . . . . . . . . .304Exhibit 144. Measuring Criminal Justice Sanctioning Philosophies . . . .309

Introduction xix

Executive SummaryThis publication, Correctional Leadership Competencies for the 21st Century:Manager and Supervisor Levels, is the second of two companion documentsthat are being published by the Academy Division of the National Institute ofCorrections (NIC) as part of its Core Competencies Project. These documentsidentify and present core competencies and their related skills and behaviors forfour levels of correctional leaders: executives, senior-level leaders, managers,and supervisors. They are the end result of an extensive process that began whenRobert Brown, Chief, NIC Academy Division, sought to determine the skills andabilities that correctional leaders across a wide range of correctional agencies/organizations need to succeed. This led to the identification of four levels of cor-rectional leadership and the development of managerial profiles for each level.Core competencies were then identified for each level of leader through focusgroups and surveys, consultation with experts in the correctional field, and com-parison with other fields.

The Academy Division plans to use these competencies to design training pro-grams and to identify the most appropriate candidates for those programs. Inaddition, NIC hopes that correctional agencies/organizations will use the compe-tencies in recruiting and selecting correctional leaders, placing and retainingemployees, and succession planning for correctional leaders. Finally, individualcorrectional leaders may use these competencies in their own personal growthand professional development.

Chapter 1 of this publication presents the managerial profiles for the four levelsof leaders. Chapters 2 through 14 present the individual competencies for man-agers and supervisors. For each competency discussed in this publication, thefollowing elements are presented:

Definition.

Knowledge Base.

Key Skills and Behaviors.

Focus Matrix for Managers and Supervisors.

Resources.

Chapter 1: Managerial Profiles Chapter 1 presents the managerial profiles developed by the Core CompetenciesProject for each level of correctional leader: executives, senior-level leaders,managers, and supervisors. Recognizing the diversity of correctional

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xxii Executive Summary

agencies/organizations and respecting the many ways to organize effectively,these profiles are designed to provide a frame of reference for the types ofresponsibilities that are typically found at different management levels in a cor-rectional agency/organization.

Each profile includes a brief discussion of the levels authority and placementwithin the organizational structure; a list of responsibilities associated with eachlevel; a table showing the tasks associated with each responsibility; positionsthat typically fall within each level (because of differences in size and organiza-tional structure, the examples may not always be an accurate reflection of anyone organization); and, finally, a list of the core competencies associated witheach level of leadership.

Chapter 2: Ethics and ValuesEthical behavior lies at the heart of good management and supervision. In ademocratic society that values excellence in performance and individual humandignity, ethics based on respect, competence, and accountability are critical.This is particularly true in the corrections field because government delegatesthe ultimate use of force and coercion to correctional personnel.

Chapter 2 addresses the importance of ethics and values for correctional man-agers and supervisors. It begins with a discussion of the factors that make ethi-cal behavior at both the personal and institutional levels particularly importantin corrections and emphasizes the role of correctional managers and supervi-sors as the standard bearers of the ethical culture of the correctional agency/organization. The chapter then reviews three approaches to ethicsprinciple orrule based, consequential, and virtue.

The chapter then discusses integrity as the foundation of ethical behavior. Thisdiscussion names some important elements of integrity, and touches on ways inwhich integrity is applied in action, including the three domains of judgment inwhich public officials must apply integritypersonal commitments and capaci-ties, obligations of office, and prudence and effectiveness. It details the personalattributes required for ethical action and discusses six attributes of character.

Threats to ethics in the correctional environment work to undermine the integri-ty of correctional managers and supervisors. These include peer culture, denialof responsibility, rigidity, dominant informal actors (individuals who exerciseexcessive influence in a correctional agency or institution because of their expe-rience, knowledge of the workings of the institution, or ability to grant favors),tensions created by diversity (including differences in racial and ethnic makeupbetween offenders and correctional staff), and silence or secrecy regarding ethi-cal lapses, discrimination, and abuse. The chapter enumerates the steps that

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managers and supervisors can take to build an ethical organization: knowing therules and laws that govern the institution and the reasons behind them, buildingtrust and respect, being aware of discretion, understanding situations in context,modeling and educating staff in ethical standards, acting with courage andendurance, and seeking help and support when needed. It then describes the keyleadership values that ethical managers and supervisors must embody.

Finally, the chapter addresses the types of unethical behavior that correctionalmanagers and supervisors must avoid, including violations of trust, self-dealing,and conflict of interest, and identifies circumstances within the correctionalenvironment that may lead to unethical behavior.

Chapter 3: Interpersonal RelationshipsThe inability to effectively establish and maintain healthy interpersonal relation-ships is perhaps the main cause of leadership failure and career derailment.Research indicates that the ability to create effective interpersonal relationshipsis increasingly important in the workplace and that these soft skills may provemore valuable to a leader than intelligence. Successful leadership occurs when astrong network of relationships is developed, existing relationships are main-tained, and new relationships are continually added.

Chapter 3 addresses the role of interpersonal relationships in management. Aftersummarizing why the ability to establish and maintain effective interpersonalrelationships is important for managers and supervisors, the chapter focuses onfour aspects of that ability: empathy, social responsibility, relationship networks,and the use of communications technology to build interpersonal relationships.The chapter defines each of these attributes, discusses specific steps that man-agers can take to develop them and apply them in the workplace day to day, andpresents examples of each of these attributes in action.

Chapter 4: Oral and WrittenCommunicationSupervisors rarely do their work alone. Interacting and communicating with oth-ers are major parts of their jobs. As a two-way process, communication is effec-tive only when the intended audience receives the message, understands it,remembers it, and responds to it appropriately. Moreover, because of theincreasing diversity of cultures among offenders and correctional staff, compe-tence in intercultural communication becomes increasingly important for super-visors in correctional institutions. Poor communications can result in mistakes,misunderstandings, and conflict. The better a supervisor is at communicating,the more effective that supervisor will be as a leader.

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Chapter 4 addresses the role of communication in the day-to-day responsibilitiesof correctional managers and (especially) supervisors. It discusses the funda-mentals of effective oral communication, including how to identify differentstyles of communication, tailor communications to a particular audience, and bea good listener. It presents a matrix that shows how personal communicationstyles can be understood in terms of two dimensions of behaviordirect versusindirect and relationship versus task orientationand how verbal, vocal, andvisual clues reflect these dimensions. A second matrix shows how these dimen-sions inform four personal communication styles: relaters (indirect, relationshiporiented); socializers (direct, relationship oriented); thinkers (indirect, task ori-ented); and directors (direct, task oriented). This section of the chapter also dis-cusses the attributes of feminine and masculine communication styles, thecharacteristics that affect intercultural communications, and techniques of effec-tive nonverbal communication. It then presents techniques for improving listen-ing and response skills in three areas: active listening, giving and receivingfeedback, and asking questions.

The chapter offers guidelines for communicating effectively with groups atmeetings and in presentations. These guidelines first address steps for preparingfor meetings, including identifying the purpose of the meeting, determining thesupervisors role in leading the meeting, completing the necessary administra-tive tasks, and providing advance notice of the meeting. They then address tech-niques for effectively facilitating meetings, including encouraging participation,focusing on objectives, and summarizing meeting outcomes. Finally, theyaddress considerations in making successful presentations, including knowingthe purpose and value of the presentation; understanding the four types of pre-sentations: report, explanatory, persuasive, and instructional; understanding thestructure of the presentationintroduction, body, and conclusionand tailoringthe presentation to the audience; and techniques (both body language and ver-bal) for delivering presentations.

Finally, this chapter presents tips for effective written communication, includingspecial considerations for using e-mail. Tips include choosing the appropriateform of written communication based on degree of formality, level of complexi-ty, speed of delivery, and internal or external audience; knowing the audienceand putting oneself in the readers place; and conveying the message with clari-ty, conciseness, and readability.

Chapter 5: Motivating OthersMotivation is the internal drive that stimulates a person to try hard to achieve hisor her goals. A motivated employee tries harder than an unmotivated one to getthe job done and to do it well. An effective manager understands that motivation

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exists when a conscious or unconscious need or desire is met through work andfinds ways to align the workers needs or desires with his or her work.

Chapter 5 addresses the importance to correctional managers and supervisors ofmotivating their staff. It first discusses the need for greater motivation and moreeffective use of employee capacities within organizations, and describes howsecurity factors and motivating factors affect job attitudes. Relying on FrederickHerzbergs motivation-hygiene theory, it points out that contrary to the beliefs ofmost managers, motivating factorsfulfilling work, achievement and its recog-nition, responsibility, and growth or advancementrather than job security fac-torssalary, work conditions, supervision, interpersonal relationships, status,and so onare the sources of job satisfaction.

The chapter offers guidelines for hiring motivated employees and removingunmotivated employees, noting the challenges related to civil service and laborrules. It notes that effective managers, when hiring, focus on character attributesand motivation rather than educational background or technical skills.

The section on behaviors that motivate illustrates how four behavioral consequencespositive reinforcement, negative reinforcement, punishment,and penaltyaffect behavior and points out the problems created by overuseof negative reinforcement. In addition, by applying the ABC (AntecedentBehaviorConsequences) Model of Behavior Change in a correctional setting,it shows that managers often unintentionally provide negative reinforcement fordesired behaviors while failing to provide positive reinforcement for thosebehaviors. It advocates using positive reinforcement to bring out the best inemployees and urges managers and supervisors to avoid such common mis-takes as choosing the wrong form of positive reinforcement, making employeescompete for positive reinforcement, and reinforcing too little, too late. Onepositive reinforcement technique suggested is aligning employees personal andprofessional interests.

Chapter 6: Developing Direct ReportsEmployees are a correctional agency/organizations most valuable resource. Forthe organization to operate at its full potential and attain maximum productivity,each employee must become a fully contributing member. The more managersand supervisors nurture and develop the employees who report directly to them(known as direct reports), the more likely those employees are to stay with theorganization and to make successful contributions.

Chapter 6 addresses the importance to correctional managers and supervisors ofdeveloping and nurturing their direct reports. It describes the joint responsibilities

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of the organization, management, and individual direct reports in ensuring thateffective employee development takes place.

Organizations can show that they value direct report development by trainingmanagers and supervisors to help direct reports understand their responsibilitiesand perform successfully; providing employees with basic skills and knowledge,including knowledge of the organization, during their first year of employment;and recognizing and rewarding successful development. Organizations shouldensure that direct reports move through three stages of development over thecourse of their employment: acquiring basic skills (both for new hires and forline-level employees moving into supervisory positions), enhancing perform-ance, and preparing for future roles or succession planning.

Managers have the responsibility to help design career paths, act as resourcepersons, and provide feedback for their direct reports. In developing directreports, managers must be able to move between two broad interaction strate-gies: directive and collaborative. They act as coaches for their direct reports bydesigning the relationship, setting clear expectations, providing training oppor-tunities, giving clear feedback, and attending to immediate and future skillneeds. For this, they especially need these five skills: appraisal, listening, ques-tioning, giving feedback, and planning and goal setting.

It is critical that direct reports take an active role in their own development. Notonly must they take the initiative to understand their job responsibilities andkeep that understanding current, they must also develop an understanding ofemotional intelligence, in particular the elements of self-awareness and self-management.

Chapter 7: Managing ConflictIf managed correctly, conflict can productively leverage diversity, unify individ-uals around a common goal, promote cooperation, and encourage innovativesolutions. However, if poorly managed, conflict can decrease the desire to worktogether and eventually break apart a group or organization. Effectively manag-ing conflict uses conflicts benefits but avoids its pitfalls.

Chapter 7 addresses the role of managers and supervisors in interpersonal con-flicts in the workplace. After summarizing why the ability to manage conflict isimportant, the chapter outlines six sources of conflict: relationships, data, inter-ests, structure, values, and resources. It then suggests self-assessment tools thatcan help managers and supervisors understand their own response to conflict,concentrating on the conflict management styles identified in the ConflictLensTM. The Conflict LensTM model illustrates 10 dichotomies of behavior andattitudes used in responding to conflict.

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The chapter presents techniques to help managers and supervisors manage con-flict with their boss, direct reports, and colleagues; mediate conflicts betweendirect reports; and facilitate conflict management in a team setting. Elements ofbuilding a relationship with a boss include understanding the bosss goals,strengths, weaknesses, and work style; assessing ones own needs and workstyle; and developing and maintaining an effective relationship that accommo-dates both. Managing conflicts with direct reports requires effectively usingpersonal power (power based on mutual respect and trust) as well as positionpower (power based on authority). Managing conflicts with colleagues relies oninterest-based bargaining (seeking a win-win solution that develops and pre-serves the relationship between the negotiators) rather than position-based bar-gaining (making offers and counteroffers until one party wins). In mediatingconflicts among direct reports, managers and supervisors must maintain neu-trality and, if possible, should facilitate an agreement without using their deci-sionmaking authority. However, some serious employee conflicts may requirethe manager or supervisor to impose a solution. Finally, facilitating conflictresolution in a team setting calls on the manager or supervisor to set anduphold ground rules for interaction among the team members and to help theteam members establish and implement an agreement to resolve the conflict.

Chapter 8:Team Building Successful teams, like individuals, require thoughtful development and support.If a team is given sufficient attention and direction, the potential is great notonly for accomplishing the task, but also for individual and team learningopportunities. Managers and supervisors who understand how to develop teamsbenefit from career advancement opportunities and their organizations benefit bymeeting their objectives.

Chapter 8 addresses the importance of team building for correctional managersand supervisors. It first discusses the types of teams that are encountered in theworkplace, differentiating true teams (wherein individual talents and abilitiescontribute to a purpose for which all are accountable) from pseudo-teams (whichlack a focus on collective performance) and working groups (which come togeth-er to share information, perspectives, and best practices, but from whom no jointperformance need, accountability, work product, or service is expected). Teamsalso differ in their longevity: natural (ongoing) work teams (e.g., shifts in a cor-rectional institution) that work together on multiple projects, as opposed to proj-ect (temporary) teams that are established to achieve a specific, short-term goal.

The ability to build and lead teams is a prerequisite to success not only for thecorrectional agency/organization, but also for individual leaders. Chapter 8 pre-sents 12 elements of successful work teams at the manager and supervisor

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levelsclarity of purpose and goals, performance measurement, team leader-ship, trust, team membership, defined roles and responsibilities, communication,decisionmaking process, effectively managing meetings, stages of team growth,ongoing training, and external support and recognition.

Chapter 9: CollaborationCollaboration in correctional agencies/organizations is important from two per-spectives: internal and external. When internal collaboration is encouraged,employees become more invested in the success of the organization and theydevelop a greater understanding of and commitment to its goals. From the exter-nal perspective, criminal justice and correctional agencies/organizations can nolonger afford to be isolated from one another or from other public service deliv-ery systems. The importance of collaboration stems not only from the rewardsof working together toward the common good but also from the potential forcontrolling the increasing costs of expanding correctional systems.

Chapter 9 describes four opportunities for managers and supervisors to addresscollaboration:

Informal or interpersonal: Unstructured and casual collaboration among twoindividuals or an informal group.

Work team: Involving a specific project or an ongoing work team. Organizational: Employees and leaders working together in a single office or

across multiple offices and institutions in a correctional system.

External: Working outside the organization with stakeholders, communitypartners, other government agencies, and nongovernmental groups.

Chapter 9 discusses the three elements of interpersonal collaboration: socialskills, communication, and diversity. It then presents six elements of a collabo-rative work team (with reference back to the discussion of these elements inchapter 8, Team Building): clarity of purpose and goals, performance meas-urement, team leadership, decisionmaking processes (with an emphasis on col-laborative decisionmaking), team membership, and defined roles andresponsibilities. Next, it describes organizational opportunities for collaborationand enumerates three elements of a collaborative organization: collaborativeleadership, trust (including contractual, communications, and competence), andcooperation across teams. Finally, in discussing external opportunities for col-laboration, it presents four elements of a successful collaborative alliance: ashared need for the alliance, alliance membership, collaborative versus position-al leadership, and support from top leaders.

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Chapter 10: Problem Solving andDecisionmakingSolving problems and making decisions are a natural part of the work environ-ment. Changes are constantly occurring in materials, methods, tools, equipment,people, and policies. Managers and supervisors responses to problems and theeffectiveness of their decisions have a crucial impact on the people who workfor them and the organizations they manage. Using problem-solving anddecisionmaking skills will improve both the quality of decisions and the degreeto which people support them.

Chapter 10 addresses problem solving and decisionmaking in correctionalagencies/organizations from the perspective of managers and supervisors. Thechapter presents a seven-step approach to problem solving along with a casestudy series that applies each of the steps to a problem of customer/constituentdissatisfaction in a particular correctional facility. This approach is particularlyeffective for problems that can be clearly defined and for recurring problemsthat have a significant impact on staff, operations, or inmates and othercustomers/constituents. For each step, the chapter discusses why the stepshould be taken, how to do it, and tips for performing the step. Steps one andtwo involve defining the problem and analyzing its potential causes.Techniques presented include the use of Pareto charts to prioritize causes andto focus attention and resources on the most relevant ones. Decisionmakingrequires looking at alternative solutions and selecting the best one for imple-mentation (steps three and four). Techniques presented include the use of a cri-teria rating matrix to score solutions based on agreed-on and weighted criteria.Steps five, six, and seven deal with taking action: developing an action plan,implementing a solution, and evaluating the solution to determine if the prob-lem was actually solved. Techniques include matrixes for action and contingencyplans, customer/constituent surveys, and critical incident review.

The chapter then addresses creative and proactive problem solving. Creativeproblem solving requires managers and supervisors to first determine when aproblem is too complex for one person to solve alone and who else should beinvolved. Techniques for encouraging participation and creativity include mak-ing sure that all sides of the problem are discussed, injecting thought-provokingquestions or comments, showing appreciation for contributions to encourageopenness and risk taking, and using the creative thinking tools discussed in thenext chapter, Strategic Thinking. Proactive problem solving anticipates prob-lems that could interfere with service delivery, customer or employee satisfac-tion, or other significant aspects of the organizations performance byestablishing measures that signal problems, monitoring implementation of pro-

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grams or services, and preparing contingency/risk management plans. Finally,the chapter presents techniques for intuitive decisionmaking in situations wherelimited time or information prevents managers and supervisors from using amore structured decisionmaking approach.

A matrix details the roles of each level of management in problem solving anddecisionmaking based on the type of problem, the scope or complexity of theproblem, the problem-solving partners, and the critical competencies required.

Chapter 11: Strategic ThinkingStrategic thinking encompasses the ability to recognize the relationships, com-plexities, and implications of a situation, anticipate possibilities, and plan whatto do. The strategic thinker sees issues in the context of systems and their rela-tionship to other systems. The skilled strategic thinker knows how to takeadvantage of opportunities that others might miss, recognizes the relationshipsbetween seemingly disparate entities, and views daily tactical issues in a broaderand longer term context. The strategic thinker is able to consider a broad rangeof alternatives when addressing a challenge.

Chapter 11 addresses the importance of strategic thinking for managers andsupervisors in correctional agencies/organizations and provides techniques for expanding their capacity to think and act strategically. The chapter first discusses challenges that require strategic thinking and outlines its benefits.The chapter then explains the elements of strategic thinking, including the different types of thinkinganalytical, critical, conceptual, creative, and intuitiveand modes of thinkinglogic and intuition, synthesis and analysis,convergence and divergence, holistic and divided, sequential and simultaneous,and hierarchy and network.

Because most correctional managers and supervisors have worked in systemsthat place the greatest value on analytical and critical thinking, the chapter presents techniques for expanding ones thinking and developing new ways ofthinking, particularly in the areas of conceptual, creative, and intuitive thinking.These techniques include brainstorming, imagery, analogies, and mind mapping.

Chapter 11 then presents a framework for strategic thinking: Management byGroping Along guides leaders when they need to push ahead on an issue with-out an implementation plan. The five steps are know the goal; do the doable first(proceed by incremental steps); fix as you go (learn from mistakes and adjustthroughout the implementation process); seek feedback, fix mistakes, and stayflexible; and describe the purpose.

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Chapter 12: Managing ChangeMost public sector managers and supervisors are good analysts and decision-makers who can define a problem and develop a strategy to resolve it. What dis-tinguishes the effective manager or supervisor is the ability to implement theproposed solution. Understanding how and why people adapt to change can helpa manager or supervisor develop more effective change strategies.

Chapter 12 addresses managing change in correctional agencies/organizationsfrom the perspective of managers and supervisors. After discussing the impor-tance of managing change, the chapter addresses the change dynamic and discusses Geoffrey Bellmans model of its four elements: Is, Wants, Players,You. This discussion includes a series of questions for clarifying the changeelements, and presents four requirements for effective change management:listening with intent, understanding ones values and motives, submergingones ego, and being flexible.

Chapter 12 then discusses the change process and presents John P. Kotterseight-step model for transforming organizations. These steps are establishing asense of urgency (getting employees to want the change); forming a powerfulguiding coalition through the effective use of position power, expertise, credibil-ity, and leadership; creating a vision; communicating the vision; empoweringothers to act on the vision; planning for and creating short-term wins that can becelebrated in meaningful ways; consolidating improvements to produce stillmore change; and institutionalizing the new approach.

Next comes guidance on how to manage transitions from what is to what isdesired, which involves William Bridges three-stage model for transition. Thismodel moves from the ending of the old way of doing things to the neutral zone(when the organization has not fully left the old behind or embraced the new) tothe beginning of the new. The transition process is analogous to the grievingprocess defined by Elizabeth Kbler-Ross. Techniques for responding to eachstage in the process include acknowledging, respecting, and compensating forthe sense of loss that employees may feel; creating temporary systems andestablishing a transition management plan; and explaining the purpose of thechange and giving each employee a role to play in the change process.

Chapter 13: Program Planning andPerformance AssessmentEffective leadership reflects how key decisions are made, communicated, andcarried out at all levels of an organization. It relies on shared values, expecta-tions, and purposes that are communicated and reinforced among leaders,

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managers, and supervisors and are made evident in the actions of the organiza-tion. Program planning and performance assessment are valuable tools for lead-ers to use in establishing organizational direction, performance expectations,customer focus, and a leadership system that promotes excellence. They are alsouseful for communicating the correctional agency/organizations intentions anddirection to regulatory and funding authorities.

Chapter 13 addresses the importance of program planning and performanceassessment for correctional agencies/organizations from the perspective of cor-rectional managers. It first offers a framework for developing and implementinga program plan in a correctional setting. A program plan aligns programresources with the correctional agency/organizations priorities, mission, vision,and goals. The chapter presents the cascading process for achieving this align-ment at all levels of the organization through the development of goals andstrategies or objectives at the division, program, unit, and individual or workgroup levels. The building blocks of the program plan include the assessment ofthe external and internal environments; the organizations vision, mission, val-ues, and goals; its strategies and initiatives; the financial plan; and its perform-ance measures. The chapter defines each building block, provides examples, andoffers recommendations for development.

Chapter 13 then provides a consistent set of definitions for program perform-ance assessment, including performance measurement and evaluation of pro-grams. The discussion of performance measurement distinguishes five types ofperformance measures (objective statements, outcome, input, process/workload,and efficiency) and presents recommendations for developing these measures.Frameworks, using these performance measures, monitor implementation of thestrategic plan:

Exception reporting measures current performance against a stated target andgenerates a report when the measure is outside predetermined parameters.

Management review requires managers to make regular, structured presenta-tions on performance measurement data to executives and senior-level leadersand to answer administrative, diagnostic, creative and predictive, and evalua-tive questions on their presentations. Generally, a group discussion follows onbest practices, barriers to success, and opportunities for collaborative problemsolving.

Two other performance assessment tools are presented: program evaluations andperformance audits. Program evaluations are indepth examinations of programperformance that assess how well a program is working when its results cannot

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be readily defined or measured. Performance audits are independent assessmentsof quality, efficiency, and effectiveness that verify performance and quality standards that may be difficult to capture with ongoing performance measures.

Finally, chapter 13 discusses how program planning and performance assess-ment create a continuous feedback cycle that enables managers to refine theirprograms to help the correctional agency/organization carry out its mission moreeffectively and respond to changes in its strategic direction. This cycle has foursteps: planning, implementation, monitoring, and ongoing quality improvement.

Program implementation is often accomplished at a team level, with one ormore teams or task forces assigned to individual projects related to the program.Methods for ensuring successful program implementation include defining theproject sponsor/process owner, utilizing employees, establishing team charters,using an action plan to monitor the progress of each project, creating a learningenvironment, and understanding the roles of various levels of leaders within theorganization. At a minimum, the action plan should address who (process own-ers and team members); what (project description); when (project completiondate); how (resources); and status.

Chapter 14: Criminal Justice SystemAll parts of the criminal justice system have an effect on one another. Each partis important and plays its own role as defined by the branch of governmentunder which it operates. Understanding the criminal justice system improvesproblem solving, removes barriers to change, and improves the chances ofdeveloping effective long-term strategic plans.

Chapter 14 provides an overview of the criminal justice system for correctionalmanagers and supervisors. It first presents statistics regarding the scope of thecriminal justice system in the United States and a diagram of the workings ofthe system from arrest to final disposition.

The chapter then discusses the roles of each branch of governmentexecutive,judicial, and legislativein the system. The executive branch manages the oper-ations of the criminal justice system, providing for basic law enforcement; con-fining offenders in jail (both pretrial and posttrial) or prison (posttrial); andoverseeing intermediate sanctions such as probation, parole (also known aspostrelease supervision), or community corrections as well as treatment pro-grams that address specific offender needs (e.g., drug or alcohol treatment, sexoffender treatment, and cognitive skills development). The judicial branch deter-mines the guilt or innocence of defendants, sets the terms and conditions of thesentence, and, especially in specialized courts such as drug and reentry courts,oversees the management of some offenders before trial and after conviction.

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Courts include general jurisdiction trial courts, appellate courts, and specializedcourts such as drug courts, family courts, and tribal courts. The legislativebranch writes the laws that the executive branch enforces and the judicial branchadjudicates, and ultimately sets criminal justice system policies and proceduresthrough statute. One development involving state legislatures in recent years isthe passage of victims rights amendments to state constitutions.

Chapter 14 then provides an overview of the sanctioning philosophies underwhich criminal justice systems operate, and presents a systems approach tocriminal justice operations that aligns the goals of individual agencies with theoverall goals and philosophy of the system as a whole. Sanctioning philoso-phies include punishment/retribution, crime reduction, recidivism reduction,reparation, economic costs, public satisfaction, and restoration. The systemsapproach relies on an oversight body such as a community criminal justicecoordinating council, a regional criminal justice council/board, or a state commission on criminal justice to develop the overall system goals (called BigHearty Audacious Goals or BHAGs), align individual agency or program goalswith those system goals, and create the action plan for meeting the goals.Mapping possible options, causes, and outcomes at key decision points in thecriminal justice system where agencies have maximum influence (e.g., arrest,pretrial detention, release from pretrial detention, prosecution, adjudication,sentencing, and sentence modification) and identifying indicators at thosepoints for comparison with other jurisdictions (e.g., crime rates, recidivismrates, public satisfaction levels, and rates of plea bargains for specific crimes)provide a means for measuring a systems overall effectiveness.

IntroductionNancy M. Campbell

This publication, Correctional Leadership Competencies for the 21st Century:Manager and Supervisor Levels, is the second of two companion documentsthat are being published by the Academy Division of the National Institute ofCorrections (NIC) as part of its Core Competencies Project. This project wasestablished in response to a question by Robert Brown, Chief, AcademyDivision: How can we design curriculums if we arent sure what skills andabilities are required for success at the various levels of correctional manage-ment? This publication and its companion, Correctional LeadershipCompetencies for the 21st Century: Executives and Senior-Level Leaders,answer this question by identifying and presenting core competencies and theirrelated skills and behaviors for four levels of correctional leaders: executives,senior-level leaders, managers, and supervisors.

The Core Competencies Project:Meeting the ChallengeNIC is faced with the complex and challenging task of creating leadership andmanagement training programs for a wide array of correctional professionals.These programs serve correctional agencies/organizations that range from smallrural jails that house fewer than 20 offenders to large state correctional systemsthat may serve 50,000 inmates, probationers, and parolees. Correctional agencies/organizations vary tremendously in size, scope, and structure, both within andacross organizations. Some combine city, county, and state functions; othersserve only one level of government. Thus, although all the participants in anNIC training program are in the correctional field, their professional experiencemay differ dramatically. For example, a deputy warden in one system may havea significantly different role and/or level of responsibility than a deputy wardenin another system.

Although designing a competency model to clarify current and future roles andresponsibilities for leaders and managers in an individual correctional agency/organization may be relatively straightforward, doing so for each correctionalagency/organization served by NICs training programs would be cost prohibi-tive, given their number and their variation in size and scope. The challenge wasto create a series of core competency models that could apply across the rangeof correctional agencies/organizations.

1

2 Introduction

Developing the Managerial ProfilesThe Academy Division first created profiles of the roles and responsibilitiesmost common to a targeted level of correctional leadership. These profiles,which are presented in chapter 1, are not intended to describe a specific organi-zation but represent many organizations.

The Core Competencies Project identified four levels of correctional leaders forwhich competencies were to be developed: executives, senior-level leaders,managers, and supervisors. Although, as noted earlier, correctional agencies/organizations vary widely in size and structure, these represent the typical levelsof leadership.

Managerial profiles were then developed for each of these levels. These profilesprovide a frame of reference for the typical responsibilities found in a correc-tional agency/organization. Each profile has four sections:

Authority: The source of the positions authority. This includes both internaland external reporting relationships and placement within the organizationalstructure.

Responsibilities: The typical responsibilities associated with each level ofleadership.

Tasks: The typical tasks associated with each responsibility.

Positions: Examples of positions found at each leadership level.

The responsibilities and associated tasks at each level address seven key areas:vision, goals and objectives, organizational culture, budget and financialresources, the external environment, public policy, and human resources (a com-petent and diverse workforce). Although each of the four levels of leadershiphas responsibilities in each of these key areas, those responsibilities vary. Forexample, although the executive is ultimately responsible for the organizationalvision, senior-level leaders are responsible for building commitment to thevision and aligning the vision to the services and programs provided.

Developing the Core CompetenciesOnce the profiles for each level of leader were created, the project then soughtto identify the characteristics that resulted in the best performance at each level.Based on focus groups and surveys of correctional leaders, input from experts inthe correctional field, and comparisons to other fields in the private nonprofitand for-profit arenas, 13 areas were chosen as core competencies for correction-al managers and supervisors.

Introduction 3

These competencies, which are presented in chapters 2 through 14, represent thekey skills, knowledge, and attributes of effective managers and supervisors.Although these competencies overlap significantly with those identified forexecutives and senior-level leaders in the companion document, CorrectionalLeadership Competencies for the 21st Century: Executives and Senior-LevelLeaders, each document is designed to emphasize the knowledge of the compe-tency needed by each level of leader. Each competency model also links skillsassociated with that competency with a set of specific behaviors for managersand supervisors. The competencies are presented in the following format:

Definition: Each chapter begins with a brief definition of the competency andassociated concepts as appropriate.

Knowledge Base: This section presents the knowledge of the competency thatmanagers and supervisors should possess. It begins with a discussion of whycorrectional managers and supervisors should possess the competency andthen provides a context for understanding the competency, both as a generalprinciple and within the correctional environment. Finally, it provides a sum-mary that emphasizes the key elements of each competency.

Competencies

Managers Supervisors

Ethics and Values Ethics and Values

Interpersonal Relationships Interpersonal Relationships

Motivating Others Oral and Written Communication

Developing Direct Reports Motivating Others

Managing Conflict Developing Direct Reports

Team Building Managing Conflict

Collaboration Team Building

Problem Solving and Decisionmaking Collaboration

Strategic Thinking Problem Solving and Decisionmaking

Managing Change Criminal Justice System

Program Planning and Performance Assessment

Criminal Justice System

4 Introduction

Key Skills and Behaviors: This section presents key skills needed by man-agers and supervisors to be proficient in each competency and the behaviorsassociated with each skill.

Focus Matrix for Managers and Supervisors: An appendix to each chapterpresents a table that shows how elements of the competencies apply to eachlevel of leader, emphasizing the differences between managers and supervi-sors in responsibilities related to the competencies.

Resources: This section presents source and background materials related toeach competency. Where a competency is discussed in both this documentand the companion document, the resource list will include materials relatedto all levels of management. This gives managers and supervisors an opportu-nity to acquaint themselves with aspects of the competency that pertain to theresponsibilities of executives and senior-level leaders so that they can furthertheir professional development and prepare to step into those roles.

How To Use the Core CompetenciesThe core competencies presented in this publi