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Organizing your organization : a demonstration study of management by objectives and results in a county jail

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Title:
Organizing your organization : a demonstration study of management by objectives and results in a county jail
Creator:
Katsampes, Paul Leslie
Place of Publication:
Denver, CO
Publisher:
University of Colorado Denver
Publication Date:
Language:
English

Thesis/Dissertation Information

Degree:
Doctorate ( Doctor of public administration)
Degree Grantor:
University of Colorado Denver
Degree Divisions:
School of Public Affairs, CU Denver
Degree Disciplines:
Public administration
Committee Chair:
Pijoan, G. Nicholas
Committee Members:
Pogrebin, Mark
McCormick, Paul

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University of Colorado Denver
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Auraria Library
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Copyright Paul Leslie Katsampes. Permission granted to University of Colorado Denver to digitize and display this item for non-profit research and educational purposes. Any reuse of this item in excess of fair use or other copyright exemptions requires permission of the copyright holder.

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ORGANIZING YOUR ORGANIZATION: A DEMONSTRATION STUDY OF MANAGEMENT BY OBJECTIVES AND RESULTS IN A COUNTY JAIL
by
Paul Leslie Katsampes
B.S., Metropolitan State College, 1970 M.A., State University of New York at Albany, 1972 M.P.A., University of Colorado, 1974
A thesis submitted to the faculty of the Graduate School of Public Affairs of the University of Colorado in partial fulfillment of the requirements
for the degree of Doctor of Public Administration
1979


This Thesis for the
Doctor of Public Administration Degree by Paul Leslie Katsampes has been approved for the Graduate School of Public Affairs by


Ill
Katsampes, Paul Leslie (D.P.A., Public Administration) Organizing Your Organization: A Demonstration Study of Management by Objectives and Results in a County Jail
Thesis directed by Associate Professor Nicholas Pijoan
This is a study of a management by objectives and results project in a county jail agency. The purpose of this writing is to present an applied model of a management by objectives and results project in a county jail setting and to discuss and evaluate the issues of MBOR relating those issues to the applied model.
The target agency was the Boulder County Colorado Sheriff's Department Corrections Division. This organization as a result of a social change affecting county jails, attempted to change its philosophy, operations and physical plant. To support an organized change the Boulder jail administration implemented the MBOR project for a period of fifteen months.
The study revealed positive and negative results when the process was related to the issues of MBOR implementation. Positively the project resulted in a clear philosophy statement which stands as a model for other jail systems; the process of MBOR was completed and the description of the process exists as a model for other agencies; the positions in the programs and administrative areas were thoroughly described and clarified; and the agency's functional objectives and


iv
corresponding action agendas are outstanding examples. Problems surfaced during the fifteen-month process included a deficiency in pre-implementation training, a lack of proper pre-implementation organizational analysis, inadequate training for the MBOR skill development of some supervisors, a lack of participation by some employees, a lack of continued reinforcement for the process and a poor evaluation process.
The project did serve to assist jail managers in their organizational change effort and some results should serve as a model for progressive jail operations. Overall, the application of MBOR in a public agency is supported by evaluating this program implementation process.
This abstract is approved as to form and content, I recommend its publication.
Signed
Faculty member in charge of thesis
G. Nicholas Pijoan


V
ACKNOWLEDGEMENTS
I wish to acknowledge the support and aid of Nick Pijoan whose approach to interpersonal relations and problem solving made the work of completing of this paper much less of a chore than it could have been. I am indebted to Mark Pogrebin for his efforts of reading, editing and revising the manuscript. I am most grateful to Mark for challenging me and keeping me accountable which ensured the producing of a quality effort. This is a leadership attribute not often displayed by supervisors. I am indebted to Paul McCormick for his support at the Boulder County Jail and with this paper.
I also owe a debt to the word processors; Julia O'Rourke for her criticism and humor, Lee Valas for her competent editing and feedback, Virginia Wood and Sharon Sherman for the tedious hours of typing.
I am especially indebted to the faculty of the Graduate School of Public Affairs for teaching me the real meaning of trust, dependability, integrity and service.
Finally, to Sue, Michael, Julie, Kathy, Peter, Patti and Philip who endured the many years of a part-time father, I am regretful for the loss of irreplaceable time and grateful for their understanding.


TABLE OF CONTENTS
Acknowledgements ................................... v
CHAPTER PAGE
I. INTRODUCTION ............................... 1
A. Mission ................................ 1
B. Boulder County Jail Overview ........... 2
C. Management by Objectives and
Results: Why and How .................. 9
II. THE TREND OF CHANGE IN U.S. JAILS......... 19
A. Introduction .......................... 19
B. The Pre-incarceration
Era - The 1600s ....................... 21
C. Incarceration - The 1800s ............. 25
D. The Medical Model - The 1950s ......... 29
E. Community Corrections - The 1960s ... 32
F. Judicial Intervention - The 1970s ... 36
III. MANAGEMENT BY OBJECTIVES: A CONCEPTUAL
OVERVIEW ................................. 4 3
A. The Evolution of MBOR ................. 43
B. MBOR and Productivity ................. 49
C. The MBOR Process ...................... 55
D. Implementation of MBOR ................ 68
E. Pre-implementation Training ........... 72
F. Direction of the Implementation
Process ............................... 75


via
CHAPTER PAGE
H. Reinforcement ......................... 81
I. MBOR Elements and Issues:
A Summary ............................. 84
IV. THE BOULDER JAIL MBOR IMPLEMENTATION
PROCESS .................................. 91
A. Organization Structure and
Function .............................. 91
B. Pre-implementation Design ............. 94
C. Philosophy Development ................ 99
D. Key Result Areas ..................... 101
E. Key Indicator Development ............ 105
F. Objectives, Action Agendas and
Controls ............................. 107
G. Evaluation ........................... 129
V. RESULTS AND DISCUSSION ................... 13 5
A. Strategy and Rationale ............... 133
1. Data Collection Methodology ...... 134
B. Results Analysis - Processes ......... 136
1. Philosophy Statement ............. 136
2. Key Result Areas ................. 138
3. Key Indicators ................... 139
4. Objectives, Action Agendas
and Controls .................... 140
5. Performance Appraisal ............ 143


Vlll
CHAPTER PAGE
6. Program Evaluation ............... 152
7. Corrective Action ................ 154
C. Results Analysis - Implementation.... 155
1. Pre-implementation Organization Analysis ..................... 155
2. Pre-implementation Training ...... 157
3. Management Commitment and
Support.......................... 159
4. Implementation Preparation
and Pre-design .................. 161
5. Directionality of Implementation ........................... 161
6. Participation of Employees in
Implementation .................. 162
7. Reinforcement .................... 166
D. Conclusion ........................... 167
BIBLIOGRAPHY ..................................... 174
APPENDIX ......................................... 179
A. TEAM KEY INDICATORS .................. 17 9
B. PRE-IMPLEMENTATION OBJECTIVES
AND ACTION AGENDAS .................. 200
C. JOB CRITERIA OBJECTIVES, CONTROLS
AND DESCRIPTIONS FOR EACH
ORGANIZATION FUNCTION ............... 207
D. ORGANIZATION OBJECTIVES, ACTION
AGENDAS, CONTROLS ................... 308


IX
CHAPTER PAGE
E. BOULDER COUNTY CORRECTIONS -MANAGING BY OBJECTIVES AND
RESULTS (EVALUATION).................. 390
F. MB OR QUESTIONNAIRE .................. 427


X
LIST OF TABLES
TABLE PAGE
I. Advantages of Management by
Objectives ............................. 62
II, Boulder County Corrections Division
Organization Chart ..................... 93
III. Timetable for Implementation of
the MBOR Project ....................... 97
IV. Boulder County Corrections Mission
Statement ............................. 100
V. Team Mission Statements ................ 102
VI. Key Result Areas ....................... 103
VII. Key Indicators for Staff Development... 108
VIII. Job Responsibilities for Program
Team Leader ........................... 114
IX. Program Team Leader Objectives ......... 117
X. Objectives for Career Planning ......... 127
XI. Philosophy Statement ................... 137
XII. Clarity of Individual Job Assign-
ment as a Result of the MBOR Project... 142
XIII. Performance Appraisal is Based on
Job Behavior .......................... 145
XIV. Supervisor Encourages Individual
Goal Setting .......................... 146
XV. Supervisor Helps in Performing Job .... 147
XVI. Performance Related Feedback ........... 149


TABLE
PAGE
XVII. Supervisor Involvement in Employee's
Career Planning ....................... 150
XVIII. Results of Evaluation Phase Assist
Organizaton Problem Solving ........... 153
XIX. Evaluation Results are Generally
Known to Staff ........................ 154
XX. Participation in Decision Making
Before MBOR Project- Implementation .... 156
XXI. MBOR Implementation Training .......... 158
XXII. Management Commitment to MBOR
Project ............................... 160
XXIII. Directionality in Goal Setting ........ 163
XXIV. Participation of Employees in
MBOR Process .......................... 165
XXV. Team Involvement ...................... 165
XXVI. Employees Informed of MBOR Process .... 167


CHAPTER I
INTRODUCTION
Mission
There is a major change evolving in jails in the United States. These often ignored bastilles have become targets of a social change which is far reaching in impact; financially and philosophically. This Dissertion is presented as a model of one alternative to solving the*problems inherent in changing a stoic, unmoving organization, such as the county jail.
The major purpose of this writing is to complete the following goals:
(1) To present an applied model of a management by objectives and results project in a county jail setting.
(2) To discuss and evaluate the issues of management by objectives and relate those issues to the applied model.
There have been numerous studies, texts and papers'*' written examining the concepts, the issues and the processes of management by objectives and results. There have been very few demonstrations of case studies or known applications of MBOR in a county jail organization.
The Boulder County Sheriff's Department's Corrections Division implemented a management by objectives and results project for a one year period in


2
an attempt to better organize the agency. Managing by objectives and results (MBOR) is a process which includes setting objectives, otaining results of the objectives and readjusting organizational goals and operations in relation to the results. The purpose of attempting a difficult project like MBOR is two-fold.
First, the MBO process has proven to be a valid management tool in certain circumstances. Because there is much literature which discusses the issues and process it is worthwhile to continually test those issues.
The fact that our target agency, the Boulder Colorado County Jail, is a public agency lends additional importance to the project as there are few demonstrations of MBOR in the public sector. Second, and most important, this is a demonstration model for a county jail.
As previously stated (and we will examine this much closer in the following chapter) the county jail organiza tion today is facing a tremendous period of social change Under this relentless pressure, the MBOR process allows the jail administrator a management tool which systematically restates the organizational mission, redefines the organization's operational policies and reformulates its operational procedures.
Boulder County Jail Overview
The philosophy, physical design, and operation of the Boulder County Jail was developed through a


3
community planning endeavor which included criminal justice practioners, planners, experts, volunteers, county officials and citizens representing special interest groups. They determined that there was a need for a new approach to detention and longer term incarceration other than the traditional methods used by regular jail systems. To have constructed a new county jail merely to accomodate a rising inmate population, officials believed, would have resulted in a short-term solution — that of a larger facility lacking corrections capabilities. Instead, the overriding philsophy of "alternatives to incarceration" was employed in design of the new county jail resulting in a slightly larger facility with a totally revamped physical design.
The results of the integrated and progressive planning effort is a modern jail facility designed to provide a safe and secure facility for the incarceration of individuals while also providing a humane atmosphere. In order to provide this atmosphere, there are individual rooms providing privacy for each person, group rooms providing space for leisure activities and group interaction, a full-sized gymnasium, a lounge, an extremely large outdoor courtyard, a classroom, a library, and a comfortable cafeteria.
The facility meets the recent court rulings calling for a constitutional jail in that it provides


4
adequate living space, windows, acceptable noise levels, healthful and sanitary condition, provisions for visiting, recreation facilities, classifications, and programs.
A modular design of living units allows for separation of inmates to provide security and to encourage small group interaction. Each unit consists of only ten rooms and one day room; this allows the staff to maintain control and security and also enables to staff to direct activities, get to know residents, and work on problems with them.
An underlying philosophy of the institution is that loss of freedom is itself punishment and it is not necessary to inflict any further punishment upon an incarcerated individual. While in the facility, residents are treated with respect and dignity.
Many of the residents are in minimum security areas and all of the residents have an opportunity to participate in recreation programs and educational programs, to utilize the library, to participate in AA, drug and/or individual counseling as needed, to attend special classes and workshops covering preventative legal issues, vocational and daily living topics.
The atmosphere in the jail is relaxed because of the design of the facility, itself, because there are activities to occupy time, because disruptive and dangerous people are separated from the general population, and because staff treat the residents humanely.


5
Staff is responsible for implementing the guidelines set forth in the philosophy. All staff members must be capable of filling the dual roles of maintaining security and of being involved in the jail programs.
Staff members, constantly being trained in both of these areas, are responsible for all security and procedural functions and also for working with residents on problem solving and daily living skills. The staff is composed of highly qualified men and women trained to solve institutional problems in a collaborative, non-violent manner.
This combination of a modern building, a highly qualified staff, an enlightened management model and a community supported philosophy calling for the humane treatment of residents is an attempt to put the role of jail incarceration into a new correctional perspective.
The Boulder County Jail, operated by the Boulder County Sheriff's Department, before the MBOR process was initiated, changed its operating philosophy from a traditional detention and holding facility to a community corrections oriented treatment facility. The Management by Objectives and Results (MBOR) process for this experiment is not a new philosophy of management for organizations but it has little evidence of application in service delivery agencies.
There is little evidence of MBOR's application in complex organizations as custodial/treatment agencies


6
and seldom are the results of the process emphasized. Because of the lack of research with management by-objective and results the application of MBOR by the Boulder County Jail suggests a potential for significant results.
The target agency initiated its change effort two years prior to the MBOR effort. The movement started with a major change; first, a new facility was constructed that included a large area for treatment programming, minimum security living and recreational activities. Second, new personnel were selected with the hiring criteria emphasizing a social science orientation and skill in positive interpersonal realtions. Third, the management philosophy was altered to emphasize increased participation, responsibility and decision making by employees.
To further define the impact of this philosophical change, and to further describe the organization, the general goals established at that time were as follows:
1. To keep a secure facility, preventing escape, violence and introduction of contraband.
2. To maintain a positive atmosphere, allowing residents and staff a living environment free from tension and fear.
3. To contribute to a community corrections philosophy, assessing the treatment needs of residents


7
and maintaining positive referral sources among community social service agencies and programs.
The first salient aspect of this change in relation to the MBOR project was that by establishing the above stated goals in a local county jail, the Boulder agency moved diversely away from the traditional models for county facilities. Because there was no actual working model to follow, the agency managers and employees were forced to experiment through "trial by error" methods, subsequently their procedures became disorganized as it was extremely difficult to clarify the orientation and expectations of different employees.
The immediate consequence resulted in employees working in different ways to reach vague goals. The MBOR process was an attempt to help solve the problem through its clarifying attributes.
The second relationship between the agency change effort and the Management by Objective and Results technique was with Boulder County's commitment to establish an organizational system which promotes and encourages continuous planned change. As the "state of the art" of local corrections exists currently, our target agency assumed that by challenging the traditional mode of jail operation, due to the fact that there was no working model to follow, progress in the field would only result from a continuous review of its experimental approach.


8
The feedback element of the MBOR process should allow for this necessary continuous review.
The third relationship is between the MBOR process and the organizational value placed on worker decision-making and the high degree of participation by all employees. Participatory management is a difficult approach, especially in the law enforcement field which has traditionally emphasized a rigid autocratic organizational philosophy. MBOR requires a great deal of individual role examination and clarification, much clarification of the actual work practices and supervision expectations and a high degree of employee commitment to the successful completion of the MBOR process.
In a participatory oriented organization the MBOR technique then becomes another tool to ensure opportunity for worker input. The Boulder County Jail places a high value on the input of workers and the participatory decision-making process.
A final need of the organization which relates to productivity measurement and feedback through the MBOR process is the need to disseminate factual programmatic information and data to the public and other agencies concerning the progress of this potentially controversial approach. By changing the jail philosophy from detention to correction, the Boulder County Administrators have challenged an area where little successful data exists. The survival of this public program has depended


9
on thorough explanation or programmatic activities and defense of the philosophical rationale to outsiders. Especially in an agency headed by an elected official (county sheriff), reaction to outsiders, (i.e. county commissioners, advisory boards, general public and interest groups), is a necessary element of the managerial function. Success of this function is based on the retrieval of factual relevant results. MBOR provides this element by correlating results of organization functioning and feeds back the results to agency policy makers.
County jails are complex organizations which harbor many conflicting and controversial issues dealing with the management of human behavior. Managing this type of organization and measuring its effectiveness is a difficult task. The Boulder jail organization, as our target agency, offers a unique situation in which we are able to examine the issues and process of the management tool selected as a solution of widespread organizational problems.
Management by Objectives and Results: Why and How
Management by Objectives is both a philosophy and 2
a process. First, it is a philosophy which reflects a proactive rather than a reactive way of managing and, second, it is a process consisting of a series of


10
interrelated steps. The "why" of MBOR is an examination of the reasoning behind taking a proactive approach to managing an organization.
First, our management purpose in initiating this process is to clarify certain operational aspects of the organization. While managers hear much concerning the delegation of authority and responsibility, managing that delegation is a major effort. The key element in delegating responsibility is that employees accepting that job related responsibility clearly understand his or her personal limitations in occupational functions.
MBOR as a process clarifies the issues and confusions which are caused by regular communications.
Closely related to supervisory delegation of responsibility is the clarification of line employee job responsibilities. Many employees work in positions which have been improperly defined. The MBOR process clarifies those responsibilities, in fact, in our process the employee assists management in clarifying and establishing role functions and indicators of successful performance.
As previously stated in the Boulder County Jail example, in some instances values, expectations and agreements have yet to be clarified. In the MBOR process, not only does management state their views concerning organizational values and expectations, but employees join in the decision making and clarifying activities.


11
In the Boulder County model the workers closest to the actual job performance established the criteria of successful job performance.
A final clarifying role of MBOR is its necessary examination of the organization's data collection, information storage and information retrieval capabilities.
When data is requested for a proper evaluaion, deficiencies in the system will quickly surface. An objective of the MBOR facilitators is to establish an effective information flow system.
A second objective of this proactive management tool is to thoroughly address the efficiency effectiveness issue. Probably the greatest advantage of MBOR's objective setting-evaluation-feedback formula is the organizational system is constantly reviewed and tested to expose weaknesses in the operation. In this system all functions must be relevant and efficient to pass the review test, especially when the workers themselves are analyzing the system.
A third value of MBOR is its contribution to
employee participation in organizational decision making.
While few organizations promote participatory management,
3
several authors have reported the relationship between participation, commitment and responsibility to goals.
The MBOR process requires that all levels of the organization be committed to the process to ensure that commit-
ment.


12
The fourth value is the accuracy of and capability to report to outside interests the true functioning of the organization. While some public agencies may still atempt to function as closed systems, progressive programs recognize the value of operating openly and honestly. Vital to the operations of an open system is, first, feedback and evaluation within the system and then interaction with its environment.
The public agency which reports openly and honestly will have the greater chance to succeed, expecially when others are allowed to accept responsibility for program goals.
In addition, accurate data answers the attacks and issues that opponents utilize to subvert the organization.
Finally, an important aspect of the feedback plan is the agency's ability to establish a continuous and progressive planned change program. In our fast moving technological society, change is inevitable. If public programs are to be effective, agencies must accept the fact that continuous change is a norm. The MBOR process provides for a continuous examination of program direction and effectiveness, ensuring the necessary flexibility to alter operations.
MBOR, if properly administered, satisfies several organizational needs. Most important, managers are able to have additional organizational control, but in a more positive manner. By controlling results and not controlling people, managers are more apt to be successful


13
in reaching goals with the cooperation and commitment of workers and not through the adversary process many managers and employees are locked into.
MBOR is a well studied and discussed concept as
4
a management tool and is not new. Elements of it can be found in the management systems of General Motors,
General Electric, DuPont, and other companies as far back as the 1930's. Some scholars trace MBO's geneology to the management theories of the German military staff of the nineteenth century or to the Catholic Church of even earlier periods. However, it has been introduced to most organizations in the last decade.
The method by which MBO has been introduced into organizations varies considerably. Sometimes it has been imposed forcefully on an organization by top management, while at other times top management has shown an attitude of benign neglect, permitting MBO to be utilized in some part of the organization and then allow its use throughout the rest of the organization. Most often,
MBO has been introduced in a way that falls somewhere between these two extremes.
Just as the method of introduction ahs been varied, so has the effect of MBO. For some organizations it has become a "way of life"; the success of MBO has been so substantiated and apparent that it is practiced in a systematic way throughout the organization. In other instances, MBO has turned organizations into rigid, mechanistic


14
organizations, blindly pursuing unachievable goals.
Thus, it is not unusual to find organizations that have various forms of MBO in operation.
MBOR is nothing more than stating what you are attempting to achieve; writing a plan to attain the result, and then, checking along the way to ensure that actions are being taken as planned. If the plan is followed, the result will be achieved. Sometimes, due to unforeseen occurrences, modifications will have to be made. An advantage of MBOR is that changes may be made to best facilitate organization effectiveness and efficiency.
In this study we use managing by objectives and results instead of merely managing by objectives to emphasize the importance of collecting data which evaluates the progress of objectives. Establishing and monitoring results allows policy makers to make decisions which improve the direction of the organization .
For an organization with more than one mission, or conflicting missions, writing objectives may seem like a difficult task. However, utilizing an MBOR model forces management to outline the different missions and specify the direction of each department. One of the most vital elements in an MBOR model is that managers are forced to relate philosophy statements to daily


15
asks. Once this is done, managing an organization becomes a matter of monitoring key elements to determine how the organization is functioning and making decisions based on elements monitored and other critical factors.
An overview of the operational elements of an MBOR process are as follows in the sequence through which it is implemented:
1. Mission Statement - A statement which describes the long run, philosophical nature of the organization. It describes the role of the organization
or unit. Mission statements tend to be broad in focus, though specific enough to provide direction.
2. Key Result Areas - The areas where management invests time in an effort to perform its mission. It
is more specific than a mission statement and usually answers the question, where is it most critical that we obtain results?
3. Indicators - The items which will be monitored to gauge the progress made in a day result area. Indicators may be observations, surveys or some sort of systematic or non-systematic reporting system.
4. Objectives - For every indicator selected, an objective statement is written. An objective is a desired accomplishment or hoped for result. It is a goal expressed in a specific dimension, it is narrower in focus and it has a shorter time frame. As far as


16
possible, objectives are expressed in quantitative, measurable, concrete terms, in the form of a written statement of desired results to be achieved within a given time period.
5. Action Plans - The step by step tasks to be completed which, when done, will insure the accomplishment of the objective. Action plans specify what will happen, who will do it, the timetable and specify any coordinative asepct required.
6. Program Evaluation - This is the productivity measurement element of the process. The evaluation results give the manager the feedback necessary to judge the effectiveness of organization's progress toward the mission statement. The results are utilized to complete
5
the feedback process.
There are a number of key ingredients required for a successful MBOR implementation effort. The first is simplicity. There is no need to write volumes of material to cover every facet of the organization.
What is important is that critical aspects of the organization be investigated and have objectives written around them. A common question often asked is; How many objectives should be written? The issue is not the volume of objectives, but their importance to the functioning of the organization.
If an organization is implementing a MBOR system for the first time, it is important to write enough


17
objectives to cover all major facets of the operation, but not so many that it is overwhelmed with the volume.
A second key ingredient is flexibility. It is important to remember that situations change. The first time a MBOR system is being implemented expectations may be too great, or possibly an important aspect of the operation was overlooked. Because of this, changing objectives may be necessary.
The final key ingredient relevant to implementation of MBOR is the internalization of the process, it is important for the manager and subordinates to understand the implication of writing objectives. Merely writing objectives is an exercise in planning if there is not any commitment to operationalize the objective statements. Managers and employees must accept the responsibility that objectives are statements which they personally intend to carry out and support.
The introduction has briefly described managing by objectives and results and described the Boulder County Jail Agency. We have attempted to state the importance of describing an MBOR project in a public agency and the importance of discussing the issue of implementing managing by objectives and its results.


18
References and Footnotes
^"There have been 66 dissertations alone written in the past ten years relating to the concept of Management by Objectives.
2
Anthony P. Raia. Managing by Objectives, (Glenview, Illinois: Scott, Foresman and Co., 1974),
p. 11.
Ibid. , p. 13.
Ibid., p. 17-
5
These steps are summarized from Raia's description of the MBOR process.


CHAPTER II
THE TREND OF CHANGE IN U.S. JAILS Introduction
The need for management innovation and effort in jail operations, jail facility design and community involvement in local corrections is derived from a change in corrections. This social change has required a management approach which creates a non-disruptive reorganization of jail operations.
The oroblem of dealing with offenders who violate social norms of conduct has been an issue for society throughout history. In an attempt to deal with this problem, many correctional philosophies and methods have been suggested and tried. Though these ideologies and techniques differ radically in many ways, they all have had a common factor; they attempt to eradicate or reduce the problem of criminal behavior in society. Through an examination of the historical trend of correctional philosophy we should develop an understanding of the position of jail management today and the direction a jail manager needs to work toward.
While jails are not new institutions, the increase in jail problems and jail utilization has paralleled the development of urbanism in the United States.^ At the same time, the focus on problems and change in


20
corrections has been on prisons while jails have been virtually ignored. One of the reasons for this focus is that jails are usually operated by county governments while prisons are the responsibility of state governments. The lack of change in jails is emphasized by the similarity in the following quotes by persons inspecting jails at different times in history.
In 1977 John Howard, after a thorough examination of jails and prisons stated:
there are few places in which any work is done or can be done. The prisoners have neither tools,
nor materials, but spend their time idling.....
The famed complaint, want of food, is to be
found....one may judge of the probability there
is against health and life of prisoners, crowded into close rooms and cells fourteen or sixteen hours a day. Prisoners confined in this manner are generally unhealthy. Some jails have no sewers and the halls they have, if not properly attended, are offensive beyond depression.
In 1923, Joseph Fishman stated his view of
American jails:
An unbelievably filthy institution in which are confined men and women serving sentence for misdemeanors and crimes, and men and women not under sentence who are simply awaiting trial.
With few exceptions there is no segregation of unconvicted from convicted . . It supports in
complete idleness countless thousands of able-bodied men and women, and generally affords ample time and opportunity to assure inmates a complete course in every kind of viciousness and crime.
In 1971, U.S. District Judge Garrett Eisele,
after a jail inspection stated:
When the court first inspected the jail, it came away with the impressons that the cells and halls were dark, dirty, very unsanitary,


21
poorly ventilated, over crowded, smelly and overall, unhealthy and depressing places.
Although jails have had an unchanging and disrespectful background, they have evolved through a process which has resulted in the present necessity for institutional change. This process includes an era of public humiliation and torture, an era of restraint or confinement, a time of individual behavior change or rehabilitation and a period of reintegration into the community. Finally, through an emphasis on positive human management in institutions, there has been an intervention by the judiciary creating a radical change in jails. This judicial intervention has emphasized jail operations which keep offenders and suspected offenders in safe, secure and humane environments .
The following sections of this chapter are discussions of the historical correctional trends which created the purpose for changing the Boulder County Corrections jail operation.
The Pre-Incarceration Era - The 1600's
While incarceration of the offender in an institution is a popular method of sanctioning lawbreakers today, this has not always been the case. Widescale removal of offenders from society by imprisonment is, historically speaking, a rather recent phenomena. Prior


22
to incarceration, several other methods of punishing lawbreakers were used. In general, these methods can be divided into three main categories: those designed to publicly humiliate the offender, those involving the infliction of pain and sometimes maiming the deviant, and various forms of execution.
Public humiliation of the offender was often directed against persons who committed petty offenses, and was designed to accomplish two objectives. First, it sought to embarrass the lawbreaker so the offense would not be committed again. Secondly, because the humiliation was carried out in a public forum, the public was allowed to witness how those who violate the law would be treated. In some instances, the public was invited to join in and participate in the punishment of the lawbreaker. For example, a popular form of public humiliation in the'American Colonies of the 17th Century was the use of the stocks. This involved having a person's legs locked in a wooden frame while he was seated on a bench in the town square. In some jurisdictions, stale eggs were provided for the public to throw at the hapless offender. In others, members of the town were encouraged to jeer and insult the person immobilized in the stocks. Other methods of public humiliation included making offenders wear scarlet letters whenever in public that indicated the nature of the offense committed, i.e., "D" for drunkard, "A" for adultery, etc.


23
The ducking stool involved securing the offender to a seat attached to a pole that could be swung over a body of water and then submerging the person in the water. This method was a popular way of punishing scolding women in Colonial America. The pillory was similar to the stocks except that instead of a person's legs being secured, the head and arms were locked into a wooden frame while the person was standing up. The pillory, like the stocks, was often located in the public square of the town, and members of the community were encouraged to participate in punishing the offender. A particularly cruel variation of the punishment involved nailing the offender's ears to the sides of the pillory. Other methods of public humiliation involved parading the offender through town on a rail or sled. For example, a baker who sold short weight loaves of bread might be paraded through the village with his light loaves tied around his neck while members of the town shouted insults at him.
The infliction of pain is another method of sanctioning offenders that has appeared throughout history, and is commonly used today in some countries.
The punishment was often carried out in a public forum, and again, allowed the public to witness the consequences of illegal behavior. Whipping offenders while tied to posts or carts drawn through town while the punishment was administered was a commonly used method of


24
this technique. Another method was the branding or maiming of offenders. Branding was a more severe evolvement of the scarlet letter humiliation, because in this variation, the letter was burned into the offender. Maiming the offender was sometimes done with the intent of having some correspondence between the punishment and the offense. For example, swearing in Colonial America was sometimes punished by burning the tongue with a red hot poker.
There have been many forms of capital punishment throughout history. Methods of execution have included hurling the offender from a high cliff; burning at the stake; drawing and quartering which involved drawing the offender through town by horses, and then tying the guilty party to the animals and having them pull him apart; beheading by means of ax, sword, or guillotine; hanging; drowning; and many others. A common historical element of execution which linked it with other historical means of punishment was that it often was conducted in a public forum where the public was allowed, and often
encouraged, to attend in order to witness the conse-
5
quences of violating the law.
What these historical correctional techniques of humiliation, infliction of pain, and execution have in common is that they usually did not attempt to isolate the offender from the community, or make the sanctioning procedures used to punish offenders a mystery to the


25
community. Instead, the punishments were administered in a public forum where members of the community were able to attend and participate.
Incarceration - The 1800's
Incarceration was not used as a primary means of sanctioning offedners in America until the early 19th Century. Prior to that time, jails were located in many colonial towns, but their functions were limited. These early forerunners of modern jails detained persons awaiting trial or sentencing, or in some instances housed people unable to pay debts; but in general were not used as one of the main methods to either punish or
g
correct misbehavior. These early American jails were
generally in poor condition with no segregation of
offenders according to age, sex or charged offense. A
fee was sometimes charged to the prisoner or his family
7
to cover the costs of his incarceration. As ideas about the causation of crime began to change in the early 19th Century and include notions that a person's upbringing or social environment might influence a person to obey or break the law, the utilization of incarceration as a means to sanction or correct criminal
g
behavior became more prevalent in America.
Two rival penal philosophies and systems of incarceration began to evolve in early 19th Century America. One of these systems was the congregate or Auburn system


26
of imprisonment which was established at the Auburn state prison in New York between 1819 and 1823.
Under this method of incarceration, prisoners labored together during the day, but were confined in separate sleeping cells at night. Inmates were forbidden to converse or communicate in any way with other inmates. Prisoners were not allowed to look at other inmates face to face, because such visual contact might lead to other forms of communication. This resulted in the inmates being required to walk around the institution with their eyes continually downcast. Violation of these
9
rules of silence could result in punishment by whipping. Work in this system was considered therapeutic because it kept the inmate from engaging in less socially desirable activities and taught him the value and satisfaction of hard work. The practice of having inmates work also helped the state defer the cost of the prinsoners' confinement.10
The other system of incarceration was the Pennsylvania system, which drew its name from the Pennsylvania Quakers who originated it in Philadelphia's Walnut Street Jail. The philosophy of this system of imprisonment was based on the belief that individuals broke the law because of evil influences rampant in the society.
The way to reform the offender was to completely separate him from these corrupting influences and temptations. An ideal place for this separation was the prison. In the


27
Pennsylvania System, the prisoner was totally isolated not only from society, but also from the remainder of the inmate population for his or her entire period of confinement. Inmates were only allowed to talk to institutional staff and carefully selected visitors who would aid in the rehabilitation of the offender. In such isolation, the criminal could also begin to reform himself. The total solitude would allow the prisoner to reflect on the error of his ways.'*"'*' The institution was appropriately called a penitentiary because in it the inmate could do penance for his crimes. After what was deemed a suitable period of isolation and solitude, the prisoner was gradually allowed small bits of handicraft work and a Bible to read. It was believed from reading the Bible and simple work, rehabilitation of the offender
would value "simple faith, diligent toil, and moderate 12
habits." It was further believed that only m complete solitude apart from the corrupting influences of outside society, could such rehabilitation take place.
For economic reasons, the majority of prisons in America were patterned after the Auburn system where prisoners were put to work on a large scale in a congregate system and the fruits of their labor helped defer
13
the costs of maintaining the institution. In spite of the differences in their programs, the Auburn and Pennsylvania penitentiary systems had much in common. Both stressed isolation of the offender from the corrupting


28
influences of the world outside the penitentiary, prevention of communication with other inmates which was felt could lead to the exchange of antisocial attitudes inside the prison walls, and a disciplined routine designed to provide the inmate with a socially constructive activity. It was believed that while society's corrupting influences had led the offender into crime, the rehabilitative environment of the institution could lead 14
him out of it. This correctional ideology in which the offender is separated from society and its evil influences not only in order to punish him, but also to correct his behavior, is distinctly different from the rationale behind the treatment of offenders in the pre-incarceration era. The criminal was not isolated from society, with a few notable exceptions such as banishment, but rather was integrated immediately back into the community after the punishment such as whipping, stocks, or ducking stool was administered. The community was an integral part of the sanctioning process in the era prior to incarceration. When incarceration became the accepted mode of sanctioning lawbreakers, not only was the offender isolated from society, but the element of community involvement with the offender and the sanctioning process became almost non-existent.


29
The Medical Model - The 1950's
Corrections in the United States made a radical
turn during the 1950's as a result of the mental health
movement. During this era the newly created National
Institute of Mental Health proposed the goal of attempting
to cure the mentally ill. American Institutions,
especially prisons and jails, became targets of mental
health workers for the purpose of rehabilitating offenders.
At the close of World War II, mental health
agencies changed the warehousing philosophy of mental
institutions. The stereotype of the mental institution
before this period was one of custodial "snake pit";
prisons and jails have had the same stereotype. The
change instigated through the advent of the "medical
model" was to rehabilitate individuals and reverse the
purely custodial role of institutions.
Robert Felix summarizes this change by stating:
In the late 194 0's, the greatest nightmare of the mental hospital superintendent was the year by year increase in the number of patients resident in public mental hospitals. Each year, more beds were crowded into corridors. Each year, already overburdened facilities were called upon to care for more and more patients. This situation is now changing. In 1948, 323 out of every 100,000 persons in the United States were patients resident in a public mental hospital.
By 1960, this rate had decreased until only 305 out of every 100,000 were resident in
such hospitals.
The practice of changing individual behavior or rehabilitating individuals became the philosophy of


30
institutional managers during this era. Professors of
sociology, social work, criminology and corrections
communicated the virtues of the medical model with
little testing of the validity of rehabilitative suc-16
cess.
MacNamara defines the medical model by stating;
In its simplest (perhaps oversimplified) terms, the medical model as applied to corrections assumed the offender to be 'sick' (physically, mentally, and/or socially); his offense to be a manifestation or symptom of his illness, a cry for help. Obviously, then, early and accurate diagnosis, followed by prompt and effective therapeutic intervention, assured an affirmative prognosis - rehabilitation.!7
The underlying philosophy was that the offender was sick and needed to be "fixed" and the fixers were the medical and mental health practitioners. This meant that offenders were generally not responsible for their crimes and when they were changed they would no longer commit crimes. The result of this philosophy on ocrrections was an increase of indeterminant sentences, an influx of psychiatrists, psychologists
and correctional counselors into institutions and the
18
advent of the therapeutic community.
The indeterminant sentence was a sentence with no maximum time or a broad range between minimum and maximum sentence limits. The purpose for this approach was to allow the correctional worker to determine when the offender was rehabilitated and ready for release from incarceration. The effect of the indeterminant


31
sentence was to place the decision making power of inmate release in the hands of the correctional worker or administrator instead of in the purview of the judiciary .
The influx of psychologists, psychiatrists and correctional counselors into institutions was two-fold; first, institutions established treatment and custodial sections. These units became opposing in nature and much organizational conflict resulted; second, guards became correctional officers responsible for custody and treatment of offenders. This aspect created role conflict for institution workers and, as a result, additional organizational conflict. Although inevitable conflict was created by the treatment-custody dichotomy, an additional avenue of career development was opened for institution workers.
While the medical model still exists in prisons and jails and it has been continued through the advent of community corrections, this era depreciated with the resurgence of the philosophy that criminals are responsible for their behavior and that rehabilitative efforts have no confirmed evidence of success.
MacNamara emphasized this point by stating;
The new penologists posit a basic conflict between a medical model maintaining that crime is the product of individual defects and disorders that can be corrected in a program of medical, psychiatric, and social rehabilitation and a readjusted or reformed offender returned to his rightful place in society versus a criminal


32
justice model based on the more classic doctrine of the free moral agent and of individual responsibility for one's criminal behavior.
The medical model in corrections had a significant effect on jail operations. The purely custodial role of jails was impregnated for the first time, opening the jail doors to outside treatment people and opening differing aspects of the jail officer's role. While dramatic changes were not made in jail operations during this period the stage had been set to continue the erosion of the "warehousing" philosophy of these institutions .
Community Corrections - The 19 60 's
During the 1960’s the concept of community corrections came into vogue. This movement paralleled the community mental health approach recognizing that institutionalized persons, especially jailed offenders, do not remain locked away but someday return to society. Reintegration was the correctional policy stressed in many institutions during this time. Work release programs were instituted to allow the offender to maintain vocational ties with the community during their period of incarceration and half-way houses were utilized to facilitate the re-entrance of the offender into society. The place of jails became more prominent in the field of corrections because of the location of jail facilities


33
inside the community and the short sentences of inmates. Offenders were sentenced to jails with more regularity as the jail's location minimized physical isolation of offenders from the community facilitating the reintegration process.
Correctional administrators focused on jails as bridges to the community because of the jail's position and role in the system, subsequently the jail became an integral part of corrections. As a result, jails began to develop a broad range of programs and services for inmates and administrators emphasized alternatives to incarceration as viable reintegration tactics.
A rationale for this correctional approach was
20
summarized by Leslie Wilkins;
1. Humanitarian systems of treatment (e.g. probation) are no less effective in reducing the probability of recidivism than severe forms of punishment.
2. Honey (if not souls) can be saved by revised treatment systems. The cheaper systems
are more often than not also more humanitarian.
3. Much money is wasted in many countries by the provision of unnecessary security precautions.
While the resistance against increased incarceration and the support of reintegration was supported by monetary considerations the most effective support for community corrections came from the attack on institutionalization as a method of corrections.


34
21
Morris and Hawkins supported this approach by stating;
it is true that there are always likely to be offenders who because of the nature of their offenses (e.g., gross cruelty, violence, or sexual molestation) will have to be imprisioned if only because the community would not accept their release. And in some cases involving multiple offenses or serious persistent recidivism institutionalization may offer the only effective protection for society. But as the President's Crime Commission reported, 'for the large bulk of offenders .... institutional commitments can cause more problems than they solve.'
Our edict dealing with the development of community treatment programs also reflects our judgement that, in regard to the general deterrance question, it is better in the present state of knowledge for the penal system to concentrate on the task of making the community safer by preventing the actual offenders return to crime upon his release than to pursue the problematic preclusion of offenses by others.
Indicative of the community corrections period was the growth of alternatives to incarceration.
Examples of alternatives were increased, liberal release, bonding programs, intensive intervention programs (intensive probation), non-residential (day-care) treatment programs, half-way house and work release programs and restitution, oriented community service work programs. The emphasis was on the avoidance of incarceration because highly structured institutions had a negative effect on individuals and they were costly.
The jail evolved as a community correctional center because it was the only community based institution in the criminal justice system. Community treatment of


offenders to properly instigate reintegration entered into regular jail operations effecting the traditional role of the jail and its administrators.
35
The jail operation was altered to include the following community corrections based influences;
1. Work release assigned inmates were allowed to leave the jail during working hours to perform jobs and receive regular wages.
Jail officers were faced with processing and guarding "parttime" inmates.
2. Pre-release interviewers were added to jail staff for the purpose of interviewing new arrestees to determine their potential
for bonding release and diversionary prerelease programs.
3. Community program staff entered the jail to conduct programs for inmates which would link them with similar treatment programs in
the community. Jail administrators were faced with the issues of accomodating treatment staff from alcohol programs, drug programs, educational programs and mental health programs.
4. Volunteers from the community entered the jail to assist inmates in normalizing their living conditions for the purpose of neutralizing the effects of the jail.


36
While many jails resisted this movement the jail as an element of the criminal justice system became increasingly important and became more visable to outsiders. Not only did correctional people look at jails as correctional institutions but also as a responsibility of the local community.
Judicial Intervention - The 1970's
Until this period of judicial intervention the
courts in the United States had not become involved in
the issues of jails and prisons. The courts' "hands off"
policy (a term coined by the Federal Bureau of Prisons)
concerning grievances of inmates was supported for the
22
following reasons;
1. Courts believed that involvement would jeopardize the separation of powers balance and that jails and prisons were the responsibility of the executive branch of government .
2. The court lacked expertise in penology and correctional administrators were experts in the business of institutions.
3. Judicial intervention would subvert and undermine the authority of prison and jail officials .
4. Federal courts believed that jails and prisons were not in their purview; that local


37
institutions were in the jurisdiction of local courts.
5. The judiciary reported that incarceration caused a loss of individual rights for offenders.
In 1967 the hands off policy weakened, especially
in relation to jails when a federal judge stated in
23
Wright v. McMann;
The matter of the internal management of prisons or correctional institutions is vested in and rests with the heads of those institutions . . . . and their acts and administration of prison discipline and overall operation of the institution are not subject to court supervision or control, absent most unusual circumstances or absent a violation of a constitutional right.
Following this lead the courts were faced with
the issues of the cruel and unusual punishment issues of
the eighth amendment. This area produced decisions
against jail practices based on the standard that the
eighth "amendment must draw its meaning from the evolving
standards of decency that mark the progress of a maturing
• 4. „ 24
society."
In 19 79 the court found that the living conditions of the Arkansas State prison to be cruel and unusual punishment stating;
In the courts estimation confinement itself within a given institution may amount to a cruel and unusual punishment prohibited by the Constitution where the confinement is characterized by conditions and practices so bad as to be shocking to the conscience of reasonably civilized people even though a particular inmate may never personally be subject to any disciplinary action.25


38
An important issue which strongly effected jails
2 6
was opened when the courts, in Hamilton v. Love, supported claims by the inmates of the Arkansas' Pulaski County Jail. The court stated that the conditions for pre-trial detention must not only be equal to, but superior to, those for sentenced offenders and that the fourteenth amendment protects rights of the pre-trial detainee.
Federal, State and U.S. Supreme Court decisions
based on the eighth and fourteenth amendments followed
effecting jail operations and facility design. The "hands-
off era" ended with an onslaught of cases requiring change
in jails. A portion of significant cases are as follows:
In 1976, the U.S. Supreme Court stated that
"deliberate indifference" by prison officials to serious
medical needs of inmates constituted cruel and unusual
punishment barred by the Constitution of the United 27
States. In 1976, a U.S. District Court stated that due
process means that pre-trial detainees cannot be subjected
to hardships other than those which are necessary for
2 8
their confinement. Also in 1976, an appelate court stated that overcrowding in penal institutions constituted an unconstitutional deprivation of due process of
law. This principle was also applied to pre-trial de-
. . 30
tainees.
The various courts continued the major change for jails by requiring jail administrators to recognize the


39
following areas as inmate rights; access to courts, access
to counsel, liberal mail policies, access to law libraries,
religious freedom, inmate grievance procedures, improved
jail conditions, availability of jail programs, education
programs, recreation facilities, proper classification,
liberal visiting procedures, use of telephones, due
process in internal discipline, proper officer staffing
31
patterns and correct nutritional food service.
The era of judicial intervention produced a new philosophy for jail operation. The modern constitutional jail became a safe, secure and humane institution holding pre-trial detainees and sentenced offenders in environments designed to return them to society no worse off than when they entered.
The changes in jails over the years have resulted in requirements for jail administrators which combine aspects of the different correctional trends. Previous to the 1970's jail managers could choose to ignore the attempts of correctional theorists to influence incarcerated persons, but as a result of the intervention of courts, jail managers and other county and state officials have become personally liable for the results of jail operations and jail design.
Jail managers now face a demand for organizational change which combines rehabilitation efforts, community correction coordination and incarceration in a safe, secure and humane manner. These correctional philosophies


require dramatic changes in traditional management techniques. The management by objective and results project conducted by the Boulder County Corrections agency is a demonstration project attempting to create the organizational change necessary to meet these requirements.


41
References and Footnotes
^M. M. Moynahan, "The American Jail: Its Origin and Development", The American Society of Criminology, Atlanta, Georgia, November 16-20, 1979, p. 3.
2
John Howard, State of Prisons in England and Wales 1777, pp. 7-24.
3
Joseph F. Fishman, Crucibles of Crime: The Shocking Story of the American Jail, (New York: Cosmopolis Press, 1923), pp. 13-14.
4
Paul F. Cromwell, Jr. "Jails:
Progress" in Jails and Justice,Paul F.
Ed. (Springfield, Illinois: Charles C.
p. 20.
5 . .
For additional information on early forms of punishment of offenders see,
Walker, Peter, Punishment, An Illustrated History, (New York: Arco Publishing Company, Inc.) , 1973. and
Earle, Alice Morse. Curious Punishments of Bygone Days. (Chicago: Herbert S. Stone and Company),
1896.
200 Years of Cromwell, Jr., Thomas, 1975),
g
David Rothman, The Discovery of the Asylum.
(Boston: Little, Brown and Company, 1971), p. 53.
7 . .
J. M. Moynahan, "The American Jail: Its Origin
and Development" p. 10.
g
Rothman, p. 76.
9
Moynahan, p. 13.
"^Attica: The Official Report of the New York State Special Commission on Attica. (New York: Bantam Books, Inc., 1979), p. 8.
^Rothman, p. 82.
^Attica, p. 7 .
^Attica, p. 8.
‘'■^Rothman, pp. 82-83.
15
This quote and other information was taken from the foreward by Robert H. Felix in Morton M. Hunt, Mental Hospital (New York: Pyramid Books, 1962), pp. 6,7.


42
16
Donald E. J. MacNamara, "The Medical Model in Corrections", Criminology Vol. 14, No. 4, Feb. 1977, pp. 439-448.
~^Ibid, pp. 439-440.
18
Action for Mental Health, Joint Commission on Mental Illness and Health (Washington, D.C.: U.S. Government Printing Office, 1961) .
19
MacNamara, p. 446.
20
E. Harlow, R. Weber and L. T. Wilkins, Crime and Delinquency Topics: A Monograph Series, National Institute of Mental Health Center for Studies of Crime and Delinquency, (Washington D.C.: Government Printing Office, 1971), pp. 137.
21
Norval Morris and Gordon Hawkins, "Rehabilitation Rhetoric and Reality", Federal Probation Vol. XXXIV,
No. 4, Dec. 1970, pp. 9-17.
22 . ... Richard G. Singer, "The Evolution of Judicial
Involvement" in Jails and Justice, Paul F. Cromwell,
Jr. Editor (Springfield, TITT~T9T5, Charles C. Thomas,
Publisher), pp. 237-238.
^Wright V. McCann, 387 F.2d 519,522 (2d Cir.
1967.).
24
Trop v. Dulles, 357 U.S. 86 , 100-01 (1958) .
^~*Holt v. Sarver, 309 F. Supp. 362, 381 (E.D.
Ark 1970), aff'd, 442 F.2d 304 (8th Cir. 1971).
“^Hamilton v. Love, 328 F. Supp. 1182 (E.D.
Ark. 1971).
^Estelle v. Gamble, U.S., 50 L.Ed. 2d251, S.
Ct. (1976) .
2 8
Moore v. Janing, D. Neb. Dec. 29, 1976 (Civil No. 72-0-223) .
2 Q
Ambrose v. Malcolm 414 F Supp. 485, 487 S.D.
N.Y. 1976) .
^Valvano v. Malcolm 520 F. 2d 392 (2nd Cir. 1975). 31
The High Cost of Building Unconstitutional Jails, National Clearinghouse for Criminal Justice Planning and Architecture, University of Illinois at Urbana-Champaign, Urbana, 111., 1977.


CHAPTER III
MANAGEMENT BY OBJECTIVES: A CONCEPTUAL OVERVIEW The Evolution of MBOR
Management by objectives and results is a process which thoroughly analyzes organizational goals and processes to achieve goals, and creates change through the evaluation and feedback of that functioning. This process, in different forms of technique and development, has been successfully used by managers in some organizations.
The development of this management tool has progressed through an evolutionary process, starting with emphasis on goal setting and progressing to present day emphasis on total integration of key management processes.
Peter Drucker^, in his discussion on business realities, established the value and importance of creating an organizational climate and process which analyzes the organization in a wholistic manner.
Drucker states,
Today's job takes all the executive's time, as a rule; yet it is seldom done well. Few managers are greatly impressed with their own performance in the immediate tasks. They feel themselves caught in a "rat race", and managed by whatever the mailboy dumps into their "in" tray. They know that crash programs which attempt to "solve" this or that particular "urgent" problem rarely achieve right and lasting results. And yet, they rush from one crash program to the next. Worse still, they know that the same problems recur again and again, no matter how many times they are solved.


44
Drucker has identified the major work trap of most managers and at the same time highlighted the need for a management tool which establishes an organized evaluation process. To break from the crisis controlled management style is a significant accomplishment of any manager. Drucker emphasized that solving problems not only restores equalibrium but that effective results are derived from the exploration and evaluation of opportunities. This involves an examination of the opportunities or activities or effects of the organization; its direction and its purpose. In total, this process, as defined in the conception of MBOR, established the need
for a systematic process.
2
Drucker emphasizes this concept by stating
in his chapter on key decisions;
The only positive test is the test of experience. The idea of the business sums up the answers to the questions which are asked repeatedly
- What is our business?
- What should it be?
- What will it have to be?
It establishes objectives, it sets goals and direction. It determines what results are meaningful and what measurements truly are appropriate.
Drucker established the basic foundation for managing by objectives and results and his ideas evolved through distinctive application phases. During the early stages of its application, MBOR organizations emphasized performance appraisal as their primary interest in utilization of this management tool. The emphasis was on


45
developing objective criteria and standards of performance for individuals in a given job. Because it is a logical and relatively easy way to begin the MBOR process, performance appraisal still provides the basis for the introduction to many MBO programs and its relationship to productivity development.
Edward Schleh, an early developer of the MBOR process, emphasized performance appraisal approach by stating;
Even though there has been a general statement of the results that normally be expected of a position, the definition process has not gone far enough unless specific objectives have been well set for all management people in the enterprise. Objectives should be set for personnel all the way down to each foreman and salesman and in addition to staff people such as accountants, industrial engineers, chemists, etc. It is only then that the individual becomes personally and positively involved in the success of the enterprise. He has his definite part to play.^
Schleh emphasized thisapproach because he viewed it as the method to not only set and state objectives and the organization's purpose, but also to delegate the responsibility of performing the duties necessary for completion of the objectives down to the individuals actually performing the tasks. This basic managerial principle now has additional meaning when incorporated as part of the management organizing tool.
Schleh recognized the integrative properties of the objective setting and delegation process by reporting the importance of coordinating efforts.


46
Management objectives state the specific accomplishment expected of each individual in a specific period of time so that the work of the whole management group is soundly blended at a particular moment of time. Each one has a known accomplishment to make leading to the overall accomplishment expected of the enterprise in that period. To the extent that this is well done, each man knows exactly what is expected of him. To the extent that it is poorly done, delegation is weak, leading inevitably to weak operation, to weak accomplishment, and to a division of interest between the enterprise and the men, no matter what the level.^
As the MBO concept expanded during the 1960's, programs underwent another change. The broader view of emphasizing the incorporation of the MBO process into the organization's planning and control processes was established.
George Morrisey^, in his text for practitioners, incorporates the MBOR process into the management function of programming, scheduling, budgeting, controlling and performance appraisal. In his application of the management process he successfully summarizes this period of MBOR thinking by establishing the following organization of functions and activities which he
g
labels as the businesss of management work;
Function I. Planning. Determining what work
must be done.
1. Defining roles and missions. Determining the nature and scope of work to be performed .
2. Forecasting. Estimating the future.
3. Setting objectives. Determining results to be achieved.
4. Programming. Establishing a plan of action to follow in reaching objectives.


47
5. Scheduling. Establishing time requirements for objectives and programs.
6. Budgeting. Determining and assigning the resources required to reach objectives.
7. Policy-making. Establishing rules, regulations, or predetermined decisions.
8. Establishing procedures. Determining consistent and systematic methods of handling work.
Function II. Organizing. Classifying and dividing the work into manageable units.
9. Structuring. Grouping the work for effective and efficient production.
10. Integrating. Establishing conditions for effective teamwork among organizational units.
Function III. Staffing. Determining the requirements for and ensuring the availability of personnel to perform the work.
11. Determing personnel needs. Analyzing the work for personnel capabilities required.
12. Selecting persoonel. Identifying and appointing people to organizational positions.
13. Developing personnel. Providing opportunities for people to increase their capabilities in line with organizational needs.
Function IV. Directing (leading). Bringing about the human activity required to accomplish ob-j ectives.
14. Assigning. Charging individual employees with job responsibilities or specific tasks to be performed.
15. Motivating. Influencing people to perform in a desired manner.
16. Communicating. Achieving effective flow of ideas and information in all desired directions.
17. Coordinating. Achieving harmony of group effort toward the accomplishment of individual and group objectives.
Function V. Controlling. Assuring the effective accomplishment of objectives.
18. Establishing standards. Devising a gauge of successful performance in achieving objectives.


48
19. Measuring performance. Assessing actual versus planned performance.
20. Taking corrective action. Bringing about performance improvement toward objectives.
This outline of the management function is significant as it thoroughly establishes the MBOR process as a legitimate and necessary process for all management. Morrissey is also credited with clearly establishing performance measurement and evaluation as a salient element of managing by objectives and results.
The present stage of the evolution of MBOR is defined as the integrative management system stage. This stage emphasizes the integration of key management processes and activities in a logical and consistent manner. These processes and activities include the development of organizational planning, problem solving and decision-making, performance appraisal, compensation, manpower development and planning and management training and development.
Odiorne”^ summarizes the integrative approach by stating;
A management system should provide a framework for picturing the major factors in the situation as an integrated whole. It should simplify the complex rather than complicate the simple.
It should also allow for some subsystems. At its best, a management system should incorporate both inputs and outputs, impute the risks of business to individual managers and be considered as an almost self-contained whole. This doesn't exclude it from being part of a larger system, however, including the value system.


49
While managing by objectives has many definitions
g
and has been redefined by many authors, it is now apparent that this process may be all inclusive in management work and as many authors state, it may be necessary to make the process a totally integrative one in the management system.
MBOR and Productivity
Traditionally, private business has searched for management techniques that would increase productivity and, as a result, the organization's profits. Public agencies have followed, often reluctantly, the lead of private industry and attempted to equate public service with business profits. While this appears difficult public agencies, through a process such as MBOR, are attempting to, not only measure productivity, but to also increase productivity.
MBOR in government has developed as a viable management approach from the integrative aspects of program performance budgeting systems (PPB) which are now declining in popularity. The demand on public agencies to be increasingly accountable for their expenditures has led to the search for management techniques which will facilitate the agency's ability to evaluate its performance. The resulting process is similar to PPB in that agencies formulate goals and


50
and objectives, develop action plans for their accomplishment and provide measures for evaluation of stated goals.
An examination of productivity issues in public affairs is necessary to properly understand this systemic process of goal setting and results measurement. Productivity of public agencies is complex and the following questions, definitions and explanations are an attempt to clarify this basic issue. The following questions must be asked: What is productivity?
Why is there a lack of comprehensive program evaluation? What are the basic steps in conducting program evaluation? What is the purpose of using MBOR as a productivity technique?
The Bureau of the Budget Study in 1964 defined
productivity ... as "estimates compare the amount of
resources used with the volume of products of services 9
produced." Jerome Mark expanded that definition by stating;
Sepcifically, productivity is an expression of the physical or real volume of goods and services related to the physical or real quantities of imputs. Changes in productivity are measured by relating changes in the real volume of goods and services produced to changes in the quantities of input associated cwith that production.10
While our discussion has been focused on the relationship between oroduction outputs and resource inputs, it would be a mistake to limit productivity to this simple comparison. Hatry expands the


51
definition by stating;
Productivity should not be estimated in such a way as to ignore the quality of the product or service, particularly in relation to the effects or impacts on the citizens and the community . . . productivity estimates based on a narrow definition of output to mean solely the immediate products such as 'tons of garbage collected or gallons of sewage treated' can be uninformative and even grossly misleading. Measurements of such immediate products are needed but by themselves are not sufficient to provide a fully meaningful perspective on productivity.il
Hatry separates the service delivery issue into three distinct categories; (1) workload measures,
(2) quality factors and (3) resulting conditions factors. This action establishes the basis for formulating the MBOR process. The basic definition of productivity now considers outputs in relation to inputs and measures the quality and quantity of that output and its effect on the community being served.
Productivity has become a larger issue as resources become increasingly scarce. To further complicate this issue Hatry reports, "Productivity measurement itself adds costs, ultimately productivity measurement
has to be justified as helping to lead to improved
, . 12
productivity.
To justify the expenditure of program evaluation the following potential accomplishments need to be examined:^
1. Determine progress toward targets or goals.
2. Determine what are problems and what areas


52
need invprovment and to provide benchmarks from which progress in making improvements can be evaluated.
3. Productivity data can be a major source of data for budget estimate of future resource requirements.
4. By estimating targets, employee incentive plans are easier to formulate and measure which may easily become a part of productivity bargaining.
5. Performance contracting is easier to formulate and control or even to provide performance incentives such as specified bonuses for attaining higher quality levels.
6. Measurements and target setting may, if utilized properly, improve citizen feedback for government decision making.
Hatry summarizes;
Local governments should have a considerable interest in productivity measurement as a means to encourage efficient management of public resources. Presently, local government offi-icals have little to go on . . .a crucial question is whether local governments would effectively utilize productivity information if collected. Productivity estimates by themselves only help to identify problem areas and issues. More analysis improvements need to be made.
There is a noticeable lack of comprehensive productivity measurement in the public sector. The reasons are obvious and difficult to solve. First, while


53
workload measurements are useful and available, measuring quality of service delivery is complex. Second, program evaluation is expensive and time consuming. As previously discussed, as funds and resources become increasingly more scarce the "luxury" of measurement and feedback becomes more difficult to justify. The idea that productivity measurement will increase effectiveness has not yet been recognized by managers. Third, and related to the previous issue, many managers neither recognize the value of program evaluation nor do they have the knowledge or skills to recognize that their programs may be properly evaluated. Fourth, program managers and agency heads tend to be defensive about evaluation as they bear results inconsistent with previously stated
goals may cause controversy or inhibit growth of the 15
program.
The basic steps in conducting productivity measurement appear simple and manageable. Weiss has formulated necessary steps to follow in conducting successful . , . 16
program evalution.
1. Find out the program's goals.
2. Translate the goals into measurable indicators of goal achievement.
3. Collect data on the indicators for those who participated in the program (and for an equivalent group who did not).


54
4. Compare the data on participants (and controls) with the goal criteria.
The issues and models in productivity are difficult enough to deter most public sector managers from attempting a management control project.
In summary the MBOR technique must be defined in relation to the following process steps,
First, the organization must establish a mission or philosophy which guides its long term and short term goals.
Second, functional elements of the organization must be identified to allow for the establishment of differing target areas.
Third, measurable indicators must be established which clearly represent the process being measured.
Fourth, objectives which are necessary to attain the established goals and mission of the organization should be developed utilizing the indicators as guides.
Fifth, employee behavior and job performance must be identified, developed and translated for each worker to ensure that the objectives are attained through his or her performance.
Sixth, data which reflects workload factors, quality factors and resulting condition factors must be collected to measure the relationship between operational indicators and established objectives. These results are the


55
productivity and performance of individuals and, subsequently, the organization.
Seventh, the results are analyzed so that goals may be readjusted to better guide the organization so corrective action may be taken to increase productivity.
Now that productivity has been defined and the stages necessary to attain productivity measurement reported, it is now necessary to identify and discuss the issues of the managing by objectives and results process.
The MBOR Process
Establishing the organization philosophy or mission statement, from which all goals, objectives, policies and procedures will flow, is the initial step of the MBOR process. Because all activities flow from the organization's stated mission it is imperative that
the manager clearly develop and state the nature and
17
scope of the work to be performed.
The mission statement leads into the major organization goals which have two purposes. First, are operational goals which must be measurable and,
second are strategic goals which may or may not be
18
measureable. Odiorne reports that the strategies and operational goal setting process serves to tell the employees what is expected in advance of the job being attempted.


56
Operational goals serve to identify measurable criteria to employees and stragegic goals offer general statements of conditions after the operational goals have been reached, recognizing that while all goals have criteria not all goals are measureable.
To adequately develop a mission statement,
19
operational goals and strategic goals, Odiorne suggests that the following questions be answered to managers;
1. Where is this program now? Statistically, factually and in judgments about strengths and weaknesses?
2. What trends are apparent? If we didn't do anything differently where would we be in five years?
3. What mission statements could be shaped for this program?
4. What would be the financial consequence of each mission?
Generally, when goals are set and understood by
the subordinate, frustration and anxiety resulting from
ambiguity surrounding job expectations may be reduced
20
and higher levels of performance may be achieved.
21
Tosi and Carroll in their research with managers concerning the value of goal setting summarized that great attention must be given to the philosophy of the organization and the mechanics of goal setting. Interviewed


57
managers stated that the MBOR program was successful when the goals represented the organization's most pressing needs, when the goals were clearly stated and when supervisors had less difficulty in measuring performance with some objective criteria. They also saw the goal setting process as the most important link in equating performance with evaluation which gave them valuable feedback previously not easily attainable.
After the organizational philosophy is established, the key result areas or target areas need to be identified. This part of the process subdivides the organization into functional and process units which have distinctly separate roles in the attainment of the overall organizational philosophy.
22
Drucker identifies result areas by stating:
The basic business analysis starts with an examination of the business as it is now, the business as it has been bequeathed to us by the decisions, actions, and results of the past.
We need to see the hard skeleton, the basic stuff that is the economic structure. We need to see the relationships and interactions of resources and results, of efforts and achievements, of revenues and costs.
Specifically, we need to first identify and understand those areas in a business for which results can be measured. Such result areas are the businesses within the larger business complex; products and product lines (or services); markets (including customers and end-users; and distributive channels.
Result areas should be definitive enough so that, while the areas still relate to the broad philosophy


58
statement and strategic and operational goal planning, easily measureable indicators of performance may be identified for each area. The result areas must be separate and important parts of the organization functioning.
The next stage of theprocess is to identify the performance indicators which will, if summarized, establish the level or degree which a key result area is producing. Members of the organization must at this point be selective in establishing the criteria which best reflects how the functional unit or process, if successful, will contribute to reaching the stated philosophy
and general goals.
23
Odiorne states that "developing indicators to be watched is a means to improving output . . .
the indicators themselves should be changed if needed and no manager should have more than a dozen key indicators to be watching ... it is important to answer the question "are we doing the right things" prior to answering the more explicit questions of measurement, and 'doing this right' . . . any operational indi-
cators should be related to some kind of important output and should contain some element of time (such as park visitors per month).
24
Morrisey explains specifically how to develop indicators;
On the basis of your own roles and missions and the factors which you have forecast, indentify they types of effort or specific improvements you wish to place in objective form . . . determine
a means of measurement (units, percentages, costs, milestones, etc.) that will serve as an acceptable indicator of satisfactory performance against each objective . . . determine realistic and
achievable (measureable) targets for each objective during the forecast time period.


59
While Morrisev discusses establishing objectives, the salient point is that the indicator identification process is important since the objectives are direct results of those indicators. The integrating aspect of the MBOR process and the importance of clear indicators is exemplified by Drucker's case report on a large company;
Sears, Roebuck and Company defined its mission in the '20s as being the "buyer for the American family." This is totally intangible. But the objectives which Sears then set to accomplish this mission (e.g. to develop a range of appliances that most nearly satisfy the largest number of homeowners at the most economical price) was an operational objective from which clear and measurable goals with respect to product line, service, assortment, price, and market penetration, could be derived. This in turn made possible both the allocation of efforts and the measurement of performance.2^
Indicators must link the result target areas with
the next stage of setting the actual objectives. If indicators are not clear and are not measurable then ob-
jectives will not be clear or measurable. Because indicators are the actual performance results which "get the job done" it is also imperative that participation by employees be encouraged and developed at this stage for it is these people who best know the performance necessary to successfully complete tasks.
Objectives are set to attain goals by turning indicators into specific objective statements. Drucker defines objectives stating that "the purpose of an objective is to make possible the organization of work


60
for its attainment. This means that objectives must
be operational: capable of being converted into specific
2 6
performance, into work and into work assignments."
During the process in which indicators become objectives, statements of performance results (i.e. number of assaults) become action statements (i.e. keeping a level of no more than ten assaults per year), so that our previous reactive approach to management, of counting assaults at the end of the year, becomes a proactive approach by stating the maximum number of assaults we will allow.
Some agencies develop long-range objectives and
short-range objectives to comprehensively examine their
27
operation. Odiorne explains, "the best MBO programs in government will probably have two sets of objectives, one long-range set stated prior to budgeting or resource movement, and the second or short-range set after the budget is decided." The purpose of two sets of goals is to ensure long range planning while organizing the day-to-day functions.
Whichever an agency decides, either one set of
objectives or two, the objectives absolutely must be
clear and measurable. While the objectives need not be
precisely quantified, they must include a performance level
which guides the employee who is effected.
2 8
Tosi and Carroll , in their study of manager
reactions to an MBO project, determined some advantages


61
of managing by objective setting. The study suggests that objective setting may effect productivity through increased employee motivation (Table I shows the effects of objective setting on employees).
After objectives are established, the MBOR process requires that they be translated into expected individual work behaviors. This job description process links the philosophy, result areas, indicators and objectives with the actual work performance and allows for the measurement of agency goals through the results of that performance. The results are given to both the individual worker and the organization and are directly related to work behavior rather than arbitrary subjective judgements.
The determination of employee performance criteria allows supervisor and subordinate to develop the individual's job description collaboratively. Of course, management is not required to allow employee participation (the value of employee participation will be examined in depth further in this paper), but to ensure success of the
program joint determination is highly recommended.
29
This approach in several cases has been labeled the work planning process and involves the employee and his or her supervisor meeting together for mutual planning of the work, reviewing progress and solving problems. This
process was established to answer several important ques-
. . 30
tions;


TABLE I
ADVANTAGES OF MANAGEMENT BY OBJECTIVES

ADVANTAGE n* %
1. I Know What is Expected of Me 28 58.6
2. It Forces Planning and Setting Target Dates 20 41.6
3. It Forces Boss/Subordinate Feedback & Communication 15 31.2
4. Increases Awareness of Company Goals 9 18.7
5. Documented Goals Relating Evaluation to Performance 8 16.6
6. Focus on Self-Improvement 7 14.5
7. I Know Where I Stand 6 12.5
8. Coordinates Activity Toward Company Objectives 6 12.5
9 . Subtle Pressure and Motivation to Perform Better 5 10.4
10. Improves Performance if Used 4 8.3
11. Only a General Help 3 6.2
12. No Advantages Mentioned 5 10.4
n=4 8
CT\
K)


TABLE I (Continued)
ADVANTAGES OF MANAGEMENT BY OBJECTIVES
ADVANTAGE
n* %
* The total responses are more than 48 since a manager may have noted more than one advantage.
cn
u>


64
a) How do we improve the productivity of employees?
b) How do we set up conditions whereby people can be helped to do a better job?
c) How can we provide a climate in which
our managers can act as helpers to improve work performance?
In contrast to the traditional performance evaluation which requires criticism of employee work behavior (often arbitrarily), the work planning process proposes
to positively motivate through the following three
. , 31
principles;
1. An employee needs to know what is expected to him or her. Work planning provides the employee with information regarding the results expected, the methods on how to do the job, how the results will be measured, the priorities and the resources available; and the process allows the employee a degree of influence in the planning process.
2. An employee needs to know how he or she is doing. Because learning takes place most effectively when performance is compared with measures, knowledge of results must be precise, specific, immediate and relevant. Knowledge of results is most effective when the target individual observes the results first hand. By participating in objective setting, performance description and review, the individual will be greatly impacted.


65
3. An employee must be able to obtain assistance when and as needed. When assistance is required the employee must be in an organizational climate which has no penalty for asking for help; which frees the supervisor to give assistance; and which allows the supervisor to act as helper.
32
Huse and Kay summarize by stating,
Work planning and review is a flexible way of establishing and continuing the job cycle necessary to get the work done, integrate the efforts of individuals and different components of the business, and increase individual motivation. It is a method whereby man and manager can mutually estabish the objectives of the job, plan what is to be done, insure that the work is done, and evaluate the results and re-set the goals.
This approach fits perfectly into the MBOR process
of mutually set performance and periodical review of
results by superiors and subordinate. The performance
appraisal philosophy is critical to the continuation of
the MBOR cycle which proposes continuous goal setting
and review.
Measurement and evaluation is the stage most often discussed by public administrators but most often ignored in the management process. MBOR requires, if the process is to be on-going and if it is to survive, that a performance measurement and feedback must be completed.
The need, generally, for evaluation, especially
33
in public service is summarized by Drucker;


66
the resources of public service institutions are people and the outputs are rarely "things". Therefore, direction toward meaningful results is not inherent in the work or in the process itself. Public service institutions are prone to the deadly disease of "bureaucracy". . .
Public Service institutions, in other words, particularly need objectives and concentration of efforts on goals and results . . . management
by objectives needs to bring out as a clear result of the thinking and analysis process, how performance can be measured, or at least judged.
The methods of measuring or evaluating performance 34
may vary significantly depending on managerial preference but certain elements must be included to satisfy the MBOR process. First, performance results must be measured according to behavior which relates to the performance standards established through superior-subordinate work planning. As this planning process relates to the indicators previously established, the evaluation is a comparison of results of indicators with the objectives set. The differences are the success or failure of the organization to reach its stated goals. Second, the process must establish the basis for corrective aciton by identifying how and why objectives were not attained. For these reasons, the measurement results must be true indicators of the performance required to reach organizational goals.
Corrective action and feedback is the final stage in the MBOR process which continues with adjusted goal setting as a result of the feedback information. The results of measurement and evaluation are the data base


67
for corrective action and feedback and ultimately
readjusted goals. It is imperative that the organization
views results as a resource for positive change rather
than an excuse for punitive action.
35
Odiorne states;
the idea of measurement is not to punish people for being poor forecasters. The forecast is created to provide vital signs for management to make managerial responses.
The corrective action by management should be
viewed as a positive action and also as a normal part
of the manager's job.
37
Drucker summarizes "organized feedback leading to systematic review and continuous revision of objectives, roles, priorities, and allocation of resources must therefore be built into the administrative process.
To enable the administrator to do so is a result and an important result, of management by objectives. If it is not obtained, management by objectives has not been properly applied."
Taking corrective action is the final MBOR management function and, assuming that goals were
realistic, there are three types of action that can
. - , 38
take place.
1. Self correcting action is action taken by the individual workers actually performing the function.


68
2. Operating action is corrective action taken by a manager or designee not considering efforts by employees.
3. Management action is action in which the manager reviews the management process and redevelops the process through continual planning.
If it is determined that the goals were unrealistic then the MBOR planning process should readjust through its continuous systemic process.
Implementation of MBOR
While there are differing methods of completing
the MBOR process and there are issues surrounding the
process, the most important aspect of MBOR appears to
39
be how the process is implemented. McConkey emphasizes;
Almost invariably the answer lies in the manner in which the system was implemented and especially in the pre-implementation phase. A study of the implementation methods as related to later success indicates a high degree of correlation in over 300 different MBO programs.
The organizations which understood the full import of MBO and took the time and effort required to implement it properly have enjoyed the maximum fruits of the system. Those which devoted only minimal time and effort to implementation have enjoyed success only commensurate with their efforts.
The organizations which endeavored to adopt and copy the system out of hand, and overnight, have usually failed. The strongest support for these conclusions is that not one single company studied, which had properly implemented the system in the first instance, has ever


69
discontinued using it as its primary approach to management. Certainly, these organizations have modified and amended their systems as experience was gained, but the basic MBO system is still intact and being vigorously pursued.
The areas of MBO implementation which will be examined, include,pre-implementation training, where in the organization the implementation originates, the extent of employee involvement and participation and the value of reinforcement or follow-up. By looking at these topics an exposure of important issues, successes and deterrants concerning the overall approach should be identified.
Before the implementation process begins, though,
there are important questions which the manager must
answer to ensure that attempting implementation is
40
worthwhile. Critical questions are:
1. Do we really understand the full impact of MBO as it would affect our organization?
Do we understand how it operates, its strengths, its pitfalls?
While MBO receives many criticisms which may not be warranted, there are numerous pitfalls awaiting the manager who does not understand the process and all the issues involved in the process or the manager who attempts to implement processes which he or she is not capable of doing.
2. Is it right for our organization-are we willing to devote the time and effort (especially on the part of the chief executive) to make it effective?


70
41 42
McConkey and Lasagna emphasize that implementing the approach should include a long term commitment of three-to-five years to properly install MBO in an organization. This requires a major commitment on the part of the chief executive officer.
3. Is the organization ready for it? Has it met the prerequisites of proper management atmosphere, organizational clarity, and an effective management information system?
This question exposes critical issues. Management atmosphere relates to the trust/mistrust level in the organization. A mistrusting group of employees will inhibit the progress or even destroy the efforts of
the approach. An improperly implemented process will
43
also add to the fear and mistrust of the system. Organizational clarity relates to the clarity of the unit's purpose. Employees and managers who have a good idea of the purpose will more easily establish the process, but if the purpose is unclear, MBO may be more difficult. The management information system serves to give feedback concerning the progress and organization of the approach. This is a necessary element which reinforces efforts and highlights problem areas. While these elements are necessary to implement a positive and successful program, they may be the initial targets of the approach. The approach will serve to solve these problems by initiating MBOR to resolve organizational clarity.


71
4. Is this the better timing? Are operations so unstable presently that there would
be an excessive number of distractions from the concerted effort which is required? Will sufficient executive and managerial time be available? Would another period be better?
Because the process is time-consuming, requires a long term commitment and reauires much emolovee involvement; it is imperative that the organization be free of other time conflicts. These conflicts may be other organization development programs, serious management-employee conflicts or shortages of personnel.
5. Why do we want it, what will it do for our organization and how do we do it?
Resolving these questions are important and 44
as McConkey suggests; reading the available literature, questioning other executives in companies which utilize the MBO process and consult with experienced consultants. The why and how is important to ensure proper commitment to the lengthy process.
In addition to these pre-implementation questions 45
and issues, Morrisey suggests that additional questions be answered before the process is initiated:
Do I really want to do it? How much time will it take? Do I have to completely reorganize my operation? What's the procedure; how do I make it work for me?
Do I have to wait for other parts of the organization before I can start? What if my boss (or the rest of the organization) doesn't manage this way? How do I


72
deal with resistance to change on the part of some of my people? How do I get others involved positively who can make or break it? What is my first step?
Obviously, the pre-implementation stage is important to initiating the MBOR process. There are salient questions to be answered and there needs to be an in-depth organizational analysis, either by the chief executive or an outside consultant ensuring that the organization is ready for implementation.
Pre-Implementation Training
The importance of this phase of implementation
varies as researchers have reported differing results.
. 46
Raia has shown increased productivity after goal
. . 47
setting training; Meyer, Kay, and French conducted
research which indicated increased performance after . 48
MBO training; and Tosi and Carroll reported improved
attitudes toward work through MBO training. On the 49
contrary, some have discovered no improvement m
manager need satisfaction after MBO training.
After reviewing and testing these issues,
50
Kirchhoff reports "Contrary to accepted theory MBO training and goal setting do not insure goal use . . .
perhaps goal setting can be dysfunctional if use does not follow training.
While training is not a guarantee that the MBOR project will be successful, there are specific barriers


73
to the approach which training will help to overcome.
MBOR presents an organizational change to employees,
. 51
and which many employees will resist. Secondly,
there are definite procedural skills which managers
and employees must learn to, at least, implement the
system.
52
Mahler reports that "in installing an MBO system two factors are important: (1) achieving organization-wide acceptance of the MBO idea; (2) obtaining the necessary behavior that will allow an MBO
program to be implemented successfully."
53
Carvalho suggests that to properly implement the program and to reduce the time lag between implementation and results of MBO, three areas of training and development must be addressed. First, because of the natural resistance to change, training to encourage attitude change is a necessity. Second, managers must build their systems analysis skills so they may properly understand the impact of MBO on the organization's operating inter-relationships. Third, managers must receive training in the development and appli-
54
cation of interpersonal relations skills. Carvalho states, "all subsystems in the organization are interdependent to some degree . . . Managers who recog-
nize this interdependency and learn how to collaborate without compromising, enhance their chances of achieving their objectives."


74
. 55
Tosi summarizes and adds to the objectives of training through the following list. His objectives of training are general to any organizational development program but they are easily related to the MBO process. The objectives of training are as follows;
1. Knowledge Changes - this objective is concerned with merely increasing the knowledge level of the participant.
2. Attitude Change - development urograms might be designed to change the attitude of the trainees. Perhaps the concept of human relations is being taught in the program; practice in human relations requires a "positive attitude" on the part of the trainee.
3. Ability Change - basically concerned with improving the methods and skills required on the job and in job related tasks.
4. Job Performance Changes - attempts to carry ability changes and improvements into the job situation.
5. End Operational Results - probably the ultimate results desired from training programs of any nature.
Pre-implementation has been defined as a necessity to properly initiate any MBO program. While the training does not ensure success, it is an important


75
implementation stage. Specific areas of training include skill development, attitude change, interpersonal relations and job ability development.
Direction of the Implementation Process
Closely aligned with training is the location
in the organizational structure where the implementation
process originates. Some major authors, Odiorne"^
57
and Morrisey, simply assume that the process begins
at the top of the organization and filters down the
5 8
hierarchical levels. Others suggest that MBO is primarily a participative model which necessitates
initiation at the worker's level of the organization.
59
Humphrey emphasizes the participative appproach by stating;
This technique, called 'participative planning' has proved successful in enlisting the cooperation of employees without putting pressure on them, and has also raised profits and saved planning time . . . Essentially, participative
planning is a process that enables all levels of staff to submit their views on organization, operation and translation of objectives into viable acitn programs ... in another sense it is the reverse of MBO . . . The first thing to do in participative planning is to go straight to the shop-floor people and office supervisors and ask them to write down their views, complaints, and ideas about what would improve the company.
Supporting implementation at the bottom of the
organization is the value of listening to differing
views during a time of change. Hoffer^ suggests that
identifying important goals are often derived from


76
groups or persons who are not in the power positions; the unpopular but free-thinkers in the organization.
Authors who support starting the process at
the top of the organization counter that there is much
information that is of use to top managers which is of
no use to subordinate workers and that to do anything
in an organization you must have commitment from the top
of the organization first.^
6 2
McConkey attempts to resolve the issue by adding the "all at once" approach. "All levels of management are treated as a total unit and implementation for all begins and proceeds concurrentlv-generally with all levels attending the same meetings and indoctrination sessions." While McConkey is referring to managers the "all at once" concept has been broadened to include the total organization.
By initiating the program at all levels of the organization, several aspects of implementation are achieved.
First, information relevant to various hierarchical levels may be distributed without wasting the time of other levels.^
Second, information relevant to all levels may
64
be distributed evenly and completely.
Third, subordinates may develop plans and ideas
65
with the assistance and collaboration of superiors.


77
Fourth, the organization gains the information and
6 6
commitment of workers which it seriously requires.
In regard to the many barriers and pitfalls of this type of organizational development project involving the total organization (top and bottom directionality) appears to be the optimal approach to ensure successful implementation.
Participation in the Implementation Process
The importance of participation in the implementation process has been established in the sections on training and directionality. The elements of participation and the methods of implementing participation then become factors critical to our examination and analysis of the program we are researching.
6 7
Morrisey reports that trust and commitment are
salient elements of participation that are primary to
6 8
the success of the implementation process. Jun suggests that participative goal setting creates increased individual responsibility in workers as a result of
the greater freedom and control allowed by the process.
69
Levinson proposes that employees are more deeply motivated through mutual subordinate and superior activity in job obligation clarification and in measuring job performance. This element is emphasized by Levinson's7^1 statement on mutual task development;


78
Thus the highest point of self-motivation arises when there is a complementary conjunction of the man's needs and the organization's requirements. The requirements of both mesh, interrelate, and become synergistic. The energies of man and organization are pooled for mutual advantage.
If the two sets of needs do not mesh, then a man has to fight himself and his organization, in addition to the work which must be done and the targets which have been defined.
71
Morrisev reports that participation creates, in addition to commitment, the creativity potential of workers. He views participation as a challenge to workers to be innovative and give input in critical planning areas.
72
Humphrey in defining "participative planning" reports that when employees participate to shape their own future they work better and with greater satisfaction.
In summary, the elements and benefits of participation include trust, commitment, individual responsibility, motivation, creativity potential, better performance, and greater employee satisfaction. These elements have been validated through the research results
of several authors.
73
Drucker reports that Japanese business and public affairs agencies are able to set goals and be more effective because of the responsibility and commitment of
employees created by their approach to management bv
74
consensus. Meyer, Kay and French report, in their studies on the General Electric Company's MBO experience, that subordinates who received a high participation level had


79
a greater mutual understanding between them and their managers, had greater acceptance of job goals, had a more favorable attitude toward the appraisal system and had a feeling of greater self-realization on the job.
They also reported that, "employees who had traditionally been accustomed to low participation in their daily relationship with the manager did not necessarily perform better under the high participation treatment."
75
Tosi and Carrol after interviewing 128 managers of a large manufacturing firm, concluded that "higher participation was related to higher satisfaction with MBO for the high initiative managers. But that it had a far greater positive effect for managers who had a high need for policy, low control over the means of goal achievement, low job interest, and were aware of the supervisor's goal priorities . . . the effect of participation was negative for those who had low goal priori-tees . "
7 6
Corey reports that, as a result of an MBO project with the John Hancock Mutual Life Insurance Company, line managers were able to institute and carry out the MBO process effectively after they understood the process, were given the right tools and received staff counsel.
The managers participated in long and short range organizational goals and objectives and in individual goal setting. He reports that small group training meetings for one hour per day for four consecutive days were not


80
enough of the education and motivation needed for the project.
77
White conducted research at a public health care facility and discovered, because of participation in an MBO project, there was increased ego involvement in work, increased knowledge and skills, increased experience and increased challenges in daily activities. These were viewed by employees as positive aspects of increased responsibility and satisfaction with work.
The lack of participation may also create additional
7 8
problems or block the success of implementation. White reports, in a public agency study, that "use by some managers of a directive approach to goal setting was evidenced. Had greater participation in the formulation of objectives taken place, more realistic goals or strategies to achieve needed objectives might have
resulted and dissatisfaction minimized."
79
Ivancevich compared two agencies conducting MBO projects, one successful and one unsuccessful, and discovered that while the successful agency took much time for training and employee involvement, the unsuccessful agency had supervisors who never heard of MBO and did not know that it was currently being used by their company. This was after a one-year use period.
Implementing a participative approach requires some traditional change considerations. Tosi and


81
8 0
Carrol state that "mutual goal setting" requires a reallocation of influence. Providina the subordinate is willing to participate, the superior must be willing to relinquish some influence. If this does not occur, participation will not work. "Participation is power redistribution and power means some control over the work environment."^
8 2
French and Hollmann suggest that the answer to MBO and participation is a team approach. Instead of the one-to-one manager to subordinate method, goals should be determined by groups of superiors and subordinates acting as a team with equal ranking.
The evidence for participation by all employees of an organization in an MBO implementation process is strongly in favor of comprehensive inclusion. While it requires some change by managers, the results may mean the success or failure of the program.
Reinforcement
Reinforcing the established MBOR approach surfaces as a critical element in the implementation process.
83
Ivancevich summarizes that "... individuals stop responding in fairly predictable patterns when their behavior is no longer reinforced or is not reinforced at all . . . without some degree of reinforcement the
effects of training, if any, are diluted or eliminated completely."


82
Tosi reports that the success of a management philosophy depends on employee acceptance and that
acceptance requires satisfactory organizaton rein-
8 5
forcements. Tosi, Rizzo and Carroll state that, concerning performacne appraisal, "the manager should let him know that his performance has been noticed, especially
when he is performing his major job responsibilities
8 6
exceptionally well." Ivancevich, when comparing successful and unsuccessful programs, discovered that even short term reinforcement programs influenced the successful outcomes of an MBO project.
Methods of providing reinforcement may be difficult for the manager. The strongest approach appears to be participation by employees in the process and in analyzing the results. Feedback relating to performance,
especially positive performance, has also been identi-
8 7
fied as a motivation. Horgan and Floyd add to this list by identifying the use of special assignments, on-the-job training, task force membership, job enrichment, training programs, university programs, and professional memberships as reinforcing techniques.
Compensation is often viewed as a potential
8 8
method of reinforcing the MBO process. However, Lasagna
states that compensation eventually dominates the develop-
89
ment of MBO and the process is weakened. Mobley argues in favor of compensation as a reinforcer. Through his interviews with managers he summarizes the advantages;


83
(1) It is a relatively more objective way to allocate financial rewards than more traditional approaches.
(2) It permits establishment of the performance-reward contingency suggested by reinforcement and expectency-instrumentality theories of motivation and performance.
(3) It helps to ensure that these two management processes do not work at cross purpose.
(4) It serves as a potentially powerful source of feedback.
Reinforcement is established as a salient element of the implementation process and should not be ignored
by managers involved in the MBO approach.
. 90
McConkie summarizes the elements of the implementation stage of MBOR. Available research indicates these are critical to management development success:
1. Implementation should be preceded by data-based diagnosis of organizational problems and strengths;
2. Training in specific skill areas will almost universally be needed;
3. Favorable top management support and involvement are important contributors to successful MBO implementation;
4. Training and implementation needs should be met with tailor made designs, rendering sufficient attention to all the variables impacting upon the implementation process.
5. It also appears that high levels of subordinate involvement facilitate implementation.
6. One of the most important parts of the implementation schema is the erection and utilization of specific reinforcement mechanisms.


84
MBOR Elements and Issues-A Summary
This overview of MBOR sets the background against which the Boulder County Corrections MBOR Project will be examined. Several important elements and issues concerning the successful implementation of MBOR in an organization have been identified and analyzed. The following list is a summary of these processes. The Boulder MBOR management process will be evaluated using these elements and the success or failure of the project will be analyzed in these terms.
Process
1. A philosophy statement must be developed which includes short and long term goals.
2. Functional elements of the organization must be identified which will be effected by managing by objectives.
3. Measureable indicators must be developed which represent the organization's process.
4. Objectives must be developed which put into action the indicators.
5. Job performance must be stated in behavioral terms and translated for each worker and each specific job.
6. Data must be collected which includes workload factors, quality factors and resulting condition factors. These data are the results to be measured in comparison with stated goals and objectives.
7. Goals are readjusted as a result of data analyzation. Corrective action is taken
to alter the organization process which effects the goals.


85
Implementation
1. A diagnosis of organizational problems and strengths should be conducted to assess compatibility with an MBO project.
2. Training of all personnel in the organization should be implemented simultaneously.
Special training should be given to members of each hierarchical level depending
on their needs.
3. Top management support and imvolvement is critical to the implementation process and it must continue throughout the MBOR approach.
4. Training and implementation elements should be predesigned, well prepared and given much support by managers.
5. The implementation process should be initiated at all levels of the organization striving to develop mutual goal setting and problem solving between managers and workers.
6. Managers must make every effort to develop a participative model, adjusting the organization's approach to decision making and creating situations which allow for high levels of subordinate involvement.
7. Reinforcement methods must be developed by managers which continually support the organi-izational change created by the MBOR process.


86
References and Footnotes
"'"Peter Drucker, Managing for Results (New York: Harper and Row, 1954), p. 3.
^Ibid, p. 199.
3
Edward C. Schleh, Management by Results (Nev;
York: McGraw-Hill Book Co., Inc., 1961), p. 18.
4Ibid, p. 19.
5
George L. Morrisey, Management by Objectives and Results (Reading, Mass.: Additon-Wesley Publishing Co., 1970) .
^Ibid, pp. 6,7.
7
George S. Odiorne, Management by Objectives:
A System of Management Leadership (New York: Pittman Publishing Co., 1965), pp. 56, 66.
g
Mark L. McConkie, Management by Objectives in a Public Agency: Defining the Concept and Testing its Application (University of Georgia, 1977) .
9
Harry P. Hatry and Donald M. Fisk, Improving Productivity and Productivity Measurement in Local Governments, National Center for Productivity and Quality of Work Life, (Washington, D.C. 1971), p. 3.
^Jerome A. Mark, "Meanings and Measures of Productivity", Public Administration Review, Vol. 32,
Nov./Dec. (1972), p. 748.
'*'‘*'Hatry and Fisk, p. 3.
12 . .
Harry P. Hatry, "Issues m Productivity Measurement for Local Governments", Public Administration Review, Vol. 32, Nov./Dec. (1972), 777.
13
Ibid, p. 777. The list is a summary of productivity measurement steps proposed in Harry Hatry "Issues in Productivity Measurement for local governments", p. 777, Hatry and Fisk, Improving Productivity and Measuring the Effectiveness of Basic Municipal Services (International City Managers' Association, 1974).
14
Measuring the Effectiveness of Basic Municipal Services, p. 14.
15
Hatry and Fisk, p. 9. See Harry P. Hatry,
Richard F. Winnie, and Donald M. Fisk, Practical


87
Program Evaluation for State and Local Government Officials (The Urban Institute, Washington, D.C. 1973) for discussion of these issues.
â– ^Carol H. Weiss, Evaluation Research. (Inglewood: Prentice-Hall 1972) .
17
Morrisey, p. 139.
18
George S. Odiorne "MBO in State Government", Public Administration Review, Jan./Feb. 1976, pp. 28-33.
19
^Ibid, p. 3.
20
Henry L. Tosi and Stephen J. Carroll, "Managerial Reactions to Management by Objectives", Academy of Management Journal 1969 , I_I (4) , 415-426 .
21Ibid, p. 424.
22
Drucker, Managing for Results, p. 15.
23
Odiorne, "MBO in State Government", p. 29.
24
Morrisey, p. 141.
25
Peter F. Drucker, "What Results Should You Expect? A User's Guide to MBO", Public Administration Review, Jan./Feb. 1976, p. 16.
2^Ibid, p. 13.
27
Odiorne, "MBO in State Government", p. 29.
2 8
Tosi and Carroll, p. 420.
29
See Robert H. Meyer, Emanuel Kay, and John R. P. French, Jr. "Split Roles in Performance Appraisal" Harvard Business Review 1965, 43 (1), 123-129 and
Edgar F. Huse and Emanuel Kay "Improving Employee Productivity Through Work Planning" in Blood, J.W. (Ed.),
The Personnel Job in a Changing World (Mew York: American Management Association, 1964), pp. 298-315.
^Huse and Kay, p. 300, 301.
31Ibid, p. 302.
32Ibid, p. 315.
33Drucker, "What Results Should You Expect? A User's Guide to MBO", p. 13.


88
34
See Morrisey, review techniques.
page 121 for a listing of manager
35
Odiorne, "MBO in State Government", p. 32.
3^Morrisey, p. 132.
37
Drucker, "What Results Should You Expect?" p. 17. 3 8
Morrisey, p. 134.
39
Dale D. McConkey, "Implementation-The Guts of MBO", S.A.M. Advanced Management Journal, 1972,
37 (5) 13-18 p. 13-14.
40
Ibid, p. 14-15.
41
Ibid, p. 15.
42
John B. Lasagna, "Make Your MBO Pragmatic"
Harvard Business Review, 1971, 4_9 (6), 64-69 .
43Ibid, pp. 14-15.
44
McConkey, "Implementation - The Guts of MBO."
45
George L. Morrisey, "How to Implement MBO in Your Organization Unit", Training and Development Journal 1977, 31 (4), 8-13.
Journal
4 6
A. P. Raia, Goal Setting and Self-control", of Management Studies, 1965, 2, 34-53, and
A. P. Raia, "A Second Look at Goals and Controls", California Management Review 1966, 8 , 49-58.
47
H. H. Meyer, E. Kay and J. R. P. French, "Split Roles in Performance Appraisal", pp. 123-129.
4 8
Tosi and Carroll, "Management Reaction to Management by Objectives", p. 415-426.
49
J. M. Ivancevich, J. H. Donnelley and H. L. Lyon, "A Study of the Impact of Management by Objectives on Perceived Need Satisfaction", Personnel Psychology, 1970, 23, 139-151.
50
Bruce A. Kirchoff, "A Diagnostic Tool for Management by Objectives" Personnel Psychology 1975, 28, 351-364.


89
G. F. Carvalho, "Installing Management by Objectives: A New Perspective on Organizational Change", Human Resource Management, 1972, 2^ (2), 23-30.
52
Walter R. Mahler, "Management by Objectives:
A Consultant's Viewpoint", Training and Development Journal, 1972, 26, (2) 16-19.
53
Carvalho, pp. 24 and 28.
54
Ibid, p. 28.
55
Henry L. Tosi, "Management Development and Management by Objectives - An Interrelationship",
Management of Personnel Quarterly, 1965, £ (2), 21-27.
^George S. Odiorne, "Managing Bad Luck by Ob-jecvies", Michigan Business Review, 1974 , 26 (3), 8-13.
57
George L. Morrisey, "Making MBO Work - The Missing Link", Training and Development Journal, 1976,
30, (1), 3-11.
(although Morrisey has stated that implementation starts at the top, bottom and middle, the processes he outlines indicates a top-down approach.)
58
Albert S. Humphrey, "MBO Turned Upside Down", Management Review 1974, 63, 4-8.
59
Ibid, p. 5.
^Eric Hoffer, The True Believer (New York:
Harper & Brothers, 1951).
^Carvalho, p. 24-25.
6 2
McConkey, p. 15.
^Carvalho, p. 25
f) 4
Charles H. Granger, "The Hierarchy of Objectives" Harvard Business Review, 1964 , 4_2 (3) , 63-74 .
^^Henry L. Tosi, John R. Rizzo, Stephan J. Carrol, "Setting Goals in Management bv Objectives", California Management Review, 1970, 1_2 (2) , 70-78.
66 a n
Lasagna, p. 65.
fi 7
Morrisey, "How to Implement TtBO in Your Organizational Unit", p. 9.


Full Text

PAGE 1

ORGANIZING YOUR ORGANIZATION: A ---DEMONSTRATION STUDY OF MANAGEMENT BY OBJECTIVES AND RESULTS IN A COUNTY JAIL by Paul Leslie Katsampes , B.S., Metropolitan State College, 1970 M.A., State University of New York at Albany, 1972 M.P.A., University of Colorado, 1974 A thesis submitted to the faculty of the Graduate School of Public Affairs of the University of Colorado in partial fulfillment of the for the degree of Doctor of Public Administration 1979

PAGE 2

ii This Thesis for the Doctor of Public Administration Degree b y Paul Leslie Katsampes has been approved for the Graduate School of Public Affairs by Date /JyA6, /97t{ I

PAGE 3

i i i Katsampes, Paul Leslie (D.P.A., Public Administration) Organizing Your Organization: A Demonstration Study of Management by Objectives and Results in a County Jail Thesis directed by Associate Professor Nicholas Pijoan This is a study of a management by objectives and results project in a county jail agency. The purpose of this writing is to present an applied model of a management by objectives and results project in a county jail setting and to discuss and evaluate the issues of MBOR relating those issues to the applied model. The target agency was the Boulder County Colorado Sheriff's Department Corrections Division. This organization as a result of a social change affecting county jails, attempted to change its philosophy, operations and physical plant. To support an organized change the Boulder jail administration implemented the MBOR project for a period of fifteen months. The study revealed positive and negative results when the process was related to the issues of MBOR implementation. Positively the project resulted in a clear philosophy statement which stands as a model for other jail systems; the process of MBOR was completed and the description of the process exists as a model for other agencies; the positions in the programs and administrative areas were thoroughly described and clarified; and the agency•s functional objectives and

PAGE 4

i v corresponding action agendas are outstanding examples. Problems surfaced during the fifteen-month process included a deficiency in pre-implementation training, a lack of proper pre-implementation organizational analy-sis, inadequate training for the MBOR skill development of some supervisors, a lack of participation by some employees, a lack of continued reinforcement for the process and a poor evaluation process. The project did serve to assist jail managers in their organizational change effort and some results should serve as a model for progressive jail operations. Overall, the application of MBOR in a public agency is supported by evaluating this program implementation process. This abstract is approved as to form and content. I recommend its publication. Signed thesis G. Nicholas Pijoan

PAGE 5

ACKNOhTLEDGEr1ENTS I wish to acknowledge the support and aid of Nick Pijoan whose approach to interpersonal relations and problem solving made the work of completing of this paper much less of a chore than it could'have been. I am indebted to Mark Pogrebin for his efforts of reading, editing and revising the manuscript. I am most grateful to Mark for.challenging me and keeping me accountable which ensured the producing of a quality effort. This is a leadership attribute not often displayed by supervisors. I am indebted to Paul McCormick for his support at the Boulder County Jail and with this paper. I also owe a debt to the word processors; Julia O'Rourke for her criticism and humor, Lee Valas for her competent editing and feedback, Virginia Wood and Sharon Sherman for the tedious hours of typing. I am especially indebted to the faculty of the Graduate School of Public Affairs for teaching me the real meaning of trust, dependability, integrity and service. Finally, to Sue, Michael, Julie, Kathy, Peter, Patti and Philip who endured the many years of a part-time father, I am regretful for the loss of irreplaceable time and grateful for their understanding. v

PAGE 6

TABLE OF CONTENTS Acknowledgements CHAPTER ................................ v PAGE 1 1 I. INTRODUCTION ..............•............. A. B. c. Mission Boulder County Jail Overview Management by Objectives and 2 Results: Why and How ...•.•.......... 9 II. THE TREND OF CHANGE IN U.S. JAILS ........ 19 A. Introduction . . . . . . . . . . . . . . . • . . . . . . . . 19 B. The Pre-incarceration c. D. E. F. Era -The 1600s ..................... Incarceration-The 1800s .......... . The Medical Model-The 1950s ...... . Community Corrections -The 1960s Judicial Intervention -The 1970s III. MANAGEMENT BY OBJECTIVES: A CONCEPTUAL 21 25 29 32 36 OVERVIE\'J . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 3 A. B. c. D. E. F. The Evolution of 1-.ffiOR MBOR and Productivity The NBOR Process ................... . Implementation of MBOR ............. . Pre-implementation Training ..•.....• Direction of the Implementation 43 49 55 68 72 Process . . . . . • . . . . . . . . . . . . . . . . . . . . . . . 75

PAGE 7

CHAPTER H. Reinforcement I. MBOR Elements and Issues: vii PAGE 81 A Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 4 IV. THE BOULDER JAIL MBOR IMPLEMENTATION PROCESS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 A. Organization Structure and Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 B. Pre-implementation Design ........... 94 C. Philosophy Development .............. 99 D. Key Result Areas .................... 101 E. Key Indicator Development ........... 105 F. Objectives, Action Agendas and Controls . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 7 G. Evaluation .......................... 129 V. RESULTS AND DISCUSSION .................. 135 A. Strategy and Rationale .............. 133 1. Data Collection Methodology ..... 134 B. Results Analysis-Processes ........ 136 l. Philosophy Statement ............ 136 2. Key Result Areas ................ 138 3. Key Indicators .................. 139 4. Objectives, Action Agendas and Controls .................... 140 5. Performance Appraisal ........... 143

PAGE 8

viii CHAPTER PAGE 6. Program Evaluation ....•..•...... 152 7. Corrective Action . . . . . • . . . . . . . . . 154 C. Results Analysis-Implementation .... 155 1. Pre-implementation Organization Analysis ....•............ 155 2. Pre-implementation Training 157 3. Hanagement Commitment and Support ...............•.......... 159 4. Implementation Preparation and Pre-design .................. 161 5. Directionality of Imple-mentation ......................• 161 6. Participation of Employees in Implementation .................. 162 7. Reinforcement ................... 166 D. Conclusion .......................... 167 B IBL IOGR.l\PHY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 4 APPENDIX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . • . • . . . . . . . . 17 9 A. TEAM KEY I N DIC..P.TORS .....•........... 179 B. PRE-IMPLEMENTATION OBJECTIVES AND ACTION AGENDAS C. JOB CRITERIA OBJECTIVES, CONTROLS AND DESCRIPTIONS FOR EACH 200 ORGANIZATION FUNCTION ............... 207 D. ORGANIZATION OBJECTIVES, ACTION AGENDAS, CONTROLS .....•.....•....... 308

PAGE 9

ix CHAPTER PAGE E. BOULDER COUNTY CORRECTIONS -MANAGING BY OBJECTIVES AND RESULTS (EVALUATION) .....•........... 390 F. MBOR QUESTIONNAIR E .................. 427

PAGE 10

LIST OF TABLES TABLE PAGE I. Advantages of Management by Objectives ............................ 62 II. Boulder County Corrections Division Organization Chart ....•.....•......... 93 III. Timetable for Implementation of the 1.ffiOR Project . . . . . . . . . . • . . . . . . . . . . . 97 IV. Boulder County Corrections Mission Statement ..... , . , ............•..• , . . . . 100 V. Team Mission Statements ............... 102 VI. Key Result Areas ...................... 103 VII. Key Indicators for Staff Development ... 108 VIII. Job Responsibilities for Program Team Leader . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 IX. Program Team Leader Objectives ........ 117 X . Objectives for Career Planning ........ 127 XI . Philosophy Statement .................. 137 XII. Clarity of Individual Job Assign-ment as a Result of the MBOR Project ... 142 XIII. Performance Appraisal is Based on Job Behavior . . . . . . . . . . . . . • . . . . . . . . . . . . 145 XIV. Supervisor Encourages Individual Goal Setting .......................... 146 XV. Supervisor Helps in Performing Job .... 147 XVI. Performance Related Feedback .......... 149 X

PAGE 11

TABLE PAGE XVII. Supervisor Involvement in Employee's Career Planning •.•.......•............ 150 XVIII. Results of Evaluation Phase Assist Organizaton Problem Solving 153 XIX. Evaluation Results are Generally Known to Staff . . . . . . . . . . . . . . . . . • . . . . . . 154 XX. Participation in Decision Making Before MBOR Project-Implementation 156 XXI. MBOR Implementation Training ...•...... 158 XXII. Management Commitment to MBOR Project ............................... 160 XXIII. Directionality in Goal Setting XXIV. Participation of Employees in 163 MBOR Process .....................•.... 165 XXV. Team Involvement ...................... 165 XXVI. Employees Informed of MBOR Process .... 167 xi

PAGE 12

CHAPTER I INTRODUCTION Mission There is a major change evolving in jails in the United States. These often ignored bastilles have become targets of a social change which is far reaching in impact; financially and philosophically. This Dissertion is presented as a model of one alter-native to inherent in changing a stoic, unmoving organization, such as the county jail. The major purpose of this writing is to complete the following goals: (1) To present an applied model of a management by objectives and results project in a county jail setting. (2) To discuss and evaluate the issues of management by objectives and relate those issues to the applied model. There have been numerous studies, texts and papers1 written examining the concepts, the issues and the processes of management by objectives and results. Therehavebeen very few demonstrations of case studies or known applications of MBOR in a county jail organi-zation. The Boulder County Sheriff's Department•s Corrections Division implemented a management by ob-jectives and results project for a one year period in

PAGE 13

2 an attempt to better organize the agency. Managing by objectives and results (MBOR) is a process which includes setting objectives, otaining results of the objectives and readjusting organizational goals and operations in relation to the results. The purpose of attempting a difficult project like MBOR is two-fold. First, the MBO process has proven to be a valid management tool in certain circumstances. Because there is much literature which discusses the issues and process it is worthwhile to continually test those issues. The fact that our target agency, the Boulder Colorado County Jail, is a public agency lends additional importance to the project as there are few demonstrations of MBOR in the public sector. Second, and most important, this is a demonstration model for a county jail. Aspreviouslystated (and we will examine this much closer in the following chapter) the county jail organization today is facing a tremendous period of social change. Under this relentless pressure, the MBOR process allows the jail administrator a management tool which systematically restates the organizational mission, redefines the organizationts operational policies and reformulates its operational procedures. Boulder County Jail Overview The philosophy, physical design, and operation of the Boulder County Jail was developed through a

PAGE 14

community planning endeavor which included criminal justice practioners, planners, experts, volunteers, county officials and citizens representing special interest groups. They determined that there was a need for a new approach to detention and longer term incarceration other than the traditional methods used by regular jail systems. To have constructed a new county jail merely to accomodate a rising inmate population, officials believed, would have resulted in a short-term solution --that of a larger facility lacking corrections capabilities. Instead, the over-riding philsophy of "alternatives to incarceration" was employed in design of the new county jail resulting in a slightly larger facility with a totally revamped physical design. 3 The results of the integrated and progressive planning effort is a modern jail facility designed to provide a safe and secure facility for the incarceration of individuals while also providing a humane atmosphere. In order to provide this atmosphere, there are individual rooms providing privacy for each person, group rooms providing space for leisure activities and group interaction, a full-sized gymnasium, a lounge, an extremely large outdoor courtyard, a classroom, a library, and a comfortable cafeteria. The facility meets the recent court rulings calling for a constitutional jail in that it provides

PAGE 15

4 adequate living space, windows, acceptable noise levels, healthful and sanitary condition, provisions for visiting, recreation facilities, classifications, and programs. A modular design of living units allows for separation of inmates to provide security and to encourage small group interaction. Each unit consists of only ten rooms and one day room; this allows the staff to maintain control and security and also enable s to staff to direct activities, get to know residents, and work on problems with them. An underlying philosophy of the institution is that loss of freedom is itself punishment and it is not necessary to inflict any further punishment upon an incarcerated individual. While in the facility, residents are treated with respect and dignity. Many of the residents are in minimum security areas and all of the residents have an opportunity to participate in recreation programs and educational programs, to utilize the library, to participate in AA, drug and/or individual counseling as needed, to attend special classes and workshops covering preventative legal issues, vocational and daily living topics. The atmosphere in the jail is relaxed because of the design of the facility , itself, because there are activities to occupy time, because disruptive and dangerous people are separated from the general population, and because staff treat the residents humanely.

PAGE 16

Staff is responsible for implementing the guidelines set forth in the philosophy. All staff members must be capable of filling the dual roles of maintaining security and of being involved in the jail programs. Staff members, constantly being trained in both of these areas, are responsible for all security and procedural functions and also for working with residents on problem solving and daily living skills. The staff is composed of highly qualified men and women trained to solve institutional problems in a collaborative, non-violent manner. This combination of a modern building, a highly qualified staff, an enlightened management model and a community supported philosophy calling for the humane treatment of residents is an attempt to put the role 5 of jail incarceration into a new correctional perspective. The Boulder County Jail, operated by the Boulder County Sheriff's Department, before the MBOR process was initiated, changed its operating philosophy from a traditional detention and holding facility to a community corrections oriented treatment facility. The Management by Objectives and Results (MBOR) process for this experiment is not a new philosophy of management for organizations but it has little evidence of application in service delivery agencies. There is little evidence of MBOR's application in complex organizations as custodial/treatment agencies

PAGE 17

and seldom are the results of the process emphasized. Because of the lack of research with management by objective and results the application of MBOR b y the Boulder County Jail suggests a potential for significant results. The target agency initiated its change effort 6 two years prior to the MBOR effort. The movement started with a major change; first, a new facility was constructed that included a large area for treatment programming, minimum security living and recreational activities. Second, new personnel were selected with the hiring criteria emphasizing a social science orientation and skill in positive interpersonal realtions. Third, the management philosophy was altered to emphasize increased participation, responsibility and decision making by employees. To further define the impact of thisphilosophical change, and to further describe the organization, the general goals established at that time ,.,ere as follows: 1. To keep a secure facility, preventing escape, violence and introduction of contraband. 2 . To maintain a positive atmosphere, allowing residents and staff a living environment free from tension and fear. 3 . To contribute to a community corrections philosophy, assessing the treatment needs of residents

PAGE 18

and maintaining positive referral sources among community social service agencies and programs. The first salient aspect of this change in relation to the MBOR project was that by establishing the above stated goals in a local county jail, the Boulder agency moved diversely away from the traditional models for county facilities. Because there was no actual working model to follow, the agency managers and employees were forced to experiment through "trial by error" methods, subsequently their procedures became disorganized as it was extremely difficult to clarify the orientation and expectations of different employees. The immediate consequence resulted in employees working in different ways to reach vague goals. The MBOR process was an attempt to help solve the problem through its clarifying attributes. The second relationship between the agency change effort and the Management by Objective and Results technique was with Boulder County's commitment to establish an organizational system which promotes and encourages continuous planned change. As the "state of the art" of local corrections exists currently, our target agency assumed that by challenging the traditional mode of jail operation, due to the fact that there was no working model to follow, progress in the field v.JOuld only re-7 sult from a continuous review of its experimental approach.

PAGE 19

The feedback element of the MBOR process should allow for this :necessary continuous review. 8 The third relationship is between the MBOR process and the organizational value placed on worker decision-making and the high degree of participation b y all employees. Participatory management is a difficult approach, especially in the law enforcement field which has traditionally emphasized a rigid autocratic organizational philosophy. MBOR requires a great deal of individual role examination and clarification, much clarification of the actual work practices and supervision expectations and a high degree of employee commitment to the successful completion of the process. In a participatory oriented organization the MBOR technique then becomes another tool to ensure opportunity for worker input. The Boulder County Jail places a high value on the input of workers and the participatory decision-making process. A final need of the organization which relates to productivity measurement and feedback through the MBOR process is the need to disseminate factual programmatic information and data to the public and other agencies concerning the progress of this potentially controver-sial approach. By changing the jail philosophy from detention to correction, the Boulder County Administrators have challenged an area where little successful data exists. The survival of this public program has depended

PAGE 20

on thorough explanation or programmatic activities and defense of the philosophical rationale to outsiders. Especially in an agency headed by an elected official (county sheriff), reaction to outsiders, (i.e. county commissioners, advisory boards, general public and interest groups) , is a necessary element of the managerial function. Success of t his function is based on the retrieval of factual relevant results. rmoR provides this element by correlating results of organization functioning and feeds back the results to agency policy makers. 9 County jails are complex organizations which harbor many conflicting and controversial issues dealing with the management of human behavior. Managing this type of organization and measuring its effectiveness is a difficult task. The Boulder jail organization, as our target agency, offers a unique situation in which we are able to examine the issues and process of the management tool selected as a solution of widespread organizational problems. Management by Objective s and Results: Why and How Management by Objectives is both a philosophy and a process.2 First, it is a philosophy which reflects a proactive rather than a reactive way of managing and, second , it is a process consisting of a series of

PAGE 21

10 interrelated steps. The "why" of .MBOR is an examination of the reasoning behind taking a proactive approach to managing an organization. First, our management purpose in initiating this process is to clarify certain operational aspects of the organization. While managers hear much concerning the delegation of authority and responsibility, managing that delegation is a major effort. The key element in delegating responsibility is that employees accepting that job related responsibility clearly understand his or her personal limitations in occupational functions. MBOR as a process clarifies the issues and confusions which are caused by regular communications. Closely related to supervisory delegation of responsibility is the clarification of line employee job responsibilities. Many employees work in positions which have been improperly defined. The MBOR process clarifies those responsibilities, in fact, in our process the employee assists management in clarifying and establishing role functions and indicators of successful performance. As previously stated in the Boulder County Jail exar.1ple, in some instances values, expectations and agreements have yet to be clarified. In the process, not only does management state their views concerning organizational values and expectations, but employees join in the decision making and clarifying activities.

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11 In the Boulder County model the workers closest to the actual job performance established the criteria of successful job performance. A final clarifying role of MBOR is its necessary examination of the organization's data collection, infor-mation storage and information retrieval capabilities. When data is requested for a proper evaluaion, defi-ciencies in the system will quickly surface. An ob-jective of the MBOR facilitators is to establish an effective information flow system. A second objective of this proactive management tool is to thoroughly address the efficiency effective-ness issue. Probably the greatest advantage of MBOR's objective setting-evaluation-feedback formula is the organizational system is constantly reviewed and tested to expose weaknesses in the operation. In this system all functions must be relevant and efficient to pass the review test, especially when the workers themselves are analyzing the system. A third value of is its contribution to employee participation in organizational decision making. While few organizations promote participatory management, 3 several authors have reported the relationship between participation, commitment and responsibility to goals. The MBOR process requires that all levels of the organ-ization be committed to the process to ensure that commit-ment.

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12 The fourth value is the accuracy of and capability to report to outside interests the true functioning of the organization. While some public agencies may still atempt to function as closed systems. progressive programs recognize the value of operating openly and honestly. Vital to the operations of an open system is, first, feedback and evaluation within the system and then interaction with its environment. The public agency which reports openly and honestly will have the greater chance to succeed, expecially when others are allowed to accept responsibility for program goals. In addition, accurate data answers the attacks and issues that opponents utilize to subvert the organization. Finally , an important aspect of the feedback plan is the agency's ability to establish a continuous and progressive planned change program. In our fast moving technological society, change is inevitable. If public programs are to be effective, agencies must accept the fact that continuous change is a norm. The MBOR process provides for a continuous examination of program direction and effectiveness, ensuring the necessary flexibility to alter operations. MBOR, if properly administered, satisfies several organizational needs. Most important, managers are able to have additional organizational control, but in a more positive manner. By controlling results and not controlling people, managers are more apt to be successful

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13 in reaching goals with the cooperation and commitment of workers and not through the adversary process many managers and employees are locked into. MBOR is a well studied and discussed concept as a management tool and is not new.4 Elements of it can be found in the management systems of General Motors, General Electric, DuPont, and other companies as far back as the 1930ts. Some scholars trace MBO's geneology to the management theories of the German military staff of the nineteenth century or to the Catholic Church of even earlier periods. However, it has been introduced to most organizations in the last decade. The method by which MBO has been introduced into organizations varies considerably. Sometimes it has been imposed forcefully on an organization by top management, while at other times top management has shown an attitude of benign neglect, permitting MBO to be utilized in some part of the organization and then allow its use throughout the rest of the organization. often, MBO has been introduced in a way that falls somewhere between these two extremes. Just as the method of introduction ahs been varied, so has the effect of MBO. For some organizations it has become a "way of life"; the success of has been so substantiated and apparent that it is practiced in a systematic way throughout the organization. In other instances, MBO has turned organizations into rigid, mechanistic

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organizations, blindly pursuing unachievable goals. Thus, it is not unusual to find organizations that have various forms of MBO in operation. MBOR is nothing more than stating what you are attempting to achieve; \vriting a plan to attain the result, and then, checking along the way to ensure that actions a ;re being taken as planned. If the plan is followed, the result will be achieved. Sometimes, due to unforeseen occurrences, modifications will have to be made. An advantage of MBOR is that changes may be made to best facilitate organization effectiveness and efficiency. In this study we use managing by objectives and results instead of merely managing by objectives to emphasize the importance of collecting data which evaluates the progress of objectives. Establishing and monitoring results allows policy makers to make decisions which improve the direction of the organization. For an organization with more than one mission, or conflicting missions, writing objectives may seem like a difficult task. However, utilizing an MBOR 14 model forces management to outline the different missions and specify the direction of each department. One of the most vital elements in an MBOR model is that managers are forced to relate philosophy statements to daily

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asks. Once thisisdone, managing an organization becomes a matter of monitoring key elements to determine how the organization is functioning and making decisions based on elements monitored and other critical factors. An overview of the operational elements of an 15 MBOR process are as follows in the sequence through which it is implemented: 1. Mission Statement -A statement which describes the long run, philosophical nature of the organization. It describes the role of the organization or unit. Mission statements tend to be broad in focus, though specific enough to provide direction. 2. Ke y Result Areas -The areas where management invests time in an effort to perform its mission. It is more specific than a mission statement and usually answers the question, where is it most critical that we obtain results? 3. Indicators -The items which will be monitored to gauge the progress made in a day result area. Indicators may be observations, survey s or some sort of systematic or non-systematic reporting system. 4. Objectives -For every indicator selected, an objective statement is written. An objective is a desired accomplishment or hoped for result. It is a goal expressed in a specific dimension, it is narrower in focus and it has a shorter time frame. As far as

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possible, objectives are expressed in quantitative, measurable, concrete terms, in the form of a written statement of desired results to be achieved within a given time period. 5. Action Plans The step by step tasks to be completed which, when done, will insure the accomplishment of the objective. Action plans specify what will happen, who will do it, the timetable and specify any coordinative asepct required. 16 6. Program Evaluation -This is the productivity measurement element of the process. The evaluation results give the manager the feedback necessary to judge the effectiveness of organization•s progress toward the mission statement. The results are utilized to complete the feedback process.5 There are a number of key ingredients required for a successful MBOR implementation effort. The first is simplicity. There is no need to write volumes of material to cover every facet of the organization. What is important is that critical aspects of the organization be investigated and have objectives written around them. A common question often asked is: How many objectives should be written? The issue is not the volume of objectives, but their importance to the functioning of the organization. If an organization is implementing a MBOR system for the first time, it is important to write enough

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objectives to cover all major facets of the operation, but not so many that it is overwhelmed with the volume. A second key ingredient is flexibility. It is important to remember that si:tuations change. The first time a MBOR system is being implemented expectations may be too great, or possibly an important aspect of the operation was overlooked. Because of this, changing objectives may be necessary. 17 The final key ingredient relevant to implementation of MBOR is the internalization of the process. it is important for the manager and subordinates to understand the implication of writing objectives. Merely writing objectives is an exercise in planning if there is not any commitment to operationalize the objective statements. r1anagers and employees must accept the responsibility that objectives are statements which they personally intend to carry out and support. The introduction has briefly described managing by objectives and results and described the Boulder County Jail Ag ency. We have attempted to state the importance of describing an MBOR project in a public agency and the importance of discussing the issue of implementing managing by objectives and its results.

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References and Footnotes 1There have been 66 dissertations alone written in the past ten years relating to the concept of Management by Objectives. 2Anthony P. Raia. Managing by Objectives, (Glenview, Illinois: Scott, Foresman and Co., 1974), p. 11. 3 Ibid . , p . 13 . 4rbid., p. 17 . . 5These steps are summarized from Raia's description of the }ffiOR process. 18

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CHAPTER II THE TREND OF CHANGE IN U.S. JAILS Introduction The need for management innovation and effort in jail operations, jail facility design and community involvement in local corrections is derived from a change in corrections. This social change has required a management approach which creates a non-disruptive reorganization of jail operations. The oroblem of dealing with offenders who vio-late social norms of conduct has been an issue for society throughout history. In an attempt to deal with this problem, many correctional philosophies and methods have been suggested and tried. Though these ideologies and techniques differ radically in many ways, they all have had a common factor; they attempt to eradicate or reduce the problem of criminal behavior in society. Through an examination of the historical trend of correctional philosophy we should develop an understanding of the position of jail management today and the direction a jail manager needs to work toward. While jails are not new institutions, the increase in jail problems and jail utilization has paralleled the development of urbanism in the United States.1 At the same time, the focus on problems and change in

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20 corrections has been on prisons while jails have been virtually ignored. One of the reasons for this focus is that jails are usually operated by county governments while prisons are the responsibility of state govern-rnents. The lack of change in jails is emphasized by the similarity in the following quotes by persons inspecting jails at different times in history. In 1977 John Howard, after a thorough examination of jails and prisons stated: there are few places in which any work is done or can be done. The prisoners have neither tools, nor materials, but their time idling ..... The famed complaint, want of food, is to be found ..... one may judg e of the probability there is against health and life of prisoners, crowded into close rooms and cells fourteen or sixteen hours a day. Prisoners confined in this manner are generally unhealthy. Some jails have no sewers and the halls they have, if not attended, are offensive beyond depression. In 1923, Joseph Fishman stated his view of American jails: An unbelievably filthy institution in which are confined men and women serving sentence for misdemeanors and crimes, and men and v1omen not under sentence who are simply awaiting trial. With few exceptions there is no segregation of unconvicted from convicted . . It supports in complete idleness countless thousands of ablebodied men and women, and generally affords ample time and opportunity to assure inmates a compljte course in every kind of viciousness and crime. In 1971, U .S. District Judge Garrett Eisele, after a jail inspection stated: When the court first inspected the jail, it carne away with the impressons that the cells and halls were dark, dirty , very unsanitary,

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poorly ventilated, over crowded, smelly a2d overall, unhealthy and depressing places. Although jails have had an unchanging and dis-respectful background, they have evolved through a pro-cess which has resulted in the present necessity for institutional change. includes an era of public humiliation and torture, an era of restraint or confinement,a time of individual behavior change or rehabilitation and a period of reintegration into the community. Finally, through an emphasis on posi-tive human management in institutions, there has been an intervention by the judiciary creating a radical change in jails. This judicial intervention has 21 emphasized jail operations which keep offenders and sus-pected offenders in safe, secure and humane environ-ments. The following sections of this chapter are dis-cussions of the historical correctional trends which createdthepurpose for changing the Boulder County Corrections jail operation. The Pre-Incarceration Era -The 16oo•s While incarceration of the offender in an insti-tution is a popular method of sanctioning lawbreakers today, this has not always been the case. Widescale removal of offenders from society by imprisonment is, historically speaking, a rather recent phenomena. Prior

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to incarceration, several other methods of punishing. lawbreakers were used. In general, these methods can be divided into three main categories: those designed to publicly humiliate the offender, those involving the infliction of pain and sometimes maiming the deviant, and various forms of execution. Public humiliation of the offender was often directed against persons who committed petty offenses, and was designed to accomplish two objectives. First, 22 it sought to embarrass the lawbreaker so the offense would not be committed again. Secondly, because the humiliation was carried out in a public forum, the public was allowed to witness how those who violate the law would be treated. In some instances, the public was invited to join in and participate in the punishment of the lawbreaker. For example, a popular form of public humiliation Colonies of the 17th Century was the use of the stocks. This involved having a person's legs locked in a wooden frame while he was seated on a bench in the town square. In some jurisdictions, stale eggs were provided for the public to throw at the hapless offender. In others, members of the town were encouraged to jeer and insult the person immobilized in the stocks. Other methods of public humiliation included making offenders wear scarlet letters whenever in public that indicated the nature of the offense committed, i.e. , "D" for drunkard, ''A" for adultery, etc.

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23 The ducking stool involved securing the offender to a seat attached to a pole that could be swung over a body of water and then submerging the person in the water. This method was a popular way of punishing scolding women in Colonial America. The pillory was similar to the stocks except that instead of a person's legs being secured, the head and arms were locked into a wooden frame while the person was standing up. The pillory, like the stocks, was often located in the public s quare of the town, and members of the community were encouraged to participate in punishing the offender. A particularly cruel variation of the punishment involved nailing the offender's ears to the sides of the pillory. Other methods of public humiliation involved parading the offender through town on a rail or For example, a baker who sold short weight loaves of bread might be paraded through the village with his light loaves tied around his neck while members of the town shouted insults at him. The infliction of pain is another method of sanctioning offenders that has appeared throughout history, and is commonly used today in some countries. The punishment was often carried out in a public forum, and again, allowed the public to witness the consequences of illegal behavior. Whipping offenders while tied to posts or carts drawn through town while the punishment was administered was a commonly used method of

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this technique. Another method was the branding or maiming of offenders. Branding was a more severe evolvement of the scarlet letter humiliation, because 24 in this variation, the letter was burned into the offender. Maiming the offender was sometimes done with the intent of having some correspondence between the punishment and the offense. For example, swearing in Colonial America was sometimes punished by burning the tongue with a red hot poker. There have been many forms of capital punishment throughout history. Methods of execution have included hurling the offender from a high cliff; burning at the stake; drawing and quartering which involved drawing the offender through town by horses, and then tying the guilty party to the animals and having them pull him apart; beheading by means of ax, sword, or guillotine; hanging; drowning; and many others. A. common historical element of execution which linked it with other histor-ical means of punishment was that it often was conducted in a public forum where the public was allowed, and often encouraged, to attend in order to witness the consequences of violating the law.5 What these historical correctional techniques of humiliation, infliction of pain, and execution have in common is that they usually did not attemnt to isolate the offender from the community, or make the sanctioning procedures used to punish offenders a mystery to the

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25 community. Instead, the punishments were administered in a public forum where members of the community were able to attend and participate. Incarceration-The 1800's Incarceration was not used as a primary means of sanctioning offedners in until the early 19th Century. Prior to that time, jails were located in many colonial towns, but their functions were limited. These early forerunners of modern jails detained persons awaiting trial or sentencing, or in some instances housed people unable to pay debts; but in general were not used as one of the main methods to either punish or t . b h . 6 correc m1s e av1or. These early American jails were generally in poor condition with no segregation of offenders according to age, sex or charged offense. A fee was sometimes charged to the prisoner or his family to cover the costs of his incarceration.7 As ideas about the causation of crime began to change in the early 19th Century and include notions that a person's upbringing or social environment might influence a person to obey or break the law, the utilization of incarceration as a means to sanction or correct criminal behavior became more prevalent in America.8 Two rival penal philosophies and systems of incar-ceration began to evolve in early 19th Century America. One of these systems was the congregate or Auburn system

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26 of imprisonment which was established at the Auburn state prison in New York between 1819 and 1823. Under this method of incarceration, prisoners labored together during the day, but were confined in separate sleeping cells at night. Inmates were forbidden to con-verse or communicate in any way with other inmates. Prisoners were not allowed to look at other inmates face to face, because such visual contact might lead to other forms of communication. This resulted in the in-mates being required to walk around the institution with their eyes continually downcast. Violation of these rules of silence could result in punishment by whipping.9 Work in this system was considered therapeutic because it kept the inmate from engaging in less socially desirable activities and taught him the value and satisfaction of hard work. The practice of having inmates work also helped the state defer the cost of the prinsoners' f . t 10 con 1nemen . The other system of incarceration was the Pennsyl-vania system, which drew its name from the Pennsylvania Quakers who originated it in Philadelphia's Walnut Street Jail. The philosophy of this system of imprison-ment was based on the belief that individuals broke the law because of evil influences rampant in the society. The way to reform the offender was to completely separate him from these corrupting influences and temptations. An ideal place for this separation was the prison. In the

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27 Pennsylvania System, the prisoner was totally isolated not only from society, but also from the remainder of the inmate population for his or her entire period of con-finement. Inmates were only allowed to talk to insti-tutional staff and carefully selected visitors who would aid in the rehabilitation o f the offender. In such iso-lation, the criminal could also begin to reform himself. The total solitude would allow the prisoner to reflect th f h . 11 h . t. . on e error o 1s ways. T e 1ns 1tut1on was appro-priately called a penitentiary because in it the inmate could do penance for his crimes. After what was deemed a suitable period of isolation and solitude, the prison-er was gradually allowed small bits of handicraft work and a Bible to read. It was believed from reading the Bible and simple work, rehabilitation of the offender would value "simple faith, diligent toil, and moderate habits."12 It was further believed that only in com plete solitude apart from the corrupting influences of outside society, could such rehabilitation take place. For economic reasons, the majority of prisons in America were patterned after the Auburn system where prisoners were put to work on a large scale in a congre-gate system and the fruits of their labor helped defer h f . . . h . . t. 13 t e costs o ma1nta1n1ng t e 1nst1tu 10n. In spite of the differences in their programs, the Auburn and Pennsyl-vania penitentiary systems had much in common. Both stressed isolation of the offender from the corrupting

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28 influences of the world outside the penitentiary, prevention of communication with other inmates which was felt could lead to the exchange of antisocial attitudes inside the prison walls, and a disciplined routine designed to provide the inmate with a socially constructive activity. It was believed that while society's corrupting influences had led the offender into crime, the rehabilitative environment of the institution could lead him out of it.14 This correctional ideology in which the offender is separated from society and its evil influences not only in order to punish him, but also to correct his behavior, is distinctly different from the rationale behind the treatment of offenders in the pre-incarceration era. The criminal was not isolated from society, with a few notable exceptions such as banishment, but rather was integrated immediately back into the community afterthepunishment such as whipping, stocks, or ducking stool was administered. The com-munity was an integral part of the sanctioning process in the era prior to incarceration. When incarceration became the accepted mode of sanctioning lawbreakers, not only was the offender isolated from society, but the element of community involvement with the offender and the sanctioning process became almost non-existent.

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29 The Medical Model -The 1950's Corrections in the United States made a radical turn during the 1950's as a result of the mental health movement. During this era the newly created National Institute of Mental Health proposed the goal of attempting to cure the mentally ill. American Institutions, especially prisons and jails, became targets of mental health workers for the p urpose of rehabilitating offenders. At the close of World War II, mental health agencies changed the warehousing philosophy of mental institutions. The stereotype of the mental institution before this period was one of custodial "snake pit"; prisons and jails have had the same stereotype. The change instigated through the advent of the "medical model" was to rehabilitate individuals and reverse the purely custodial role of institutions. Robert Felix summarizes this change by In the late 1940's, thegreatest nightmare of the mental hospital superintendent was the year by year increase in the number of patients resident in public mental hospitals. Each year, more beds were crowded into corridors. Each year, already overburdened facilities were called upon to care for more and more patients. This situation is now changing. In 1948, 323 out of every 100,000 persons in the United States were patients resident in a public mental hospital. By 1960, this rate had decreased until only 305 out of every 100,000 were resident in such hospitals. 5 The practice of changing individual behavior or rehabilitating individuals became the philosophy of

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institutional managers during this era. Professors of sociology, social work, criminology and corrections communicated the virtues of the medical model with little testing of the validity of rehabilitative suc-16 cess. MacNamara defines the medical model by stating; In its simplest (perhaps oversimplified) terms, the medical model as applied to corrections assumed the offender to be 'sick' (physically, mentally, and/or socially); his offense to be a manifestation or symptom of his illness, a cry for help. Obviously, then, early and accurate diagnosis, followed by prompt and effective therapeutic intervention, assured an affirmative prognosis -rehabilitation.!? The underlying philosophy was that the offender was sick and needed to be "fixed" and the fixers were the medical and mental health practitioners. This meant that offenders were generally not responsible for their crimes and when they were changed they would no longer commit crimes. The result of this philo-sophy on ocrrections "Ylas an increase of indeterminant sentences, an influx of psychiatrists, psychologists and correctional counselors into institutions and the advent of the therapeutic community.18 The indeterrninant sentence was a sentence with no maximum time or a broad range between minimum and maximum sentence limits. The purpose for this approach was to allow the correctional worker to determine when the offender was rehabilitated and ready for release from incarceration. The effect of the indeterminant 30

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31 sentence was to place the decision making power of inmate release in the hands of the correctional worker or administrator instead of in the purview of the jud-iciary. The influx of psychologists, psychiatrists and correctional counselors into institutions was two-fold; first, institutions established treatment and custodial sections. These units became opposing in nature and much organizational conflict resulted; second, guards became correctional officers responsible for custody and treat-ment of offenders. This aspect created role conflict for institution workers and, as a result, additional organizational conflict. Although inevitable conflict was created by the treatment-custody dichotomy, an additional avenue of career development was opened for institution workers. While the medical model still exists in prisons and jails and it has been continued through the advent of community corrections, this era depreciated with the resurgence of the philosophy that criminals are respon-sible for their behavior and that rehabilitative efforts have no confirmed evidence of success. MacNamara emphasized this point by stating; The new penologists posit a basic conflict between a medical model maintaining that crime is the product of individual defects and disorders that can be corrected in a program of medical, psychiatric, and social rehabilitation and a readjusted or reformed offender returned to his rightful place in society versus a criminal

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32 justice model based on the more classic doctrine of the free moral agent and of individual responsibility for one's criminal behavior.l9 The medical model in corrections had a significant effect on jail operations. The purely custodial role of jails was impregnated for the first time, opening the jail doors to outside treatment people and opening differing aspects of the jail officer: ' s . role. \-Jhile dra-matic changes were not made in jail operations during this period the stage had been set to continue the erosion of the "warehousing" philosophy of these insti-tutions. Community Corrections -The 19 6 0 • s During the 1960's the concept of community cor-rections came into vogue. This movement paralleled the community mental health approach recognizing that insti-tutionalized persons, especially jailed offenders, do not remain locked away but someday return to society. Reintegration was the correctional policy stressed in many institutions during t n i s-time. Work release pro-grams were instituted to allow the offender to maintain vocational ties with the community during their period of incarceration and half-way houses were utilized to facilitate the re-entrance of the offender into society . The place of jails became more prominent in the field of corrections because of the location of jail facilities

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inside the community and the short sentences of in-mates. Offenders were sentenced to jails with more regularity as the jail's location minimized physical isolation of offenders from the community facilitating the reintegration process. Correctional administrators focused on jails as bridges to the community because of the jail's position and role in the system, subsequently the jail became an integral part of corrections. As a result, jails began to develop a broad range of programs and services for inmates and administrators emphasized alternatives to incarceration as viable reintegration tactics. A rationale for this correctional approach was summarized by Leslie Wilkins;20 33 1. Humanitarian systems of treatment (e.g. probation) are no less effective in reducing the probability of recidivism than severe forms of punishment. 2. Honey (if not souls) can be saved b y revised treatment systems. The cheaper systems are more often than not also more humanitarian. 3. Much money is wasted in many countries by the provision of unnecessary security precautions. While the resistance against increased incarcer-ation and the support of reintegration was supported by monetary considerations the most effective support for community corrections came from the attack on institutionalization as a method of corrections.

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Morris and Hawkins 21 supported this approach by stating; it is true that there are always likely to be offenders who because of the nature of their offenses (e.g., gross cruelty, violence, or sexual molestation) will have to be imprisioned if only because the community would not accept their release. And in some cases involving multiple offenses or serious persistent recidivism institutionalization may offer the only effective protection for society. But as the President's Crime Commission reported, 'for the large bulk of offenders . • institutional commitments can cause more problems than they solve.' Our edict dealing with the development of community treatment programs also reflects our judgement that, in regard to the general deterrance question, it is better in the present state of knowledge for the penal system to concentrate on the task of making the community safer by preventing the actual offenders return to crime upon his release than to pursue the problematic preclusion of offenses b y others. Indicative of the community corrections period was the growth of alternatives to incarceration. Examples of alternatives were increased, liberal release, bonding programs, intensive intervention programs (intensive probation), non-residential (day-care) treatment programs, half-way house and work release programs and restitution, oriented community service work programs. The emphasis was on the avoidance of incarceration because highly structured institutions 34 had a negative effect on individuals and they were costly . The jail evolved as a community correctional center because it was the only community based institution in the criminal justice system. Community treatment of

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offenders to properly instigate reintegration entered into regular jail operations effecting the traditional role of the jail and its administrators. The jail operation was altered to include the following community corrections based influences; 1. Work release assigned inmates were allowed to leave the jail during working hours-to perform jobs and receive regular wages. Jail officers were faced with processing and guarding "parttime" inmates. 2. Pre-release interviewers were added to jail staff for the purpose of interviewing new arrestees to determine their potential for bonding release and diversionary prerelease programs. 35 3. Community program staff entered the jail to conduct programs for inmates which would link them with similar treatment programs in the community. Jail administrators were faced with the issues of accomodating treatment staff from alcohol programs, drug programs, educational programs and mental health programs. 4. Volunteers from the community entered the jail to assist inmates in normalizing their living conditions for the purpose of neutralizing the effects of the jail.

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36 While many jails resisted this movement the jail as an element of the criminal justice system became increasingly important and became more visable to outsiders. Not only did correctional people look at jails as correctional institutions but also as a responsibility of the local community. Judicial Intervention-The 1970's Until this period of judicial intervention the courts in the United States had not become involved in the issues of jails and prisons. The courts' "hands off" policy (a term coined by the Federal Bureau of Prisons) concerning grievances of inmates was supported for the following reasons;22 1. Courts believed that involvement would jeopardize the separation of powers balance and that jails and prisons were the responsibility of the executive branch of govern-ment. 2. The court lacked expertise in penology and correctional administrators were experts in the business of institutions. 3. Judicial interventionwoulo subvert and undermine the authority of prison and jail offi-cials. 4. Federal courts believed that jails and prisons were not in their purview; that local

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37 institutions were in the jurisdiction of local courts. 5. The judiciary reported that incarceration caused a loss of individual rights for offenders. In 1967 the hands off policy weakened, especially in relation to jails when a federal judge stated in 23 Wright v. McMann; The matter of the internal management of prisons or correctional institutions is vested in and rests with the heads of those institutions .. and their acts and administration of prison discipline and overall operation of the institution are not subject to court supervision or control, absent most unusual circumstances or absent a violation-of a constitutional Following this lead the courts were faced with the issues of the cruel and unusual punishment issues of the eighth amendment. This area produced decisions against jail practices based on the standard that the eighth "amendment must draw its meaning from the evolving standards of decency that mark the progress of a maturing society."24 In 19 79 the court found that the living conditions of the Arkansas State prison to be cruel and unusual punishment stating; In the courts estimation confinement itself within a given institution may amount to a cruel and unusual punishment prohibited by the Constitution where the confinement is characterized by conditions and practices so bad as to be shocking to the conscience of reasonably civilized people even though a particular inmate may never personally be subject to any disciplinary action.25

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An important issue which strongly effected jails 26 was opened when the courts, in Hamilton v. Love, sup-ported claims by the inmates of the Arkansas' Pulaski County Jail. The court stated that the conditions for pre-trial detention must not only be equal to, but superior to, those for sentenced offenders and that the fourteenth amendment protects rights of the pre-trial detainee. Federal, State and U.S. Supreme Court decisions based on the eighth and fourteenth amendments followed 38 effecting jail operations and facility design. The "hands-off era" ended with an onslaught of cases requiring change in jails. A portion of significant cases are as follows: In 1976, the U.S. Supreme Court stated that "deliberate indifference" by prison officials to serious medical needs of inmates constituted cruel and unusual punishment barred by the Constitution of the United States.27 In 1976, a u.s. District Court stated that due process means that pre-trial detainees cannot be subjected to hardships other than those which are necessary for h . f. 28 t elr con lnement. Also in 1976, an appelate court stated that overcrowding in penal institutions consti-tuted an unconstitutional deprivation of due process of law. This principle was also applied to pre-trial detainees.30 The various courts continued the major change for jails by requiring jail administrators to recognize the

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39 following areas as inmate rights; access to courts, access to counsel, liberal mail policies, access to law libraries, religious freedom, inmate grievance procedures, improved jail conditions, availability of jail programs, education programs, recreation facilities, proper classification, liberal visiting procedures, use of telephones, due process in internal discipline, proper officer staffing patterns and correct nutritional food service.31 The era of judicial intervention produced a new philosophy for jail operation. The modern constitutional jail became a safe, secure and humane institution holding pre-trial detainees and sentenced offenders in environments designed to return them to society no worse off than when they entered. The changes in jails over the years have resulted in requirements for jail administrators which combine aspects of the different correctional trends. Previous to the 1970's jail managers could choose to ignore the attempts of correctional theorists to influence incarcerated persons, but as a result of the intervention of courts, jail managers and other county and state officials have become personally liable the results of jail operations and jail design. Jail managers now face a demand for organizational change which combines rehabilitation efforts, community correction coordination and incarceration in a safe, secure and humane manner. These correctional philosophies

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40 require dramatic changes in traditional management techniques. The management by objective and results project conducted by the Boulder County Corrections agency is a demonstration project attempting to create the organizational change necessary to meet these requirements.

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References and Footnotes 1M. M. Moynahan, "The American Jail: Its Origin and Development", The American Society of Criminology, Atlanta, Georgia, November 16-20, 1979, p. 3. 2 John Howard, State of Prisons in England and Wales 1777, pp. 7-24. 41 3Joseph F. Fishman, Crucibles of Crime: The Shocking Story of the American Jail, (New York: Cosmopolis Press, 1923), pp. 13-14. 4Paul F. Cromwell, Jr. "Jails: 200 Years of Progress" in Jails and Justice, Paul F. Cromv7ell, Jr., Ed. (Springfield, Illinois: Charles C. Thomas, 1975), p. 20. 5For additional information on early forms of punishment of offenders see, Walker, Peter, Punishment, An Illustrated History, (New York: Arco Publishing Company, Inc.) ,1973. and Earle, Alice Horse. Curious Punishments of Bygone Days. (Chicago: Herbert S. Stone and Company), 1896. 6David Rothman, The Discovery of the Asylum. (Boston: Little, Brown and Company, 1971), p. 53. 7 J. M. Moynahan, "The American Jail: Its Origin and Development" p. 10. 8 Rothman , p . 7 6 . 9 Moynahan, p. 13. 10Attica: The Official Report of the New York State Special Commission on Attica. (New York: Bantam Books, Inc., 1979), p. 8. 11 82. Rothman, p. 12 tt' A 1ca, p. 7. 13 . 8 . Att1ca, p. 14 Rothman, pp. 82-83. 15This quote and other information was taken from the foreward by Robert H. Felix in r1orton M. Hunt, Mental Hospital (New York: Pyramid Books, 1962), pp. 6,7.

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16 Donald E. J. MacNamara, "The Medical Model in Corrections", Criminology Vol. 14, No. 4, Feb. 1977, pp. <13 9-4 4 8 . 17Ibid, pp. 439-440. 42 18Action for Mental Health, Joint Commission on Mental Illness and Health (Washington, D.C.: U.S. Government Printing Office, 1961). 19 MacNamara, p. 446. 20 E. Harlow, R. Weber and L. T. Wilkins, Crime and Delinquency Topics: A Monograph Series, National Institute of Mental Health Center for Studies of Crime and Delinquency, (Washington D.C.: Government Printing Office, 1971), pp. 137. 21Norval and Gordon Hawkins, "Rehabilitation: Rhetoric and Reality", Federal Probation Vol. XXXIV, No. 4, Dec. 1970, pp. 9-17. 22Richard G. Singer, "The Evolution of Judicial Involvement" in Jails and Justice, Paul F. Cromwell, Jr. Editor (Springf1eld, Ill: 1975, Charles C. Thomas, Publisher), pp. 237-238. 23wright v. McCann, 387 F.2d 519,522 (2d Cir. 1967.). 24 Trop v. Dulles, 357 U.s. 86, 100-01 (1958). 25Holt v. Sarver, 309 F. Supp. 362, 381 (E.D. Ark 1 9 7 0 ) , a f f ' d , 4 4 2 F . 2 d 3 0 4 ( 8 th C i r . 19 71 ) . 26Hamilton v. Love, 328 F . Supp. 1182 (E.D. Ark. 1971) . 27 Estelle v. Gamble, u.s., 50 L.Ed. 2d251, S. Ct. (1976). 28 Moore v. Janing, D. Neb. Dec. 29, 1976 (Civil No. 72-0-223). 29Ambrose v. Malcolm 414 F Supp. 485, 487 S.D. N.Y. 1976). 30valvano v. Malcolm 520 F. 2d 392 (2nd Cir. 1975). 31The High Cost of Building Unconstitutional Jails, National Clearinghouse for Criminal Justice Planning and Architecture, University of Illinois at Urbana-Champaign, Urbana, Ill., 1977.

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CHAPTER III MANAGEMENT BY OBJECTIVES: A CONCEPTUAL OVERVIEW The Evolution of MBOR Management by objectives and results is a process which thoroughly analyzes organizational goals and pro-cesses to achieve goals, and creates change through the evaluation and feedback of that functioning. This process, in different forms of technique and development, has been successfully used by managers in some organizations. The development of this management tool has progressed through an evolutionary process, starting with emphasis on goal setting and progressing to present day emphasis on total integration of key management processes. 1 Peter Drucker , in his discussion on business realities, established the value and importance of creating an organizational climate an-:l process which analyzes the organization in a wholistic manner. Drucker states, Today's job takes all the executive's time, as a rule; yet it is seldom done well. Few managers are greatly impressed with their own performance in the immediate tasks. They feel themselves caught in a "rat race", and managed by whatever the rnailboy dumps into their "in" tray. They know that crash programs which attempt to "solve" this or that particular "urgent" problem rarely achieve right and lasting results. And yet, they rush from one crash program to the next. Worse still, they know that the same problems recur again and again, no matter how man y times they are solved.

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44 Drucker has identified the major work trap of most managers and at the same time highlighted the need for a management tool which establishes an organized evaluation process. To break from the crisis controlled management style is a significant accomplishment of any manager. Drucker emphasized that solving problems not only restores equalibrium but that effective results are derived from the exploration and evaluation of oppor-tunities. This involves an examination of the oppor-tunities or activities or effects of the organization; its direction and its purpose. In total, this process, as defined in the conception of MBOR, established the need for a systematic process. Drucker2 emphasizes this concept by stating in his chapter on key decisions; The only positive test is the test of experience. The idea of the business sums up the answers to the questions which are asked repeatedly What is our business? -What should it be? -What will it have to be? It establishes objectives, it sets goals and direction. It determines what results are meaningful and what measurements truly are appropriate. Drucker established the basic foundation for managing by objectives and results and his ideas evolved through distinctive application phases. During the early stages of its application, organizations emphasized performance appraisal as their primary interest in util-ization of this management tool. The emphasis was on

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45 developing objective criteria and standards of performance for individuals in a given job. Because it is a logical and relatively easy way to begin the MBOR process, per-formance appraisal still provides the basis for the intro-duction to many MBO programs and its relationship to productivity development. Edward Schleh, an early developer of the MBOR process, emphasized performance appraisal approa8h by stating; Even though there has been a general statement of the results that normally be expected of a position, the definition process has not gone far enough unless specific objectives have been well set for all management people in the enterprise. Objectives should be set for personnel all the way down to each foreman and salesman and in addition to staff people such as accountants, industrial engineers, chemists, etc. It is only then that the individual becomes personally and positively involved in the success of the enterprise. He has his definite part to play.3 Schleh emphasized thisapproach because he viewed it as the method to not only set and state objectives and the organization's purpose, but also to delegate the respon-sibility of performing the duties necessary for comple-tion of the objectives down to the individuals actually performing the tasks. This basic managerial principle now has additional meaning when incorporated as part of the management organizing tool. Schleh recognized the integrative properties of the objective setting and delegation process by report-ing the importance of coordinating efforts.

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Management objectives state the specific accomplishment expected of each individual in a specific period of time so that the work of the whole managementgroupis soundly blended 46 at a particular moment of time. Each one has a known accomplishment to make leading to the overall accomplishment expected of the enterprise in that period. To the extent that this is well done, each man knows exactly what is expected of him. To the extent that it is poorly done, delegation is weak, leading inevitably to weak operation, to weak accomplishment, and to a division of interest between the enterprise and the men, no matter what the level.4 As the MBO concept expanded during the 1960's, programs underwent another change. The broader view of emphasizing the incorporation of the MBO process into the organization's planning and control processes was estab-lished. George Morrisey5 , in his text for practitioners, incorporates the MBOR process into the management function of programming, scheduling, budgeting, con-trolling and performance appraisal. In his application of the management process he successfully summarizes this period of MBOR thinking by establishing the follow-ing organization of functions and activities which he 6 labels as the businesss of management work; Function I. Planning. Determining what work must be done. 1. Defining roles and missions. Determining the nature and scope of work to be performed. 2. Forecasting. Estimating the future. 3. Setting objectives. Determining results to be achieved. 4. Programming. a plan of action to follow in reaching objectives.

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5. Scheduling. Establishing time requirements for objectives and programs. 6. Budgeting. Determining and assigning the resources required to reach objectives. 7. Policy-making. Establishing rules, regulations, or predetermined decisions. 8. Establishing procedures. Determining consistent and systematic methods of handling work. Function II. Organizing. Classifying and dividing the work into manageable units. 9. Structuring. Grouping the work for effective and efficient production. 47 10. Integrating. Establishing conditions for effective teamwork among organizational units. Function III. Staffing. Determining the requirements for and ensuring the availability of personnel to perform the work. 11. Determing personnel needs. Analyzing the work for personnel capabilities required. 12. Selecting persoonel. Identifying and appointing people to organizational positions. 13. Developing personnel. Providing opportunities for people to increase their capabilities in line with organizational needs. Function IV. Directing (leading). Bringing about the human activity required to accomplish objectives. 14. Assigning. Charging individual employees with job responsibilities or specific tasks to be performed. 15. Motivating. Influencing people to perform in a desired manner. 16. Communicating. Achieving effective flow of ideas and information in all desired directions. 17. Coordinating. Achieving harmony of group effort toward the accomplishment of individual and group objectives. Function v. Controlling. Assuring the effective accomplishment of objectives. 18. Establishing standards. Devising a gauge of successful performance in achieving objectives.

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19. Measuring performance. Assessing actual versus planned performance. 20. Taking corrective action. Bringing about performance improvement toward objectives. This outline of the management function is significant as it thoroughly establishes the. process as a legitimate and necessary process for all management. Morrissey is also credited with clearly establishing performance measurement and evaluation as a salient element of managing by objectives and results. The present stage of the evolution of MBOR is defined as the integrative management s ystem stage. This stage emphasizes the integration of key management processes and activities in a logical and 48 consistent manner. These processes and activities include the development of organizational planning, problem solving and decision-making, performance appraisal, compensation, manpower development and planning and man-agement training and development. Odiorne7 summarizes the integrative approach by stating; A management system should provide a framework for picturing the major factors in the situation as an integrated whole. It should simplify the complex rather than complicate the simple. It should also allow for some subsystems. At its best, a management system should incorporate both inputs and outputs, impute the risks of business to individual managers and be considered as an almost self-contained whole. This doesn't exclude it from being part of a larger system, however, including the value system.

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49 While managing by objectives has many definitions and has been redefined by many authors,8 it is now apparent that this process may be all inclusive in management work and as many authors state, it may be necessary to make the process a totally integrative one in the management system. MBOR and Productivity Traditionally, private business has searched for management techniques that would increase productivity and, as a result, the organization's profits. Public agencies have followed, often reluctantly, the lead of private industry and attempted to equate public service with business profits. While this appears difficult public agencies, through a process such as MBOR, are attempting to, not only measure productivity, but to also increase productivity. MBOR in government has developed as a viable management approach from the integrative aspects of program performance budgeting systems (PPB) which are now declining in popularity. The demand on public agencies to be increasingly accountable for their expenditures has led to the search for management techniques which will facilitate the agency's ability to evaluate its performance. The resulting process is similar to PPB in that agencies formulate goals and

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50 and objectives, develop action plans for their accom-plishment and provide measures for evaluation of stated goals. An examination of productivity issues in public affairs is necessary to properly understand this systemic process of goal setting and results measurement. Productivity of public agencies is complex and the fol-lowing questions, definitions and explanations are an attempt to clarify this basic issue. The following questions must be asked; What is productivity? Why is there a lack of comprehens.tve proqram eval-uation? What are the basic steps in conducting program evaluation? What is tHe purpose of using .HBOR as a productivity technique? The Bureau of the Budget Study in 1964 defined productivity ... as "estimates compare the amount of resources used with the volume of products of services produced."9 Jerome Mark expanded that definition by stating; Sepcifically, productivity is an expression of the physical or real volume of goods and services related to the physical or real quantities of imputs. Changes in productivity are measured by relating changes in the real volume of goods and services produced to changes in the quantities of input associated c .with that production.lO While our discussion has been focused on the relationship between nroduction outputs and resource inputs, it would be a mistake to limit productivity to this simple comparison. Hatry expands the

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definition by stating; Productivity should not be estimated in such a way as to ignore the quality of the product or service, particularly in relation to the effects or impacts on the citizens and the community ... productivity estimates based on a narrow definition of output to mean solely 51 the immediate products such as 'tons of garbage collected or gallons of sewage treated' can be uninformative and even grossly misleading. Measurements of such immediate products are needed but by themselves are not sufficient to provide a fully meaningful perspective on productivity.ll Hatry separates the service delivery issue into three distinct categories; (1) workload measures, (2) quality factors and (3) resulting conditions fac-tors. This action establishes the basis for formulating the MBOR process. The basic definition of productivity now considers outputs in relation to inputs and measures the quality and quantity of that output and its effect on the community being served . Productivity h a s become a larger issue as re-sources become increasingly scarce. To further compli-cate this issue Hatry reports, "Productivity measurement itself adds costs, ultimatelyproductivity measurement has to be justified as helping to lead to improved productivity."12 To justify the expenditure of program evaluation the following potential accomplishments need to be . d 13 exam1ne : 1. Determine progress toward targets or goals. 2. Determine what are problems and what areas

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need improvrnent and to provide benchmarks from which progress in making improvements can be evaluated. 3. Productivity data can be a major source of data for budget estimate of future re-source requirements. 4. By estimating targets, employee incentive plans are easier to formulate and measure which may easily become a part of produc-tivity bargaining. 5. Performance contracting is easier to for-mulate and control or even to provide performance incentives such as specified bonuses for attaining higher quality levels. 6. Measurements and target setting may, if utilized properly , improve citizen feed-back for government decision making. Hatry summarizes; Local qovernments should have a considerable interest in productivity measurement as a means to encouraqe efficient management of public resources. Presently, local government offi-icals have little to go on . . a crucial ques-tion is whether local governments would effectively utilize productivity information if collected. Productivity estimates by themselves only help to identify problem areas and issues. Hore analysis improvements need to be made.l4 There is a noticeable lack of comprehensive pro-52 ductivity measurement in the public sector. The reasons are obvious and difficult to solve. First, while

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53 workload measurements are useful and available, measuring quality of service delivery is complex. Second, program evaluation is expensive and time consuming. As previously discussed, as funds and resources become increasingly more scarce the "luxury" of measurement and feedback becomes more difficult to justify. The idea that pro-ductivity measurement will increase effectiveness has not yet been recognized by managers. Third, and related to the previous issue, many managers neither recognize the value of program evaluation nor do they have the know-ledge or skills to recognize that their programs may be properly evaluated. Fourth, program managers and agency heads tend to be defensive about evaluation as they bear results inconsistent with previously stated goals may cause controversy or inhibit growth of the 15 program. The basic steps in conducting productivity measure-ment appear simple and manageable. Weiss has formu-lated necessary steps to follow in conducting successful 1 . 16 program eva ut1on. 1. Find out the program's goals. 2. Translate the goals into measurable indica-tors of goal achievement. 3. Collect data on the indicators for those who participated in the program (and for an equivalent group who did not) .

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4. Compare the data on participants (and controls) with the goal criteria. 54 The issues and models in productivity are difficult enough to deter most public sector managers from attempting a management control project. In summary the MBOR technique must be defined in relation to the following process steps, First, the organization must establish a mission or philosophy which guides its long term and short term goals. Second, functional elements of the organization must be identified to allow for the establishment of differing target areas. Third, measurable indicators must be established which clearly representtheprocess being measured. Fourth, objectives which are necessary to attain the established goals and mission of the organization should be developed utilizing the indicators as guides. Fifth, employee behavior and job performance must be identified, developed and translated for each worker to ensure that the objectives are attained through his or her performance. Sixth, data which reflects workload factors, quality factors and resulting condition factors must be collected to measure the relationship between operational indicators and established objectives. These results are the

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55 productivity and performance of individuals and, subsequently, the organization. Seventh, the results are analyzed so that goals may be readjusted to better guide the organization so corrective action may be taken to increase productivity . Now that productivity has been defined and the stages necessary to attain productivity measurement reported, it is now necessary to identify and discuss the issues of the managing by objectives and results process. The MBOR Process Establishing the organization philosophy or mission statement, from which all goals, objectives, policies and procedures will flow, is the initial step of the MBOR process. Because all activities flow from the organization's stated mission it is imperative that the manager clearly develop and state the nature and 17 scope of the work to be performed. The mission statement leads into the major organization goals which have two purposes. First, are operational goals which must be measurable and, second are strategic goals which may or may not be measureable. Odiorne18 reports that the strategies and operational goal setting process serves to tell the employees what is expected in advance of the job being attempted.

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Operational goals serve to identify measurable criteria to employees and stragegic goals offer gen-56 eral statements of conditions after the operational goals have been reached, recognizing that while all goals have criteria not all goals are measureable. To adequately develop a mission statement, operational goals and strategic goals, Odiorne19 suggests that the following questions be answered to managers; 1. Where is this program now? Statistically, factually and in judgments about strengths and weaknesses? 2. What trends are apparent? If we didn't do anything differently where would we be in five years? 3. What mission statements could be shaped for this program? 4. What would be the financial consequence of each mission? Generally, when goals are set and understood by the subordinate, frustration and anxiety resulting from ambiguity surrounding job expectations may be reduced and higher levels of performance may be achieved.20 Tosi and Carro1121 in their research with managers concerning the value of goal setting summarized that great attention must be given to the philosophy of the organi-zation and the mechanics of goal setting.

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57 managers stated that the MBOR program was successful when the goals represented the organization's most pres-sing needs, when the goals were clearly stated and when supervisors had less difficulty in measuring perfor-mance with some objective criteria, They also saw the goal setting process as the most important link in equat-ing performance with evaluation which gave them valuable feedback previously not easily attainable. After the organizational philosophy is established, the key result areas or target areas need to be identi-fied. This part of the process subdivides the organization into functional and process units which have distinctly separate roles in the attainment of the overall organi-zational philosophy. Drucker22 identifies result areas by stating: The basic business analysis starts with an examination of the business as it is now, the business as it has been bequeathed to us by the decisions, actions, and results of the past. We need to see the hard skeleton, the basic stuff that is the economic structure. We need to see the relationships and interactions of resources and results, of efforts and achievements, of revenues and costs. Specifically, we need to first identify and understand those areas in a business for which results can be measured. Such result areas are the businesses within the larger business complex; products and product lines (or services); markets (including customers and end-users; and distributive channels. Result areas should be definitive enough so that, while the areas still relate to the broad philosophy

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58 statement and strategic and operational goal planning, easily measureable indicators of performance may be identified for each area. The result areas must be separate and important parts of the organization function-ing. The next stage of theprocess is to identify the performance indicators which will, if summarized, estab-lish the level or degree which a key result area is producing. Members of the organization must at this point be selective in establishing the criteria which best reflects how the functional unit or process, if success-ful, will contribute to reaching the stated philosophy and general goals. Odiorne23 states that "developing indicators to be watched is a means to improving output . the indicators themselves should be changed if needed and no manager should have more than a dozen key indicators to be watching . . it is important to answer the question "are we doing the right things" prior to answering the more explicit questions of measurement, and 'doing this right' . any operational indi-cators should be related to some kind of important output and should contain some element of time (such as park visitors per month). Morrisey24 explains specifically how to develop indicators; On the basis of your own roles and missions and the factors which you have forecast, indentify they types of effort or specific improvements you wish to place in objective form . . determine a means of measurement (units, percentages, costs, milestones, etc.) that will serve as an acceptable indicator of satisfactory performance against each objective . . determine realistic and achievable (measureable) targets for each objective during the forecast time period.

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59 While Morrisey discusses establishing objectives, the salient point is that the indicator identification process is important since the objectives are direct results of those indicators. The integrating aspect of the MBOR process and the importance of clear indicators is exemplified by Drucker's case report on a large company; Sears, Roebuck and Company defined its mission in the '20s as being the "buyer for the American family." This is totally intangible. But the objectives which Sears then set to accomplish this mission (e.g. to develop a range of appliances that most nearly satisfy the largest number of homeowners at the most economical price) vas an operational objective from which clear and measurable goals with respect to product line, service, assortment, price, and market penetration, could be derived. This in turn made possible both the allocation of efforts and the measurement of performance.25 Indicators must link the result target areas with the next stage of setting the actual objectives. If indicators are not clear and are not measurable then ob-jectives will not be clear or measurable. Because indicators are the actual performance results which "get the job done" it is also imperative that participation b y employees be encouraoed and developed at this stage for it is these people who best know the performance necessary to successfully complete tasks. Objectives are set to attain goals by turning indicators into specific objective statements. Drucker defines objectives stating that "the purpose of an objective is to make possible the organization of work

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for its attainment. This means that objectives must be operational: capable of being converted into specific performance, into work and into work assignments."26 During the process in which indicators become objectives, statements of performance results (i.e. 60 number of assaults) become action statements (i.e. keeping a level of no more than ten assaults per year), so that our previous reactive approach to management, of counting assaults at the end of the year, becomes a proactive approach by stating the maximum number of assaults we will allow. Some agencies develop long-range objectives and short-range objectives to comprehensively examine their operation. Odiorne27 explains, "the best MBO programs in government will probably have two sets of objectives, one long-range set stated prior to budgeting or resource movement, and the second or short-range set after the budget is decided." purpose of two sets of goals is to ensure long range planning while organizing the dayto-day functions. Whichever an agency decides, either one set of objectives or two, the objectives absolutely must be clear and measurable. While the objectives need not be precisely quantified, they must include a performance level which guides the employee who is effected. Tosi and Carro1128 , in their study of manager reactions to an MBO project, determined some advantages

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61 of managing by objective setting. The study suggests that objective setting may effect productivity through increased employee motivation (Table I shows the effects of objective setting on employees) . After objectives are established, the tffiOR pro-cess requires that they be translated into expected individual work behaviors. This job description process links the philosophy, result areas, indicators and ob-jectives with the actual work performance and allows for the measurement of agency goals through the results of that performance. The results are given to both the individual worker and the organization and are directly related to work behavior ratherthanarbitrary subjective judgements. The determination of employee performance criteria allows supervisor and subordinate to develop the individual's job description collaboratively . Of course, management is not required to allow employee participation (the value of employee participation will be examined in depth further in this paper) , but to ensure success of the program joint determination is highly recommended. This approach in several cases29 has been labeled the work planning process and involves the employee and his or her supervisor meeting together for mutual planning of the work, reviewing progress and solving problems. This process was established to answer several important ques-t . 30 1ons;

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TABLE I ADVANTAGES OF MANAGEMENT BY OBJECTIVES ADVANTAGE n* % 1. I Know What is Expected of M e 28 58. 6 2. It Forces Planning and S etting Target Dates 20 41.6 3 . It Forces Boss/Subordinate Feedback & Communication 15 31.2 4. Increases Awareness of Company Goals 9 18. 7 5. Documented Goals Relating Evaluation t o Performance 8 16.6 6. Focus on Self-Improvement 7 14.5 7. I Know Where I Stand 6 12. 5 8. Coordinates Activity Toward Com pany Objectives 6 12.5 9 . Subtle Pressure and Motivation to Perform Better 5 10.4 10. Improves Performance if Used 4 8.3 11. Only a General Help 3 6.2 12. No Advantages Mentioned 5 10.4 n=48

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TABL E I (Continued) ADVANTAGES OF BY OBJECTIVES ADVANTAGE n* % * The total responses are more than 48 since a manager may have noted more than one advantage.

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64 a) How do we improve the productivity of employees? b) How do we set up conditions whereby people can be helped to do a better job? c) How can we provide a climate in which our managers can act as helpers to improve work performance? In contrast to the traditional performance eval-uation which requires criticism of employee work behavior (often arbitrarily), the work planning process proposes to positively motivate through the following three . . 1 31 pr1nc1p es; 1 . An employee needs to know what is expected to him or her. Work planning provides the employee with information regarding the results expected, the methods on how to do the job, how the results will be measured, the priorities and the resources available; and the process allows the employee a degree of influence in the planning process. 2. An employee needs to know how he or she is doing. Because learning takes place most effectively when performance is compared with measures, knowledge of results must be precise, specific, immediate and re-levant. Knowledge of results is most effective when the target individual observes the results first hand. By participating in objective setting, performance descrip-tion and review, the individual will be greatly impacted.

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65 3. An employee must be able to obtain assistance when and as needed. When assistance is required the employee must be in an organizational climate which has no penalty for asking for help; which frees the super-visor to give assistance; and v.•hich allows the supervisor to act as helper. H d . b t . 32 use an Kay summar1ze y s at1ng, Work planning and review is a flexible way of establishing and continuing the job cycle necessary to get the work done, integrate the efforts of individuals and different components of the business, and increase individual motivation. It is a method whereby man and manager can mutually estabish the objectives of the job, plan what is to be done, insure that the work is done, and evaluate the results and re-set the goals. This approach fits perfectly into the MBOR process of mutually set performance and periodical review of results by superiors and subordinate. The performance appraisal philosophy is critical to the continuation of the MBOR cycle which proposes continuous goal setting and review. Measurement and evaluation is the stage most often discussed by public administrators but most often ignored in the management process. MBOR requires, if the process is to be on-going and if it is to survive, that a per-formance measurement and feedback must be completed. The need, generally, for evaluation, especially 33 in public service is summarized by Drucker;

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66 the resources of public service institutions are people and the outputs are rarely "things". Therefore, direction toward meaningful results is not inherent in the work or in the process itself. Public service institutions are prone to the deadly disease of "bureaucracy". Public Service institutions, in other words, particularly need objectives and concentration of efforts on goals and results . . management by objectives needs to bring out as a clear result of the thinking and analysis process, how performance can be measured, or at least judged. The methods of measuring or evaluating performance 34 may vary significantly depending on managerial pre-ference but certain elements must be included to satisfy the MBOR process. First, performance results must be measured according to behavior which relates to the per-formance standards established through superior-sub-ordinate work planning. As this planning process relates to the indicators previously established, the evaluation is a comparison of results of indicators with the objec-tives set. The differences are the success or failure of the organization to reach its stated goals. Second, the process must establish the basis for corrective aciton by identifying how and why objectives were not attained. For these reasons, the measurement results must be true indicators of the performance required to reach organizational goals. Corrective action and feedback is the final stage in the MBOR process which continues with adjusted goal setting as a result of the feedback information. The results of measurement and evaluation are the data base

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67 for corrective action and feedback and ultimately readjusted goals. It is imperative that the organization views results as a resource for positive change rather than an excuse for punitive action. Od . 35 1orne states; the idea of measurement is not to punish people for being poor forecasters. The forecast is created to provide vital signs for management to make managerial responses. The corrective action by management should be viewed as a positive action and also as a normal part f th 1 • b 3 6 o e manager s JO • Drucker37 summarizes "organized feedback leading to systematic review and continuous revision of objectives, roles, priorities, and allocation of resources must therefore be built into the administrative process. To enable the administrator to do so is a result and an important result, of management by objectives. If it is not obtained, management by objectives has not been properly applied." Taking corrective action is the final MBOR management function and, assuming that goals were realistic,there are three types of action that can 38 take place. 1. Self correcting action is action taken by the individual workers actually performing the function.

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68 2. Operating action is corrective action taken by a manager or designee not considering ef-forts by employees. 3. Management action is action in which the manager reviews the management process and redevelops the process through continual planning. If it is determined that the goals were unrealistic then the MBOR planning process should readjust through its continuous systemic process. Implementation of MBOR While there are differing methods of completing the MBOR process and there are issues surrounding the process, the most important aspect of MBOR appears to be how the process is implemented. McConkey39 emphasizes; Almost invariably the answer lies in the manner in which the system was implemented and especially in the pre-implementation phase. A study of the implementation methods as related to later success indicates a high degree of correlation in over 300 different MBO programs. The organizations which understood the full import of MBO and took the time and effort required to implement it properly have enjoyed the maximum fruits of the system. Those which devoted only minimal time and effort to implementation have enjoyed success only commensurate with their efforts. The organizations which endeavored to adopt and copy the system out of hand, and overnight, have usually failed. The strongest support for these conclusions is that not one single company studied, which had properly implemented the system in the first instance, has ever

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69 discontinued using it as its primary approach to management. Certainly, these organizations have modified and amended their systems as experience was gained, but the basic MBO system is still intact and being vigorously pursued. The areas of MBO implementation which will be examined, include,pre-implementation training, where in the organization the implementation originates, the extent of employee involvement and participation and the value of reinforcement or follow-up. By looking at these topics an exposure of important issues, sue-cesses and deterrants concerning the overall approach should be identified. Before the implementation process begins, though, there are important questions which the manager must answer to ensure that attempting implementation is worthwhile. Critical questions are:40 1. Do we really understand the full impact of MBO as it would affect our organization? Do we understand how it operates, its strengths, its pitfalls? While HBO receives many criticisms which may not be warranted, there are numerous pitfalls awaiting the manager who does not understand the process and all the issues involved in t:he process or the manager who attempts to implement processes which he or she is not capable of doing. 2. Is it right for our organization-are we willing to devote the time and effort (especially on the part of the chief executive) to make it effective?

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70 k 41 d 42 h . . McCon ey an Lasagna emp as1ze that 1mplement-ing the approach should include a long term commitment of three-to-five years to properly install MBO in an organization. This requires a major commitment on the part of the chief executive officer. 3. Is the organization ready for it? Has it met the prerequisites of proper management atmosphere, organizational clarity , and an effective management information system? This question exposes critical issues. Manage-ment atmosphere relates to the trust/mistrust level in the organization. A mistrusting group of employees will inhibit the progress or even destroy the efforts of the approach. An improperly implemented process will 43 also add to the fear and mistrust of the system. Organizational clarity relates to the clarity of the unit's purpose. Employees and managers who have a good idea of the purpose will more easily establish the process, but if the purpose is unclear, MBO may be more difficult. The management information system serves to give feed-back concerning the progress and organization of the approach. This is a necessary element which reinforces efforts and highlights problem areas. While these elements are necessary to implement a positive and successful program, they may be the initial targets of the approach. The approach will serve to solve these problems b y initiating MBOR to resolve organizational clarity.

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4 . Is this the better timing? Are operations so unstable presently that there would be an excessive number of distractions 71 from the concerted effort which is required? Will sufficient executive and managerial time be available? Would another period be better? Because the process is time-consuming, requires a long term commitment and requires much involvement; it is imperative that the organization be free of other time conflicts. These conflicts may be other organization development programs, serious manage-ment-employee conflicts or shortages of personnel. 5. Why do we want it, what will it do for our organization and how do we do it? Resolving these questions are important and 44 as McConkey suggests; reading the available liter-ature, questioning other executives in comoanies which utilize the process and consult with experienced consultants. The why and how is important to ensure proper commitment to the lengthy process. In addition to these pre-implementation guestions and issues, Morrisey45 suggests that additional ques-tions be answered before the process is initiated: Do I really want to do it? much time will it take? Do I have to completely reorganize my operation? What's the procedure; how do I make it work for me? Do I have to wait for other parts o f the organization before I can start? What if m y boss (or the rest of the organization) doesn't manage this way? How do I

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72 deal with resistance to change on the part of some of my people? How do I get others involved positively who can make or break it? my first step? Obviously, the pre-implementation stage is impor-tant to initiating the MBOR process. There are salient questions to be answered and there needs to be an in-depth organizational analysis, either b y the chief ex-ecutive or an outside consultant ensuring that the organization is ready for implementation. Pre-Implementation Training The importance of this phase of implementation varies as researchers have reported differing results. Raia46 has show n increased productivity after goal 47 setting training ; Meyer, Ka y , and French conducted research which indicated increased performance a fter training; and Tosi and Carro1148 reported i mproved attitudes toward work throug h training . On t h e 49 contrary , some have discovered no imnrovement in manager need satisfaction after MBO training. After reviewing and testing these issues, Kirchhoff50 reports "Contrary to accepted theory MBO training and goal setting do not insure goal use . perhaps goal setting can be d ysfunctional if use does not follow training . While training is not a guarantee that the MBOR project will be successful, there are specific barriers

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to the approach which training will help to overcome. MBOR presents an organizational change to employees, and which many employees will resist.51 Secondly , there are definite procedural skills which managers and employees must learn to, at least, implement the system. Mahler52 reports that "in installing an HBO system two factors are important: (1) achieving or-ganization-wide acceptance of the HBO idea; (2) ob-taining the necessary behavior that will allow an program to be imolemented successfully." Carvalho53 suggests that to properly implement the program and to reduce the time lag between imple-mentation and results of three areas of training and development must be addressed. First, because of the natural resistance to change, training to encourage attitude change is a necessity. Second, managers must build their s ystems analysis skills so they ma y properly understand the impact of MBO on the organi-zation's operating inter-relationships. Third, mana-73 gers must receive training in the development and appli5L1 cation of interpersonal relations skills. Carvalho states, "all subsystems in the organization are interdependent to some degree . . Managers who recog-nize this interdependency and learn how to collaborate without compromising, enhance their chances of achieving their objectives."

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74 Tosi55 summarizes and adds to the objectives of training through the following list. His objectives of training are general to any organizational development program but they are easily related to the MBO process. The objectives of training are as follows; Knowledge Changes -this objective is concerned with merely increasing the knowledge level of the participant. 2. Attitude Change -development programs might be designed to change the attitude of the trainees. Perhaps the concept of human relations is being taught in the program; practice in human relations requires a "positive attitude'' on the part of the trainee. 3. Ability Change -basically concerned with improving the methods and skills required on the job and in job related tasks. 4. Job Performance Changes -attempts to carry ability changes and improvements into the job situation. 5. End Operational Results -probably the ultimate results desired from training programs of any nature. Pre-implementation has been defined as a necessity to properly initiate any HBO program. While the training does not ensure success, it is an important

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75 implementation stage. Specific areas of training include skill development, attitude change, interper-sonal relations and job ability development. Direction of the Implementation Process Closely aligned with training is the location in the organizational structure where the implementation . . t s . h d. 56 process or1g1na es. orne maJor aut.ors, 0 1orne d M . 57 . 1 h h b . an orr1sey, s1mp y assume t at t e process eg1ns at the top of the organization and filters down the hierarchical levels. Others58 suggest that MBO is primarily a participativ e model which necessitates initiation at the worker's level of the organization. 59 Humphrey emphasizes the participative appproach b y stating; This technique, called 'participative planning' has proved successful in enlisting the cooperation of employees without putting pressure on them, and has also raised profits and saved planning time . . Essentially , participative planning is a process that enables all levels of staff to submit their views on organization, operation and translation o f objectives into viable acitn programs ... in another sense it is the reverse of MBO . . . The first thing to do in participative planning is to go straight to the shop-floor people and office supervisors and ask them to write down their views, complaints, and ideas about what would improve the company . Supporting implementation at the bottom of the organization is the value of listening to differing 60 views during a time of change. Hoffer suggests that identifying important goals are often derived from

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76 groups or persons who are not in the power positions; the unpopular but free-thinkers in the organization. Authors who support starting the process at the top of the organization counter that there is much information that is of use to top managers which is of no use to subordinate workers and that to do anything in an organization you must have commitment from the top f th . . f. 61 o e organ1zat1on 1rst. 62 McConkey attempts to resolve the issue b y addin g the "all at once" approach. "All levels of management are treated as a total unit and implementation for all begins and proceed s concurrently generally with all levels attending the sam e meetings and indoctrination sessions." While McConkey is referring to managers the "all at once" concept has been broadened to include the tota l organization. B y initiating the program at all levels of the organization, several aspects of implementation are achieved. First, information relevant to various hierarchi-cal levels ma y be distributed without wasting the time o f other levels.63 Second, information relevant to all levels ma y 64 be distributed e venly and completely . Third, subordinates ma y develop plans and ideas with the assistance and collaboration o f superiors.65

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77 Fourth, the organization gains the information and commitment of workers which it seriously requires.66 In regard to the many barriers and pitfalls of this type of organizational development project involv-ing the total organization (top and bottom direction-ality) appears to be the optimal approach to ensure successful implementation. Participation in the Implementation Process The importance of participation in the imple-mentation process has been established in the sections on training and directionality. The elements of parti-cipation and the methods of implementing participation then become factors critical to our examination and analy-sis of the program we are researching. Morrisey 67 reports that trust and commitment are salient elements of participation that are primary to 68 the success of the implementation process. Jun sug-gests that participative goal setting creates increased individual responsibility in workers as a result of the greater freedom and control allowed by the process. Levinson69 proposes that employees are more deeply motivated through mutual subordinate and superior ac-tivity in job obligation clarification and in measuring job performance. This element is emphasized by Levin70 son's statement on mutual task development;

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Thus the highest point of self-motivation arises when there is a complementary conjunction of 78 the man's needs and the organization's requirements. The requirements of both mesh, interrelate, and become synergistic. The energies of man and organization are pooled for mutual advantage. If the two sets of needs do not mesh, then a man has to fight himself and his organization, in addition to the work which must be done and the targets which have been defined. . 71 h . . . Horr1sey reports t at part1c1pat1on creates, in addition to commitment, the creativity potential of workers. He views participation as a challenge to workers to be innovative and give input in critical planning areas. 72 Humphrey in defining "participativ e planning" reports that when employees participate to shape their own future they work better and with greater satisfaction. In summary, the elements and benefits of partici-pation include trust, commitment, individual responsi-bility , motivation, creativity potential, better per-formance, and greater employee satisfaction. These elements have been validated through the research results of several authors. 73 Drucker reports that Japanese business and public affairs agencies are able to set goals and be more ef-fective because of the responsibility and of employees created by their approach to management bv 74 consensus. Meyer, Kay and French report, in their studies on the General Electric Company's MBO experience, that subordinates who received a high participation level had

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79 a greater mutual understanding between them and their managers, had greater acceptance of job goals, had a more favorable attitude toward the appraisal system and had a feeling of greater self-realization on the job. They also reported that, "employees who had traditionally been accustomed to low participation in their daily relationship with the manager did not necessarily per-form better under the high participation treatment." Tosi and Carro175 after interviewing 128 managers of a large manufacturing firm, concluded that "higher participation was related to higher satisfaction with MBO for the high initiative managers. But that it had a far greater positive effect for managers who had a high need for policy, low control over the means of goal achievement, low job interest, and were aware of the supervisor's goal priorities . . the effect of parti-cipation was negative for those who had low goal priori-tees." 76 h 1 . . t Corey reports t at, as a resu t of an MBO proJeC with the John Hancock Mutual Life Insurance Com pany , line managers were able to institute and carry out the MBO process effectively after they understood the process, were given the right tools and received staff counsel. The managers participated in long and short range organi-zational goals and objectives and in individual goal setting. He reports that small group training meetings for one hour per day for four consecutive days were not

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80 enough of the education and motivation needed for the project. White77 conducted research at a public health care facility and discovered, because of participation in an .MBO project, there was increased ego involvement in work, increased knowledge and skills, increased experience and increased challenges in daily activities. These were viewed by employees as positive aspects of increased responsibility and satisfaction with work. The lack of participation may also create additional problems or block the success of implementation. Tvhite78 reports, in a public agency study, that "use by some managers of a directive approach to goal setting was evidenced. Had greater participation in the formula-tion of objectives taken place, more realistic goals or strategies to achieve needed objectives might have resulted and dissatisfaction minimized." . h 79 d . d t' Ivancevlc compare two agencles con uc lng MBO projects, one successful and one unsuccessful, and discovered that while the successful agency took much time for training and employee involvement, the un-successful agency had supervisors who never heard of and did not know that it was currently being used by their company. This was after a one-year use period. Implementing a participative approach requires some traditional change considerations. Tosi and

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81 80 Carrol state that "mutual goal setting" requires a reallocation of influence. Providing the subordinate is willing to participate, the superior must be willing to relinquish some influence. If this does not occur, participation will not work. "Participation is power redistribution and power means some control over the work environment."81 82 French and Hollmann suggest that the answer to MBO and participation is a team approach. Instead of the one-to-one manager to subordinate method, goals should be determined by groups of superiors and subordinates acting as a team with equal ranking. The evidence for participation by all employees of an organization in an MBO implementation process is strongly in favor of comprehensive inclusion. While it requires some change by managers, the results may mean the success or failure of the program. Reinforcement Reinforcing the established MBOR approach sur-faces as a critical element in the implementation process. Ivancevich83 summarizes that ". . individuals stop responding in fairly predictable patterns when their behavior is no longer reinforced or is not reinforced at all . . without some degree of reinforcement the effects of training, if any, are diluted or eliminated completely."

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82 .84 h Tos1 reports t at the success of a manage-ment philosophy depends on employee acceptance and that acceptance requires satisfactory organizaton rein-f t . . d 1185 h orcemen s. Tos1, R1zzo an Carro state t at, con-cerning performacne appraisal, "the manager should let him know that his performance has been noticed, especially when he is performing his major job responsibilities exceptionally well." Ivancevich,86 when comparing sue-cessful and unsuccessful programs, discovered that even short term reinforcement programs influenced the sue-cessful outcomes of an rllio project. Methods of providing reinforcement may be diffi-cult for the manager. The strongest approach appears to be participation by employees in the process and in ana-lyzing the results. Feedback relating to performance, especially positive performance, has also been identified as a motivation. Horgan and Floyd87 add to this list by identifying the use of special assignments, on-the-job training, task force membership, job enrichment, training programs, university programs, and professional memberships as reinforcing techniques. Compensation is often viewed as a potential method of reinforcing the MBO process. 88 However, Lasagna states that compensation eventually dominates the develop-89 ment of MBO and the process is weakened. Mobley argues in favor of compensation as a reinforcer. Through his interviews with managers he summarizes the advantages;

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(1) It is a relatively more objective way to allocate financial rewards than more traditional approaches. 83 ( 2) It permits establishment of the p•:=rformance reward contingency suggested by reinforcement and expectency-instrumentality theories of motivation and performance. (3) It helps to ensure that these two management processes do not work at cross purpose. (4) It serves as a potentially powerful source of feedback. Reinforcement is established as a salient element of the implementation process and should not be ignored by managers involved in the MBO approach. McConkie90 summarizes the elements of the imple-mentation stage of MBOR. Available research indicates these are critical to management development success: 1. Implementation should be preceded by databased diagnosis of organizational problems and strengths; 2. Training in specific skill areas will almost universally be needed; 3. Favorable top management support and involvement are important contributors to successful MBO implementation; 4. Training and implementation needs should be met with tailor made designs, rendering sufficient attention to all the variables impacting upon the implementation process. 5. It also appears that high levels of subordinate involvement facilitate implementation. 6. One of the most important parts of the implementation schema is the erection and utilization of specific reinforcement mechanisms.

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84 MBOR Elements and Issues-A Summary This overview of MBOR sets the background against which the Boulder County Corrections MBOR Project will be examined. Several important elements and issues concerning the successful implementation of MBOR in an organization have been identified and analyzed. The following list is a summary of these processes. The Boulder MBOR management process will be evaluated using these elements and the success or fail-ure of the project will be analyzed in these terms. Process 1. A philosophy statement must be developed which includes short and long term goals. 2. Functional elements of the organization must be identified which will be effected by managing by objectives. 3. Measureable indicators must be developed which represent the organization's process. 4. Objectives must be developed which put into action the indicators. 5. Job performance must be stated in behavioral terms and translated for each worker and each specific job. 6. Data must be collected which includes workload factors, quality factors and resulting condition factors. These data are the results to be measured in comparison with stated goals and objectives. 7. Goals are readjusted as a result of data analyzation. Corrective action is taken to alter the organizationprocesswhich effects the goals.

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Implementation 1. A diagnosis of organizational problems and strengths should be conducted to assess compatibility with an MBO project. 85 2 . Training of all personnel in the organization should be implemented simultaneously. Special training should be given to members of each hierarchical level depending on their needs. 3. Top management support and imvolvement is critical to the implementation process and it must continue throughout the MBOR approach. 4. Training and implementation elements should be predesigned, well prepared and given much support by managers. 5. The implementation process should be initiated at all levels of the organization striving to develop mutual goal setting and problem solving between managers and workers. 6. Managers must make every effort to develop a participative model, adjusting the organization's approach to decision making and creating situations which allow for high levels of subordinate involvement. 7. Reinforcement methods must be developed b y managers which continually support the organiizational change created b y the MBOR process.

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References and Footnotes 1 Peter Drucker, Managing for Results (New York: Harper and Row, 1954), p. 3. 2Ibid, p. 199. 3Edward C. Schleh, Management by Results (New York: McGraw-Hill Book Co., Inc., 1961), p. 18. 4Ibid, p. 19. 86 5 George L. Morrisey, Management by Objectives and Results (Reading, Mass.: Additon-Wesley Publish1ng Co., 1970) . 6Ibid, pp. 6, 7. 7George S. Odiorne, Management by Objectives: A System of Management Leadership (New York: Pittman Publishing Co., 1965), pp. 56, 66. 8Mark L. McConkie, Manaoement by Objectives in a Public Agency: Defining the Concept and Test1ng its Application (University of Georgia, 1977). 9Harry P. Hatry and Donald M. Fisk, Improving Productivity and Productivity Measurement in Local Governments, National Center for Productivity and Quality of Work L1fe, (Washington, D.C. 1971), p. 3. 10Jerome A. Mark, "Meanings and Measures of Productivity", Public Administration Review, Vol. 32, Nov./Dec. (1972), p. 748. 11 Hatry and Fisk, p. 3. 12 Harry P. Hatry, "Issues in Productivity Measure-ment for Local Governments", Public Administration Review, Vol. 32, Nov./Dec. (1972), 777. 13Ibid, p. 777. The list is a summary of productivity measurement steps proposed in Harry Hatry "Issues in Productivity for local governments", p. 777, Hatry and Fisk, Improving Productivity and Measuring the Effectiveness of Basic Municipal Serv1ces (International City Managers' Assoc1at1on, 1974). 1411easuring the Effectiveness of Basic Municipal Services, p. 14. 15 Hatry and Fisk, p. 9. See Harry P. Hatry, Richard F. Winnie, and Donald M. Fisk, Practical

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Program Evaluation for State and Local Government Officials (The Urban Institute, Washington, D.C. 1973) for discussion of these issues. 87 16 1 H ' 1 ' h ( 1 d Caro . We1ss, Eva uat1on Researc . Ing ewoo : Prentice-Hall 1972). 17 . Morr1sey, p. 139. 18George S. Odiorne "MBO in State Government", Public Administration Review, Jan./Feb. 1976, pp. 28-33. 19Ibid, p. 3. 20Henry L. Tosi and Stephen J. Carroll, "Manager ial Reactions to M.anagernent by Objectives", Academy of Management Journal 1969, II ( 4) , 415-426. 21 b'd 424 p. . 22 Drucker, Managing for Results, p. 15. 23 d' 0 1orne, "MBO in State Government", p. 29. 24Morrisey, p. 141. 25 Peter F. Drucker, "What Results Should You Expect? A User's Guide to MBO", Public Administration Review, Jan./Feb. 1976, p. 16. 26Ibid, p. 13. 27 d' 0 1orne, "MBO in State Government", p. 29. 28 . d 11 420 Tos1 an Carro , p. . 29 See Robert H. Meyer, Emanuel Kay, and John R. P. French, Jr. "Split Roles in Performance Appraisal" Harvard Business Review 1965, 43 (1), 123-129 and Edgar F. Huse and Emanuel Kay "Improving Employee Pro ductivity Through Work Planning" in Blood, J.W. (Ed.), The Personnel Job in a Changing World (New York: American Management Association, 1964), pp. 298-315. 30 Huse and Kay, p. 300, 301. 31Ibid, p. 302. 32Ibid, p. 315. 3 3nrucker, Results Should You Expect? A User's Guide to MBO", p. 13.

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88 34 . See Morr1sey, page 121 for a listing of manager review techniques. 350d. " . ' 1orne, .MBO 1n State Government', p. 32. 36Morrisey, p. 132. 37 Drucker, "What Results Should You Expect?" p. 17. 38Morrisey, p . 134. 39nale D. M cConkey, "Implementation-The Guts o f MBO", S.A.L Advanced Management Journal, 1972, 37 (5) 13-18 p. 13-14. 40Ibid, p. 14-15. 41Ibid, p. 15. 42John B . Lasagna, "Make Your MBO Pragmatic" Harvard Business Review, 1971, 49 (6), 64-69. 43Ibid, pp. 14-15. 44 McConkey, "Implementation-The Guts of MBO. " 45 . " 1 George L . Morr1sey, How to Imp ement MBO in Your Organization Unit", Training and Development Journall977, 31 (4), 8-13. 46A. P. Raia, "Goal Setting and Self-control", Journal of Management Studies, 1965, 34-53, and A. P. Raia, "A Second Look at Goals and Controls", California Management Review 1966, 8, 49-58. 47 H. H. Meyer, E. Kay and J. R . P. French, "Split Roles in Performance Appraisal", pp. 123-129. 48Tosi and Carroll, "Management Reaction to Management by Objectives", p. 415-426. 49J. M . Ivancevich, J. H. Donnelley and H. L . Lyon, "A Study of the Impact of Management by Objectives on Perceived Need Satisfaction", Personnel Psychology, 1970, 139-151. 50Bruce A. Kirchoff, "A Diagnostic Tool for Management by Objectives" Personnel Psychology 1975, 351-364.

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51G. F. Carvalho, "Install by Objectives: A New Perspective on Organizational Change", Human Resource Management, 1972, 3_ (2), 23-30. 52 Walter R . Mahler, ":M.anagement by Objectives: A Consultant's Vie\\rpoint", Training and Development Journal, 1972, 26, (2) 16-19. 53 Carvalho, pp. 24 and 28. 54Ibid, p . 28. 55Henry L. Tosi, "Management Development and Management by Objectives An Interrelationship", Management of Personnel Quarterly, 1965, i (2), 21-27. 56George s. Odiorne, "Managing Bad Luck by Ob-M ichigan Business Review, 1974, 26 (3), 8-13. 57George L. Morrisey, 1-'l.BO v7orkThe Missing Link'', Training and Development Journal, 1976, 30, (1), 3-11. 89 (although Morrisey has stated that implementation starts at the top, bottom and middle, the processes he outlines indicates a top-down approach. ) 58 Albert S . Humphrey, Turned Upside Down", Management Review 1974, 63, 4-8. 59Ibid, p. 5. 60Eric Hoffer, The True Believer (New York: Harper & Brothers, 1951). 61 24-25. Carvalho, p. 62 15. McConkey, p . 63 25 Carvalho, p. 64charles H . Granger, "The Hierarchy of Objectives" Harvard Business Review, 1964, !3._ (3), 63-74. 65Henry L . T osi, John R. Rizzo, Stephan J . Carrol, "Setting Goals in by Objectives", California Management Revie"Y!, 1970, 12 (2), 70-78. 66 Lasagna, o . 65. 67Morrisey , "How to Implement 1ffi0 in Your Organi zationa. l Unit", p . 9.

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90 68 Jun, "Management by Objectives in the Public Sector", p. 3. 6 9Harry Levinson, "M.anagement by '117hose Objectives?", Harvard Business Review, 1970, 48 (4), 125-134. 70Ibid, p. 129. 71Horrisey, "Naking MBO -The Missing Link0 , p. 4. 72 Humphrey, "HBO Turned Upside Down", p . 8. 73 Drucker, "\-Jha t Results Should You Exoect? A t.Jser's Guide to HBO", p. 18. 74 Meyer, Kay and French, "Split Roles in Per-formance Appraisal", p. 126. 75Henri L. Tosi and Stephan Carrol, "Some Factors Affecting the Success of Management by Objectives", Journal of Management Studies, 1970, 2 (2), 209-223. 76Hilton 0. Corey, By Objectives", Training and Development Journal, 1967, 21 (4) 57-63. 77Donald D. White, "Effect of a Management by Objectives System in a Public Health Care Facility", Journal of Buisness Research, 1974, 289-302. 78 Donald D. \hi te, "Factors P..ffecting Employee Attitudes Toward the Installation of a New Management System", Academy of Journal, 1973, .!._, (4), 636-646. 79John M . Ivancevich, "The Theory and Practice of Management by Objectives", Michigan Business Review, 19 69 1 21 ( 2) 1 13-16 • 80Tosi and Carroll, "Manageria l Reactions to Management by Objectives", p. 425-426. 81Ibid, p. 426. 82wendell L. French and Robert W . Hollmann, "Management by Objectives: The Tearn P..pproach", California Management Review, 1975, 17 (2), 13-22. 83Ivancevich, "Management by Objectives'' , p . 135. "Management Development and by Objectives-An Interrelationship", pp. 21-27.

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85 . . d 11 Tos1, R1zzo an Carro , "Setting Goals in Management b y Objectives", p. 77. 86rvancevich, "Chanqes in Performance in a Management and Objectives Program", p. 572. 87Neil J. Horgan and Robert P. Floyd, Jr., " A n MBO Ap proach to Prevent Technical Obsolescence" Personnel Journal, 1971, 2Q, 687-693. 88 Lasagna, "Make Your MBO Pragmatic" , p. 65. 90a 89william A. Mobley "The Link Between tfl.BO and Merit Compensation", Personnel Journal, 1974, 423-427. 90McConkie, Management b y Objectives in a Public Agency , p. 59.

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CHAPTER IV THE BOULDER JAIL tffiOR IHPLEHENTATION PROCESS Organizational Structure and Function The jail operation is a major division of the Boulder County Sheriff's This division is commanded b y the Director of Corrections a .nd consists of five sections or teams which include all employees and all functions. The Division employs approximately 55 persons who serve in various functions. These functions include treatmP.nt of inmates, security , intake processing, support services and administrative services. (See Table II -Organizational chart for role and function descriptions) . All persons are part of a work group team which links to the next (above or below) hierarchical level. The Director reports to the Sheriff and he directly supervises the Program's Team Leader, the Administrative Supervisor and the three Operati:ons t _ earn leaders. The Director and the supervisors make up the management team. Each supervisor then links with a work group team which is made up of line level employees. The Program's Team Leader supervises the program's team which consists of the nurses, the educator, the recreation director, the librarian, the health educator

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92 the recre-.'ltion director, the librarian, the health educator and the module officers. An assistant team leader directly supervises the inmate group living areas (modules) and an officer is assigned to each of these areas. The program's team is generally responsible for the treatment and control of inmates through supportive functions and through direct living area and program control and supervision. The Administrative t e a m is supervised by the administrative supervisor and consists of secretaries, cooks, the services officer (maintenance), the evaluator,. research assistants, the trainer and the National Institute of Corrections Liaison officer, (a function necessitated by a great demand for tours of the facility). This work group, generally, operates the non-treatment and administrative support functions of the jail oper ation. The operations team include the booking officers, court security officer, master control officers, the transportation officer, and iail rovers. The three teams are responsible for different time areas and rotate to these time areas periodically. Team A consists of thirteen officers who work_Monday through Friday duringthe day hours. This time area requires the duties of booking, jail roving, transporting, master control and court security. Team B consists of thirteen officers and splits into two units to cover the evening and night

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TABLE II COVNTY DIVISION ORGANIZATION CHART I I I Director t I I Ooeration Program Team rLeader Administrative I . I rsupervlsor i Operations Team Leader -Team A Operations Teo_ m Leader 4 Cooks I -jNurses I Secretaries j ---' II Services _j Directo:r; o t!l Officer I Recreat1on -\Trainer I l-i Librarian I I NIC -Liaison Health ] I Officer 1 Educator r= I H Psychologist! I _ Research -----Assistants Module Asst. Team Leader 6 Module Officers Master Control I f-Officer -----_Court Security Officers ---1 Jail Rovers 1 -Transporta:wn I Officer -----------------1 Control Officers '-Jail Rovers Jail Rovers

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hours. The responsibilities of this team are booking, master control and roving. Team C is a relief team substituting for teams A and B on their days off. 94 The program module officers and the operation team officers are commissioned sheriff's department deputies labeled Correction Specialists. The Correction Specialist position is designed to be flexible and responsible. Officers are expected to be proficient in all different job functions, i.e., booking, module supervision, transporting, etc. and they are responsible for the treatment and security of inmates. The teams' members stay with their assigned team for at least three months and some team members, depending on expertise or function, never transfer to another team. Each team meets as a unit monthly in designated team days. This procedure ensures that work group members remain with a unit and a team leader for substantive periods of time allowing for thorough job understanding and a thorough opportunity for supervision. Pre-implementation Design The initial decision to attempt the management by objectives and results project was made by the director and evaluator as a result of difficulty in evaluating the jail operations. The evaluation was considered a problem because job descriptions were not clear and indicators of performance were unavailable.

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95 The second factor for initiating the program was derived from the management team members as they requested a clarification of unit functions, responsibilities and positions. In all, these problems reflected the situation that the organization had created by developing a philosophy and operation unique in its field. As there were no models to follow, no existing job descriptions and no existing performance standards or indicators; the management was faced with a fairly complete organization development project. Without further analysis, other than discussing these problems, the director contracted with the National Institute of Corrections for a two-day pre-implementation training program. This program was conducted by one consultant who had some training and experience with managing by objectives. The trainees included in the two-day program were the director, the program team leader, the administrative supervisor, the three operation team leaders and the evaluator. The content of the training was; a discussion of how an MBOR project was to be implemented, the rationale why it is usually implemented and an analysis of each process stage. The training program, held on September 29th and 30th, 1977, quickly developed into an implementation process when the management team, armed with information on the MBOR set a timetable, created a mission

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96 statement and established the key result areas. As an indication of events to come, the timetable to complete all stages of the MBOR process plan was for three months. In reality the total process took eighteen months to complete. (See Table III).) An examination of Table III reveals that the Organizational Mission Statement; Team Mission Statements, and the Key Result Areas were outlined on September 30. These items were posted for review b y staff on October 3, 1977, and an oral presentation was made to the staff at a Staff Divisional Meeting on October 26, 1977. It was felt that the best way to obtain support for the program was to involve the line personnel in developing the Key Indicators. Not only would there be support for the Objectives, there would also be an OrganizationalNe e dsAssessment and delineation of what areas were of vital importance. Thus, all tea ms were consulted in November to develop a list of Key Indicators from which the Objectives would be written. Also done during the November Team Days was a ranking to delineate those items which people thought should receive the higher priority. It should be noted that the Mission Statements and Key Result Areas were written prior to the Team Days Meetings. It was thought that writing these elements would give the team direction without spending the team time writing Mission Statements. Also, since this

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97 TABLE III TIMETABLE FOR IMPLEMENTATION OF THE MBOR PROJECT 1. 2. 3 . Agenda Organizat1onal Mission State ment Team Mission Statements Key Result Areas Post for Review Present to Division 4. Indicators -Worker Input -Summarization 5. Objectives 6. Action Plans 7. Controls 8 . 9 . -Sheriff's Review Evaluation Component Finished Product Division Meeting Date September 30, 1977 September 30 September 30 October 3 October 26 November Team Da y s 2, 9, 16, 20, 30 December 6, 7, 8 December 15 DEcember 25 January 1, 1978

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98 was the first time this had been done, it was considered important to involve the staff in the important task of enumerating the Ke y Indicators. The plan, according to the timetable in Table III, called for the Director and Team Leaders to write Objectives based on the Key Indicators enumerated during the November Team Days. Along with the writing of Action Plan s these two facets of the model were scheduled for December 6, 7, 8. After these were com pleted, they were subject to review by the Sheriff for final approval. According to the schedule, the remainder of the items concerning the MBOR plan included writing of the evaluation component and final typing which was to be completed b y the end of December 1977. Thus, the completion of the writing of the Objectives, Action Agendas, and an Evaluation Plan represented the completion of the planning process. The nex t step was to be implementation or putting the action plans into operation in an effort to meet the stated objectives. This was scheduled to start January 1, 1978 and continue for the year 1978. The review of progress was to be an ongoing p rocess with at least monthly or quarterly progress rep o rts. While the planning process did not follow the timetable e xactly, the objectives were evaluated after the end o f 1978.

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99 Philosophy Development During the second day of the two-day training session, the management team created a new organizational mission statement and a mission statement for each func-tional unit (team). The overall philosophy statement was developed through a simple and expedient method. Each member of the management team wrote a statement individually , then read his or her statement to the group. The group then chose the best statement through a concensus decision ma king process. After minor changes in the wording, the statement was accepted as the organization's 1978 mission. An examinatin of Table IV reveals that the organ-izationa l mission statement was fairly broad in concept. The first paragraph outlined the concepts of detention and confinem e nt; the second paragrap h discussed how detained persons are treated; and the last paragraph discussed the concept of constitutional rights. After this statement was developed, each team leader, or in the case of operation, each group of team leaders developed a supportive team mission statement. The team mission statements, while general in scope, were specific in defining the team' s role in the organization' s functioning. The mission of the oper-ation's team emphasized ''attending to the daily activities

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100 TABLE IV BOULDER COUNTY CORRECTIONS MISSION STATEMENT The mission of Boulder County Corrections is the detention and confinement of offenders of the law and suspected offenders. The intent of such a confinement is three-fold; 1. confinement of judged offenders is a punishment; 2. pre-trial individuals may be removed from society for the protection of the public while the process of the law is served; 3. confinement of individuals who are of danger to themselves and/ or others. Furthermore, the mission of Boulder County Corrections is found in how detained persons are treated during their confinement. Boulder County Corrections shall provide an opportunity for the positive personal growth of those confined and offer assistance for a positive reintegration into the community upon their release. In keeping with these principles, Boulder County Corrections shall provide a safe, secure environment for those confined. Their basic physical and mental health needs shall be attended to and their constitutional rights protected.

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101 of the facility", while that of the administrative team "is placed on management controls and on support servi ces". Finally, the program's team addressed "programs that facilitate personal growth of those confined". Thus, we see different emphasis for the different teams but they all contributed to completion of the organization mission. Key Result Areas For the final product of the two day training session, the management team developed eight key result areas. They created these areas, along with different aspects of each area, by meeting in small groups and outlining the organization's functions and needs. The criteria for developing the key result areas was that each area should contribute to the organization mission statement and the team mission statements. The key result areas, staff development, resident basic needs and constitutional rights, organization dynamics, positive atmosphere, support services, security, community involvement, and NIC involvement, all relate to the organizatTon • s mission, although some relate to only one team while some are related to all the teams. Table VI is a list of the key result areas and key result area elements developed by the jail management team during the implementation training program.

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102 TABLE V TEAM MISSION STATEMENTS Mission of the Operations Teams The mission of the operations team is to support the organizational mission by specifically providing a favorable environmental atmosphere to persons entering or incarcerated in Boulder County Corrections and attending to the daily activities of the facility. The operations team shall be supportive of the functions of other teams. Mission of the Administrative Team The mission of the administrative team is to support the organization mission. Special emphasis is placed on management controls and on support services to facilitate the day to day functioning of the operations and programs teams. Mission of the Programs Team The mission of the programs team is to support the organizational mission. Special emphasis is placed on providing a favorable environment and programs that facilitate personal growth of those confined so that a positive reintegration into the community may be possible.

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TABLE VI KEY RESULT AREAS I. STAFF DEVELOPMENT A. Training B. Career Planning c. Morale D. Performance E. Selection II. RESIDENT BASIC NEEDS AND CONSTITUTIONAL RIGHTS A. Health Care B. Food Service C. Crisis Intervention D. Clothing and Linen Needs E. Access to Courts and Legal Service F. Due Process G. Safety from Emergency Dangers III. ORGANIZATION DYNAMICS A. Org. Communications B. Open to Change, Adaptation and Evaluation C. High Quality Interpersonal Relationships Among Staff IV. POSITIVE ATMOSPHERE A. Interpersonal Relations Staff to inmate Inmate to Staff B. Low Tension Level Fear 103

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• 104 TABLE VI (Continued) C. Opportunity for Personal Growth D. Individuality of Residents V. SUPPORT SERVICES A . Service B. Education/Information C. Module Classification VI. SECURITY A. Inmate and Staff Safety B. Escapes C. Contraband VII. COHMUNITY INVOLVEMENT A. Reintegration B. Community Education C . Bringing Community into Jail; volunteers, etc. VIII. NIC INVOLVEMENT A . Tours, Conferences, Public Relations, Liaison B. Technical Assistance

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105 Within a week after the pre-implementation program was completed results of the meetings; the timetable, the mission statements and the key result areas were posted for all employees to review. Approximately one month after the training program, the entire division was brought together for the purpose of discussing the management by objectives and results program. At this meeting the process was thoroughly discussed, the results were presented and details of the next stage were outlined. This general session was the initial training in r -ID OR for the 1 ine level workers and 1 ine supervisors. While there was some information available that a management program was in progress, the line level staff had no input or training in the process or results developed up to this time. The feedback discussion concerning this meeting was varied; some voiced optimism that this process would be beneficial while many others voiced concern that the program appeared time consuming or that it would not be completed. This was the first indication that the organization may not have been ready for an MBOR project. Key Indicator Development The organization's monthly "team days" were targeted for line supervisor and line worker input concerning the indicators for the key result areas. The

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106 team days, which were eight hour sessions devoted to training, were reserved for MBOR for the months of November and December 1977. Because of the high competition for team day time, reserving two months of team day time indicated the priority that the management team placed on participation at this level. During each team day, the team leader of his or her team served as facilitator for the group and solicited information on each key result area element. Before each session began, the director restated the reasons for the project, the process and timetable to be followed and the mission statements which were previously developed. This was done to emphasize the importance of the project and shov.r the commitment of the director to the project. While the purpose and method of developing indicators was thoroughly explained, team members and team leaders recorded items and issues which could better be classified as objective statements or general feedback on procedures. All information was recorded during these sessions for the purpose of eliciting as much worker particiation as possible. After each team had one brainstorming session to develop information and one follow-up session to add or change indicators, the evaluator summarized all available items into lists which could be related to objectives and a subsequent evaluation.

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107 The method of identifying indicators by line staff appeared successful as an application of worker participation in the MBOR approach. Because almost all team members became enthusiastic about giving input during this stag e of tlie process, the resul tinq i terns should have been valid indicators of the organization progress for the year. The only drawback to the process was that team members were allowed to present and record items which were not true or indicators. This occurrance indicated that some team leaders did not understand the process and created the possibility of raising false expectations among workers. In either case, the results were vital to continuing the MBOR process and the development of objectives, action agendas and controls. The following table is a summary list of indicators. Only one key result area is utilized for demonstration purposes. Teams did not list items in all the key result areas for two separate reasons; (1) they stated they did not have enough time to thoroughly cover all ares or (2) they stated the area was not important to their team's responsibilities. (See Appendix A for a complete list of indicators by working team.) Objectives, Action Agendas and Controls When the indicators v-1ere summarized, the management team met for the purpose of translating indicators into

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108 TABLE VII KEY INDICATORS FOR STAFF DEVELOPMENT I. STAFF DEVELOPMENT A. Training 1. Quality -level of proficiency certification in areas other than just guns (a) at least meet minimum state requirements (b) set own levels of certification 2. Supervision and observation 3. Peer observation 4. Availability of training outside job 5. Provide training in techniques of writing in pass-on book *B. Career Planning 1. Turnover (reason for leaving) 2. Mobility -same level movement (lateral, critique trainee) 3. Professionalism -training -broader -useful in field -overall 4. Career Counselor Expertise Confidentiality Open Door *C. Morale 1. Absences 2. Tardiness 3. Staff input into decision making policies -procedures, etc. 4. Turnover Rate, longevity on job, reasons for leaving

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109 TABLE VII (Continued) 5. Incentives and awards CS of quarter D. Performance 1. Peer evaluations (a) Components -cooperation -communication -organizational ability -coordination Also look at timing and smoothness of ability to get job done. (b) More frequently than six months (c) Organized feedback time 2. Supervisor Evaluations 3. Input from outside agencies (a) About people (b) About organization as a whole *E. Selection 1. New hiring -a review or screening by staff to get in their opinions. Want more input. 2. Standardized procedures. 3. Participation by staff in promotions (CS's) 4. Follow-up on interns, i.e., if interns perform satisfactorily, provide some sort of mechanism to encourage them to apply for job.

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110 objective statements. After struggling for several hours, they determined that the process was much more involved and difficult than they had been led to believe. This experience had a dramatic effect on the process as the management team determined that the time schedule was extremely unrealistic. At this time, the group made three important decisions; (1) to revise the time table, extending the final date to include an additional year, (2) to establish "pre-implementation objectives and action agendas for the purpose of clarifying areas and collecting data, (3) to assign objective setting areas to particular individuals. The tim e table was revised from the three month period in 1977 for the complete process to the entire year of 1978 to complete all steps. The following steps were to be completed during 1978. First, the preimplementation objectives and action agendas were to be met by June 1978. Second, the organizational objectives, action agendas and controls in relation to the key result areas and key indicators were to be completed by December 1978. Third, the program evaluation was to be completed during January 1979. These steps would complete the entire cycle in the process, although the process would be completed one year after the designated time. This was one indication that the management team was not prepared or knowledgeable concerning the project they had undertaken.

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The next important decision was to establish pre-implementation objectives and action agendas for those objectives. These objectives were designed 111 to develop information and processes necessary to support the organizational objectives. While not all of the implementation objectives were necessary to continue the MBOR process, the objectives establishing job criteria and the objectives necessitating the collection of baseline data were very important. The pre-implementaiton objectives are as follows (see Appendix B for a complete description of the objectives, a discussion of each objective, the action agenda for the objective and a time table for completion of this :phase) . 1. To develop job criteria for each function specified in the facility. 2. To develop a performance evalu?ttion scheme to measure the level of proficiency of those being evaluated. 3. To evalute the level of proficiency of those working in the facility. 4. To develop a new training scheme which \vill meet the needs of the staff and management. 5. To perform a personal needs assessment to outline individual career paths. 6. To develop an alternative in-house career path for correctional specialists.

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112 7. To develop a selectionprocess for hirings, promotions, lateral transfers, public training assignments, and other competitive positions. 8. To develop baseline data on factors related to morale, to include absenteeism, turnover, and morale. Because creating job criteria for the agency was a major focus of the project, the development process is worthy of examination. See Appendix C for a complete list of functions, function objectives, function controls and function descriptions. At first, each supervisor began to discuss job criteria with his or her employees butitwas soon discovered that job descriptions and agreements had not been established between the director and each team leader. This occurrance is another example of the lack of pre-implementation planning affecting the project. It was obvious that the organization, especially the management team, was learning the MBOR process through a series of negative experiences. The management team did design a job criteria identification method which proved to be complete, and effective. During the team leader job criteria identification process, they established the following procedure which was utilized bytheprograms and administrative team.

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113 First, the director and the team leader individually tested job responsibilities concerning the position. Second, the director and team leader met together, joined their lists and prioritized the functions. Third, the team leader as subordinate individually developed objective statements for the agreed list of job responsibilities. Fourth, the director and team leader met to finalize the objective statements and to create action agendas and controls. This added the measurable issues of quantity, quality and timelines to each function objective. Table VIII is an example of a joint list of job responsibilities after agreement between the director's list and the program team leader's list concerning the program team leader's function. This list has also been prioritized through consensus of the superior and subordinate views. Table IX is the finished product outlining general objectives for the position of Program Team Leader, establishing a quantity for each objective, the quality of each to be measured and the time periods when they should be completed. This job description is an excellent example of the positive value of the MBOR process. Regardless of the outcome of the general program, the establishment of clear job

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114 TABLE VIII JOB RESPONSIBILITIES FOR TEAM LEADER The following is a list of the job responsibilities for Program's Team Leader in order of priority, as agreed on April 11, 1978. 1. Supervise and administration of already functioning programs. This area should include personnel responsibilities, direct supervision of support staff, reviewing the philosophy of each program area periodically, reviewing and organizing the program's files, and inspection of the areas where program staff work. 2. Coordinate programs with the rest of organization. This area should include serving as a linking pin between the program's team and the management team, and coordinating the weekly program's meetings which include the module team leader and module specialists. 3. Development and coordination of community referral systems. The availability and reliability of social services for the released offender is considered very significant. This area should include clarifying the integrative delivery service model that is utilized presently.

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TABLE VIII (Continued) 4. Development and coordination of internal programs. 115 This area should include assessing the program needs of the residents, then locating appropriate resources to provide those services within the facility; volunteers would be included in this area. An effort would be made towards evaluating the quality of all programs. 5. Refinement, upgrading, and developing new programs and services for residents. This area should include working on the intake process, the vocational/employment component available to residents, possibility of including families in counseling sessions. Keeping current with the literature on correctional programs, and when possible having direct contact with those developing or implementing similar services throughout the country should assure that the refinement and upgrading be in the right direction. 6. Maintenance of relationships of corrections with other organizations such as probation, community corrections, D.A. 's office, public defender, the county and district judges, and C.J.A.C.

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116 TABLE VIII (Continued) 7. Education of Boulder community. This area should include considering bringing groups or individuals inside the facility or speaking to groups outside the facility. Emphasis is both inter-agency related or the general community. 8. Retain some flexibility and creativity for further job responsibilities. 9. Maintain clear role of Team Leader. It is understood that there are certain general expectations of all Team Leaders that fall outside the particular area of expertise of programs. Some of these expectations include general support of the organization, understanding the priority of goals, attendance at Team Leader Meetings, availability to assist in any emergency within the facility. 10. Research the possibilities of referral followup system. This area could include exploring the use of the computer in compiling program monthly statistics, as well as how it might be used for followup.

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117 TABLE IX PROGRAM LEADER OBJECTIVES Objective Number 1: The Program Team Leader is primarily responsible for the direct supervision, management and administration of currently operating programs to insure they run in a "smooth" manner. I. Direct Supervision A. Quantity -The Program Team Leader is responsible for supervising and managing the following programs: Education Health Education Health Services Library Psychological Services Recreation Referral Service Student Intern(s) Work B. Quality -The Program Team Leader will have at least one meeting with every Program staff member every other week. High quality management of the Program staff will be able to resolve conflicts, thus minimizing the volume of requests made on the Director. Input \vill be received from Inmate Council about the quality of theprograms and services being provided by the Program staff.

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118 TABLE IX (Continued)_ C. Timeliness -(1) The Program Team Leader will outline and publish all services which will be provided for the facility. This outline will include the dates when the services will be provided and the location of the services. Finally, this listing will be posted by the 7th of the month for the current month. (2) Supervision and manage-ment of the programs is an ongoing effort and will be performed at the discretion of the Program Team Leader. II. Administration Administration refers to the support services the Program Team Leder provides to insure the program's function in an efficient and effective manner. Specifically, the Program Team Leader will: handle payroll for all Program staff (including Program Team Leader); review program's files; inspect all work areas; participate in budget formulation; and review all of the written communication which is generated by the Program staff and goes outsid e the agency. A. Quantity -N/A B. Quality -(1) Payroll: the prescribed forms will be used in the appropriate manner (see personnel department for specific details) .

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119 TABLE IX (Continued) (2) Program's files: The Program Team Leader will review the Program's files to insure they adhere to file specification. C. Timeliness -(1) Payroll: will be submitted to the Director on the 16th of the month (or the designated date when the 16th occurs on a holiday, weekend, etc.) by 2:00 P.M. (2) Program's files will be reviewed once per quarter. (3) Work areas will be inspected once per month. (4) Budget formulation: the Program Team Leader will provide input during budget time as needed. Objective Number 5: To make the community aware of the major facets of the Boulder County Corrections Center and its interrelationship with the Criminal Justice System. This may include verbal presentatins, written information, and other materials as deemed necessary to educate the community. The community, as defined in this objective, are considered organizations and individuals who represent the interests of Boulder County. A. Quantity -To meet with an average of two community organizations or individuals per month.

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120 TABLE IX (Continued) B. Quality -(1) To make presentations to established credible community organizations such as the League of Women Voters, the Criminal Justice Advisory Council, higher educational organizations, government agencies, volunteer groups, church groups, etc. (2) To informally (verbally) solicit feedback from the audience. (3) To formally (written) solicit feedback from the audience. C. Timeliness -(1) Informal feedback will be sought at every presentation. (2) Formal feedback will be solicited twice per year. Objective Number 6 : To maintain current relationships with external organizations which provide services to the Boulder County Corrections Center. A . Quantity -To spend time maintaining all relati9nships with outsi9e orqanizations. At a minimum this will include a one hour visit every three months. B. Quality -(1) The organization(s) will continue to work with the Boulder County Cor-rections Center. (2) During the visit the Program's team leader will perform an assessment to determine how the external

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121 TABLE IX (Continued) organization is perceiving its relation-ship with the Boulder County Corrections Center, and attempt to resolve any conflicts. (3) The establishment of written agreements between the Boulder County Corrections Center and the external organizations. C. Timeliness (1) One hour visits every three months. (2) Agreement with agencies will be consumated by January 1, 1978. Objective Number 7: A major concern of the facility is that programs and services provided in the facility be continually refined to insure they are of the highest quality. To this end, the following objective is written: The Program's team leader is responsible for examining programs and services to insure the most up to date services are being provided. To more comprehensively carry out this objective, the Program's team leader will examine programs and services from two points of view: internal and external programs and services. I. Internal Programs and Services The Program's team leader will be responsible for refining, upgrading and developing new programs and services within the organization.

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122 IX (Continued) A. Quality-(l) The Program's team leader will attend one criminal justice related conference per year and review three criminal justice related articles per month. (2) The Program's team leader will provide an annual report to the Director of Corrections which reviews new programs and services proposed or tested throughout the country. B. Quality -(l) A method of refining and upgrading current programs and services is for the Program's team leader to maintain current knowledge of what is going on "in the field." This can be done by reading literature, attending conferences, maintaining contact with other programs, etc. (2) In the annual report the Program's team leader will identify shortcomings of current programs and services and make recommendations on how the current programs and services can be improved. C. Timeliness -The annual report will be due February first each year for the previous year.

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123 TABLE IX (Continued) II. External Programs and Services The Program's team leader will seek organiizations outside of the Boulder County Corrections Center which may provide services to the clientele housed within the center. A . Quantity -Meet with an averag e of one (l) new organization every quarter. B . Quality -(l) Provide the new organization with general information on the Boulder facility. (2) Provide the new organization with specific information on resources and the assessed needs of the residents in the facility. (3) To examine the services offered by the (new) organization to see if it can provide services which meet the needs of the Boulder Correctional facility. C. Timeliness -Meet with the organizations every quarter.

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functions and measurements for those functions was a great benefit for this organization. 124 Each set of job descriptions varies because facilitators were different and the procedure, how to develop job criteria, was not clear to all supervisors. The superiors and subordinates who used the evaluator as facilitator had the style used with the program team leader while the administrative supervisor added specific time element s to each subordinate function. The operation team leaders simply wrote narrative descriptions of each job function under their areas of supervision. Regardless of the method used, other than the positive aspects of organization uniformity, the results should have significantly assisted the jail division in establishing clarity for both workers and supervisors. While this element oftheprocess appeared to have rewarding results, the project was again hampered by unclear procedures and poor planning. In conjunction with the job criteria development, the management team was to create a related performance appraisal system. The program's team leader and the administrative supervisor did complete a six-month evaluation of their employees in July 1978 utilizing the information developed through the j o b criteria identification process. Although their forms and methods were makeshift and not fully established, supervisors and

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125 employees benefitted from performance appraisal based on previously agreed upon job descriptions, objectives and measureable indicators. The operations team did not fare as well as the other units. They embarked on a behaviorally anchored rating system development project using business college students as consultants. The team leaders proposed the following process: First, employees working in small groups would brainstorm lists of behaviors necessary to successfully complete the tasks written into the operations team job descriptions narrative; second, the students would develop summarized lists of job behaviors from the brainstorming sessions; third, the employees would rank order the items according to importance by individually completing special questionnaires developed by the students; fourth, the students would then develop an appraisal form which included weighted positive and negative behaviors relating to the operation corrections specialist position. The process was never finished. Employees failed to cooperate with students in the procedure of completing special questionnaires. The officers gave many differing reasons for their refusal to cooperate but this occurrance was a significant sign that the organization as a whole was not ready for the MBOR project. The operations teams had continually failed to meet the requirements of the project and by failing in the performance

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126 appraisal objective, an important element was lost. Organization objectives, action agendas and controls were then created using the information developed through completion of the pre-implementation objectives. Sections of the key result areas were assigned to team leaders and theywere instructed to collaborate with employees for creation of objective statements. The assignments were as follows: I. Staff Development -Director and Evaluator. II. Resident Basic Needs and Constitutional Rights Ay c -Program's team leader B, D Administrative supervisor E, F -Operations team leader A G -Operations team leader B III. Organizational Dynamics -Operations Team Leader C and Administrative Supervisor IV. Positive Atmosphere -Team leader A v . Support Services -Program's team leader VI. Security-Team leader B VII. Community Involvement-Program's team leader VIII. NIC Involvement-Director, NIC Liaison, Evaluator The team leaders and supervisors using the evaluator as a facilitator developed a comprehensive set of objectives with relatingactionagendas and controls.

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127 TABLE X OBJECTIVES FOR CAREER PLANN ING A second major objective of the Staff Development result area is the establishment and implementation of a Career Planning program for all staff with the following secondary points. Objective Number 1: To provide basic career planning and development information to all staff. A. Quantity -To provide one team day per year for each team devoted to the formal presentation of basic career planning information. B. Quality -That a minimum of 65% of all staff will respond positively to the formal Career Planning experience when surveyed. C. Timeliness -The survey will be conducted within one month following the team day . Objective Number 2: To provide individual career path counseling as a follow-up experience for each employee. A. Quantity -Each team leader will be trained to provide individualized career path counseling to his/her staff on an ongoing basis. B. Quality -That 65% of all staff will respond positively to individual career counseling

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128 TABLE X (Continued) C. Timeliness -Biannually. The caliber of the objectives reflected that the management team peoperly utilized the data previously gathered and that they followed a uniform process as designated by the director. All the supervisors were assisted by the evaluator and they all collaborated with subordinates. The following "objectives for Career Planning" is an of a finished product which includes a clear objective statement, a related action agenda and established performance controls. (See Appendix D for the complete set of organization objectives, action agendas and controls.)

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129 This stage of the MBOR project has value for two reasons, first, the process utilized was uniform and successful and, second, the results represent a comprehensive view of the organization's functions, needs and direction. By completing a uniform process, the management team established the methods of objective setting for the future. While it is sad that the process was developed through a "trial-and-error" method, the results could benefit the organization for years to come. The list of objectives is an excellent overview of the organization and it represents a product of the MBOR project worthy of the time and effort allocated to the project. While it appears that the seventy-five (75) pages of objectives represent an unrealistic task to complete in one year, an adjustment and review would allow the organization an opportunity to delay some results for an extended time period. Overall, the successful completion of this phase of managing by objectives and results appears to represent that the organization has learned and benefitted from the project. Evaluation The evaluation or results phase of the MBOR project for the Boulder County Corrections organization represents a major failure in the process. Originally

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130 the MBOR was initiated to best facilitate an evaluation of the organizational functicns and operations but the finalevaluation report reflects very little information whic could be of value to the agency. The final report has the following positive and negative features; (See Appendix E for The Boulder County Corrections Evaluation Report) . First, the evaluation of objective attainment only represents a small portion of the stated objectives. For some reason the evaluation is grossly incomplete. Second, the evaluation does not consider the action agendas or control information previously designated for each objective. The excellent information concerning quality, quantity and timeliness was lost for most objectives. Third, the key indicators which were established for each key result area were essentially ignored, Valuable information contained in daily reports and other periodical points in reports not included in the evaluation data. Fourth, there are critical errors in the calculations of quantifiable information. For instance, a turnover of eleven persons was determined to be a 43% turnover rate when in reality it is a 18.8% rate. Fifth, the summary information and recommendations appear to be relevant to the progress of the organization. The evaluator, while incompetent in completing the

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evaluation, was able to analyze some results. Sixth, the evaluation points out the inadequate planning process which plagued this project. 131 For example, the evaluation was attempted before most of the objectives could be attained and there were too many objectives for the organization to carry out in a one year period. The causes for the failure of the organizational evaluation appear clear cut. First, the Director resigned just before the evaluation process was to take place. The new director had no commitment the project, and, in fact, the MBOR project was being criticized as a detriment to the organization because it w a s so time consuming. This change in leadership effectively eliminated the motivation to complete the project and as a result to properly complete the evaluation phase. (See Chapter V for an analysis of these results.) Second, there appears to be an unusual amount of objectives for an organization to comply with in a short period of time. Because the evaluation immediately follmved the objective setting process, there was not enough time to complete the action agendas. Third, the action agendas and controls established by supervisors and subordinates appear to be unrealistic. As one employee stated in her evaluation data gathering form, "I know I set these objectives and action agendas

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132 but they are idealistic. If I comply I will be writing reports all the time and never doing my work." Fourth, the caliber of the report indicates that the evaluator either lost motivation to complete the evaluation or he was not competent enough to do it properly. It seems inconceivable that a professional evaluator would not finish a project that was in progress for over a one-year period. The management by objectives and results project was ended by the agency administration with the submission of the final evaluation report. The organization completed each phase of the process but ended on a discouraging note, especially without utilizing the results data available to complete the cycle and readjust organizational goals. In the following sections, the complete process will be analyzed and examined. The Boulder jail experience should highlight advantages and pitfalls managers might consider when considering attempting a management by objectives and results project.

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CHAPT E R V RESULTS A N D DISCUSSIO N Strategy and Rationale The initial purpose of this naper has been to demonstrate the use of managing by objectives and results in a county jail. Secondly, it is intended to discuss and evaluate the issues of an MBOR project in relation with the demonstration model. The Boulder County effort with MBOR was a complete process; including pre-implementation evaluation. Because this organization experienced the issues of we are able to analyze the results. These results should enable others to take advantage o f Boulder's successes and to avoid Boulder's mistakes. While no project o f this magnitude will be free of e rrors, the advantage of analysis is the contribution to others attempting like endeavors. An integrative approach has been selected as a method for assessing the MBOR project results. The elements to be integrated will be the concepts and factors of MBOR which have been summarized in chapter three; the experiences of the Boulder County Corrections agency with MBOR which have been summarized in Chapter four; and the results of data collected from Boulder County Corrections employees who experienced the project.

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134 The managing by objectives and results project literature review is an examination of the process stages and it is a discussion of the issues involved with implementing this approach. The Boulder County MBOR experience is discussed stage by stage exposing and analyzing the critical issues of the approach. Finally, after the project was completed, a questionnaire was distributed to the employees of the organization. The questionnaire was designed to collect data which reflected emoloyee attitudes toward the process and and results of the MBOR project (See Appendix F for a sample questionnaire. ) Data Collection Methodology The questionnaire is a thirty-one item instrument which includes questions measuring the respondent's rank, the amount of time respondent was employed during the project, and the respondent's attitudes toward the project's process. Twenty-five employees completed the questionnaire and of these one was eliminated. This single questionnaire was not recorded because the respondent was the only person with less than six months of service during fifteen months of the project. The twenty-four responses represent 45.2% of the total staff of 53 employees and responses were requested only from persons who worked seven to fifteen months of the project time. The

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135 questionnaires were distributed in the agency four months after the termination of the project. This raises the possibility that some persons may have left the organization during or after the project thus giving greater weight to the 45.2 respondent rate. The variables in the questionnaire to be compared are the responding position or rank in the agency with their corresponding attitudes concerning specific issues or processes. First, the questionnaire item of rank was separated into three categories; Correction Specialists, Programs and Administrative persons, and Supervisors. Corrections Specialists represent the line level employee working in the operations section of the agency. Programs and Administrative persons represent the line level \•Torkers in the programs and administrative sections. The respondents in the supervisor category represent a sample of supervisors from all sections of the agency . The attitude variables include the following topics; philosophy statement, directionality in goal setting, MBOR training, manage-ment commitment, participation, team involvement, availability of progress process information, clarity of organization and job functions, performance appraisal, time consumed by MBOR process, benefits of the project, career planning and value of program evaluation.

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136 Results Analysis -Processes Philosophy Statement The philosophy or mission statement was formulated by top managers of the jail division during the pre-implementation training. This statement was quickly agreed upon by participants in that program which gave an indication that there was not much disagreement with the organization's philosophy. The statement is a broad general view of the organizatin's mission and it should be clear to outsiders the trend or purpose of the agency. While the mission statement is clear and appears relevant tomoderncorrections and jail operations, general operational goals and strategic goals were not addressed. This did not seem to hamper the first years MBOR process but lack of long range goal setting may have had an effect on the organization's lack of commitment to the project. Although the top managers created the mission statement and there was no participation by lower level employees in the process, the mission was generally accepted b y all levels. (See Table XI.) The statement had support as being realistic and the view of both management and workers as 64 % of the respondents selected this choice on the questionnaire. All of the programs and administration respondents selected this view and half of the supervisors selected this choice. It appears that two supervisors may have

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137 TABLE XI PHILOSOPHY STATEMEN T Item Super-Programs/ Correc-Total % visors Admin is-tions tration Special-ists StRtement Realistic but view of top management only 2 0 0 2 9.0 Statement Realis tic and view of management and workers 2 4 8 14 64.0 Statement Unrealistic 0 0 2 2 9.0 Don't know what the statement is 0 0 4 4 18.0 N=22 100

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participated in the philosophy statement process so they assumed it was only the view of top management. While four corrections specialists ( 18% ) did not know what the mission statement was, it is apparent that the content of the statement is agreeable among the jail staff. 138 This element of the process appears to be successful but the actions of top management staff, in formulating the statement quickly during training and not including a variety of staff, is an indication of the lack of participation used in the process and an indication of the top-down direction of implementation. Key Result Areas During pre-implementation training the top management staff also created the key result areas. The areas; staff development, resident basic needs and constitutional rights, organization dynamics, positive atmosphere, support services, security , community involvement and National Institute of Corrections involvement all represent different facets of the organization. While security , support services and resident needs represent day-to-day functioning, the other categories represent processes of the organization's behavior. This inclusion of content and process elements is a complete view of the organization. All areas relate to the mission state-ment either as a direct influence on outcomes or as support to methods of obtaining outcomes.

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139 Again, the process was completed without participation of line supervisors or line level workers. There was opportunity for participation especially in the sub-areas of each key result area. The managers did an excellent job in identifying these sub-areas but they may have created a problem by not slowing the process and including others. Key Indicators This stage of the MBOR project was designed to develop measurable indicators of performance which relate to the topics of the key result areas and subareas and which may be easily turned into action statements or objective statements. The managers gave this stage high priority by utilizing important training time of line staff for the key indicators development. The staff participated in this step by meeting in groups with their respective supervisors and brainstorming items for each key result area. The key indicators were successfully developed during this process as all work groups worked hard. This process explsed another weakness of the project, though, as some supervisors appeared not to understand key indicators. The work groups produced enormous lists of items some which were relevant indicators of the key result areas and some which were not. When the indicators

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140 were summarized by the MBOR facilitator, the final lists of measurable items bore little resemblance to the work group lists. It is possible that the discrepancy in lists could have added to frustration a:n:d disappoint-ment of line staff. Objectives, Action Agendas and Controls The objectives are action statements reflecting each indicator. The action agendas are the implementation process of each objective; who will do it and when will they do it by controlling the quality and quantity measurements assigned to each objective. This phase of the process was highly successful for the organization, at least, successful for continuing the process in an orderly and complete manner. The objective statements were properly stated and reflected a comprehensive view of the organization. When the HBOR planners discovered tha t the process required preimplementation preparation, objectives and action agendas were prepared to deal with this problem. The objective setting process did have drawbacks. Again, there was minimal participation by line staff in the objective setting process among the operations teans. It appears that the operations team leaders did not understand the process requirements or they did not have the time to implement the process properly. The programs and administrative team leaders involved their subordinates

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141 in collaborative obiective settinq sessions while the operations leaders relied on one or two interested individuals. This situation will be reflected throughout the project as performance, results and attitudes of corrections specialists are far below the level of programs and administrative persons. During this phase, the planners discovered they could not maintain their previously designated time table. This was an additional clue that the managers did not clearly understand the scope of the project they had initiated or that they understood the implicationsofthe process. The number of objectives created v.ras also an indication that the project was more than the organization was prepared for as over 150 objective statements were formulated. While this number of objectives was obviously too much for the organization to complete or evaluate, there was no attempt to readjust the project. Overall, the objectives, action agendas and controls are idealistic examples of how the process should be completed. Some people in the agency exhibited that they were knowledgeable and skilled in preparing action statements. The program's team leader and the adminiistrative supervisor demonstrated skills in collaborative objective setting and job clarification. The objectives stand as models to other correctional facilities exemplifying elements of corrections jobs, programs and functions.

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142 A major purpose of the objective setting process w a s to clarify expectations of the organizatio n and of supervisors for line level employees. The following table shows employees attitudes towards the clarity factor. TABLE XII CLAP.ITY OF INDIVIDUAL JOB ASSIGNHENT AS A RESULT OF THE HBOR PROJECT Item Super-Programs/ Correc-visors Admin is-tions tration Special-ists Expectations clearer to a great degree 0 1 0 Expectations clear to a moderate degree or small degree 3 3 4 Expectations not clearer 0 0 10 N=21 Total 1 10 10 The negative impact of objectives c oncerning % 4 48 48 100 improvement of job assignment clarity is clear for correc-tion specialists as all of persons stating their

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143 job was no clearer as a result of the MBOR program were operations personnel. Only one person stated their job was clearer to a great degree and 48 % stated their job was moderately clearer. These results are disappointing considering the number of individual superior-subordinate collaborative goal setting sessions held by the program's team leader and the administrative supervisor. The data does emphasize the negative position of the operations team possibly reflecting the unpreparedness of implementation by operations supervisors. Performance Appraisal Developing a comprehensive and modern personnel performance appraisal system was a major goal for implementing the MBOR project. Preliminary objectives included (1) developing job criteria, (2) developing a behavioral anchored performance evaluation scheme, (3) evaluating the performance of all indiv iduals in the agency, and performing personal needs assessments for individual career planning. The agency developed excellent job descriptions and criteria for programs and administrative positions. As previously stated these elements were created through collaborative superior-subordinate problem solving sessions and the results reflected the efforts of these individuals. The operations staff developed job descriptions without accompanying specific objectives or qualitative and

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144 quantitative criteria. The products developed by the operations staff were also completed through the efforts of individuals. One major drawback to the operations effort was that this section has many officers working in a few different positions in comparison to programs and administrative persons who each have a specific job. This factor made it necessary and easier for programs and administrative to with supervisors on an individual basis. The organization attempted to develop a behavior based appraisal system with negative results. The project was initiated as a collaborative effort between busi-ness college students and operations staff. The operation line level staff aborted the effort midway through the project. The reasons for thisfailure may have been created by poor organizatin of the project or because of attitudes of the c o rre-r::.:t"l.o h s specialists. In either regard, failure at this stage represented a serious problem with the entire MBOR program as performance appraisal represented a significant portion of desired results. The following tables contain data concerning attitudes related to the performance appraisal effort. The respondents indicated (52.4% ) that, generally, there was no change or a small degree of change in the method of performance appraisal since the MBOR project was initiated. Again, the majority of individuals

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145 TABLE XIII PERFORMANCE APPRAISAL IS BASED ON JOB BEHAVIOR Item SuperPrograms/ Correc-Total % visors Admin is-tions tration Special-ists Great Degree 1 3 4 19.1 Moderate Degree 2 2 2 6 28.5 Small Degree or no change 1 1 9 11 52.4 N=21 100 perceiving little or negative effects by the program were corrections specialists working in the operations section of the organization. It is interesting that compared to programs and administrative persons who say a moderate change, these corrections specialists saw a great degree of change in the performance appraisal system. This indicates that there were some positive effects as a result of the behavior based job criteria project. Table XIV is concerned with the supervisors' efforts in promoting individual goal setting and mutual goal determination. This table reflects the fact that some super-visors did encourage individual goal setting, suggesting

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146 TABLE XIV SUPERVISOR ENCOURAGES INDIVIDUAL GOAL SETTING SuperPrograms/ Correc-Total % visor Admin is-tions tration Special-ist Great Degree 1 1 0 2 7.7 Moderate Degree 3 3 4 11 47.9 Small degree or not at all 0 0 10 10 43.4 N=23 100 that during the performance appraisal session super-visor and subordinate mutually discussed individual and organization! goals. While the majority of respondents (55.6%) saw supervisors as encouraging goal setting at least moderately , all ten of the respondents (43.4% ) perceiving little effort were cor-rections specialists. It is important to note that all supervisors, programs persons and administrative staff saw positive results in this area of the MBOR project. Table XV contains this analysis by displaying data concerning superior-subordinate problem solving modes.

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147 TABLE XV SUPERVISOR HELPS I N PERFORMING JOB Super-Programs/ Correc-Total % visor Adminis-tions tration Special-ists Strategy/ Goals concern-ing problems solved colla-boratively 1 3 7 11 50.0 Supervisor suggests methods to solve prob-lems 1 1 1 3 13.8 Supervisor sometimes assists in solving problems 2 0 2 4 18.1 Supervisor rarely as-sists in solv-ing problems 0 0 4 4 18.1 n=22 100

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148 A salient number of individuals (50.0%) viewed supervisors as collaboratively solving work related problems. This group includes an important number of corrections specialists. While this factor does not relate directly to performance appraisal sessions, it does indicate that supervisors are attuned to increasing positive performance and individual motivation by working with subordinates in a democratic manner. There is also no indication that the MBOR project created this collaborative atmosphere but it is certainly an important value of MBOR and progressive performance appraisal. Table XVI relates directly to performance appraisal by reflecting information on the quality of feedback received from supervisors. The largest category of respondents (45.4) reported they only received feedback through official sources and an important number, 27.3 stated they received little or no feedback from supervisors. It is important to note that all programs and administrative employees stated they received helpful objective feedback from their supervisors. The difference between programs and operations is understandable in regard to the previous data we have analyzed reflecting the positive approach of some supervisors and the poor performance of operations supervisors. The supervisors responding to this questionnaire item reported fairly negative results considering the top management's

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149 TABLE XVI RELATED FEEDBACK Super-Programs/ Correc-Total % visor Admin is-tions tration Special-ists Receive objective feedback 1 4 1 6 27.3 Only feed-back via official channels 2 0 8 10 45.4 Little feedback l 0 5 6 27.3 n=22 100 commitment to the proqram. It is possible that the new director also did not highly value objective feed-back causing the supervisors' low scores. A final aspect of performance appraisal is the supervisor involvement in employee career planning. Table XVII reflects employee view of the organization's career planning efforts. The majority of respondents (60.0% ) reported that supervisors took little initiative in discussing career

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TABLE XVII SUPERVISOR INVOLVEMEN T IN EMPLOYEES CAREER PLANNING SuperPrograms/ Correc-visors Adminis-tions tration Special-ists Supervisor/ Subordinate collaborative planning 1 3 3 Supervisor has moder-ate interest 1 0 1 Supervisor takes no initiative 2 1 10 150 Total % 7 40.0 2 10.0 13 60.0 n= 22 100 plans wi t:h subordinates. While these answers are a negative assessment of this aspect of performance appraisal and staff development an important number (40.0%) report that supervisors and subordinates col-laboratively discussed employee career plans. Again, programs and administrative employees were on the positive end of the continuium indicating that their

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151 supervisors were proficient in operationalizing positive aspects of the MBOR concepts. In summary of the performance appraisal data, there are indications that much of the MBOR effort in this area failed and there are indications that some supervisors became (or already were) excellent managers of the performance appraisal system. The major problem with this area is the failure of the jail staff to develop the behavior anchored rating system. While this failure may be an indication of other organizational problems or MBOR project problems, staff certainly had an opportunity to create an appraisal system which was free of arbitrary decision making by supervisors. A second failure is the apparent lack of managers to implement progressive performance appraisal. The poor results in the areas of mutual goal-setting, behavior based appraisal, mutual problem solving and career counseling are indicators that the MBOR project was weak in the area of performance appraisal. In contrast, positive results were continually recorded in all areas to performance appraisal by programs and administrative personnel. It appears that supervisors in these functional areas became better skilled and possibly committed to the process. Programs and administrative supervisors may have been aided by the specificity of their employees job roles as compared to the general aspects oftheoperations teams.

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152 Program Evaluation Theprogramevaluation phase of the MBOR process requires analysis of the results of the program and comparison of these results with the previously stated goals and objectives. While this phase is often a low priority of organizations or is difficult for organizations to complete, the Boulder MBOR project failed at this point because of a lack of interest in MBOR. It appears that there were two reasons for the projects termination at this point. First, the director resigned taking away the top management commitment to the project and second, b y the time objectives had been formulated there was little time to complete the large number of objectives successfully. As a result, the final evaluationreportis grossly inadequate to properly assess the progress of the agency. In fact, the evaluation was never completed for approximately 30% of the objective statements. It is apparent from the results of the evaluation phase, the MBOR program was allowed to end. The following tables reflect the ineffectiveness of the evaluation effort. Table XVIII discusses the evaluation as an asset to organization problem solving and Table XIX assesses how widely known were the results of the evaluation.

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153 TABLE XVIII RESULTS OF EVALUATION PHASE ASSIST ORGANIZATION PROBLEH SOLVING Super-Programs/ Correc-Total % visors Adminis-tions tration Special-ists Great degree 0 0 0 0 0 Moderate degree l 2 4 7 33.3 Small degree or not at all 3 2 9 14 66.7 n= 21 100 An overwhelming number of respondents (66.7% ) saw the evaluation effort as being ineffective. No one in the organization veiwed the results as a great asset in solving organizational problems and only one supervisor saw the evaluation as being a moderate help. Almost identical to the data concerning effec-tiveness of evaluation results, the respondents (70.0%) stated that the evaluation results were generally unknown to staff. All supervisors stated they did not know the results and most correction specialists responded in the same manner. Only programs or administrative people stated they had a moderate degree of knowledge of evaluation data.

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TABLE XIX EVALUATION RESULTS ARE GENERALLY KNOWN TO STAFF Great Degree Moderate Degree Small degree or not at all Supervisors 0 0 4 Programs/ Administration 0 2 1 Correc-Total tions Special-ists 0 0 4 6 9 14 N= 20 154 % 0 30.0 70.0 This factor explains to a degree the staff's view that the evaluation data was ineffective in resolving organizational problems. Obviously if the information was not made known to managers and workers there would be no opportunity to positively utilize the evaluation. The management's failure to disseminate the information is a strong indication that the previous commitment to the MBOR program had dissolved. Corrective Action This step in the MBOR process is intended to make use of the program evaluation by causing change in the organization based on the results. Because the program evaluation was ineffective the corrective action phase

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155 was not possible. The program had terminated before this action could be taken. Results Analysis -Implementation Pre-implementation Organization Analysis When reviewing the literature in Chapter III we discovered that successful MBOR companies were very thorough in studying the issues of MBOR and studying their organizations. The agencies thinking about an MBOR project must determine if the organization is ready for such a project. Boulder County corrections managers obviously assumed that the project would be good for the organization but they did not attempt to examine MBOR issues, theorganization'satmosphere or the management information system. There was no time alloted to an in-depth analysis of the organization variables which would affect the project. The top managers began to implement the project after one day of overview training before all issues were exposed and before all managers were committed to this type of a project. Boulder apparently attemp ted to implement the system overnight without regard to the repercussions. Managers also assumed that a value of the organization was its high participation level before the project. They theorized that the high participation of employees would naturally facilitate implementation

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156 of the MBOR project and that the project would add to that high participation level. Table XX indicates that the managers had assumed in error. This factor emphasizes the organization's need for a pre-implementa-tion in-depth organization analysis. TABLE XX PARTICIPATION I N DECISION M AKING BEFORE MBOR PROJECT IMPLEMENTATION High Moderate Low or none Supervisors 0 2 2 Programs/ Administration 0 3 1 Correc-Total tions Special-ists 0 0 4 10 11 14 n= 24 % 0 41.7 58.3 100% This data indicates that management made a serious miscalculation. Not one respondent stated that there was a high amount of participation in organization decision making. In fact, the majority (58.3%) respon-ded that there was low or no participation by subordin-ates. This view was shared by some supervisors and a large number of correction specialists. This infor-mation may be indication of the success or failure of programs and operations. As the project developed,

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programs and administration persons generally viewed higher participation in decision making than did the operations corrections specialists. This information was available to top managers if they had chosen to analyze the organization's readiness for managing by objectives and results. 157 They failed to examine the issues or the organizational health and the result was a poorly implemented program and, as a result, a program failure. Pre-implementation Training The purpose and importance of pre-implementation training has been clearly stated. Basically, training is required to gain acceptance of employees to the program and to teach individuals the skills necessary to carry out the program. By being exposed to the processes and issues of employees are expected to assist rather than resist the organization change caused by the project. Employees, especially managers, must also develop new skills to properly implement MBOR. Speci fically in the areas of performance appraisal and goal setting, managers need to be proficient. The Boulder managers did not apprehend the serious impact of this implementation uhase. The pre-imulemen tation training was a sunerficial two-dav seminar directed only to top managers. In fact, much of this training time was devoted to actually formulating mission

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158 statements and key result areas. There was little organized training for the remaining employees of the organization other than process explanation during team meetings or individual supervisor-subordinate inter-actions. As a result, the organization, as a whole, did not learn the MBOR process; in general, the managers did not achieve organization-wide acceptance of the concepts and employees did not learn the necessary behavior to make the project a success. It is apparent that programs and administration team leaders developed skills which positively effected their sections. In contrast, the operations team leaders did not learn the MBOR process adequately enough to produce quality results and then appeared deficient in superior-subordinate per-formance appraisal skills. Table XXI exposes the lack of MBOR training as vie\'led by employees. Adequate Inadequate TABLE XXI HBOR IMPLEMENTATION TRP._IN ING Super-Programs visors Administration 3 2 1 2 Correc-Total tions Special-ists 1 6 14 17 n= 23 % 26.1 73.9 100%

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159 The lack of proper training is emphasized as 73.9% of employees responding stated that training was inadequate. The majority of respondents (14) stating training was inadequate were correction specialists while other categories of employees were split between adequate and inadequate. The majority of supervisors viewed the implementation training as adequate. Again, there is a difference between the preparation of operations and personnel in other sections and there is a difference in the outcomes of MBOR between these groups. Management Commitment and Support We have determined that a critical factor in successfully implementing management by objectives and results is clear commitment and support to the project by the chief executive officer and the top management staff. While it is important that management possess commitment, it is equally important that subordinates view management as being supportive and committed. Boulder's top management appeared to be generally committed to the project especially the director. The project was continued despite barriers and failures to meet scheduled timetables. The managers continued to implement and complete the project to the critical point when the director resigned. It is apparent that the

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160 new director was not committed to the project as it was allowed to die. Table XXII presents data which exposes employees views concerning top management commitment to the .MBOR project. TABLE X XII MANAGEr'lENT COMMITMENT TO MBOR PROJECT Super-Programs Correc-Total % visors Admin is-tions tration Special-ists Great Degree 2 2 3 7 33.5 Moderate Degree 2 2 4 8 38.0 Minor Degree 0 0 6 6 28.5 N=21 100% Generally employees view management as being committed to the project. Only 28.5% saw managers as giving a minor degree of support to the project. All supervisors and program s or administrative staff view managers as being at least moderately supportive of MBOR. This positive factor should have added to the implementation process and probably-was a major contributor to the progress the project made.

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Implementation Preparation and Pre-design Researchers have reported that a critical stage of implementing MBOR is the pre-design stage. The importance of pre-implementation has been emphasized in the literature and previously in this paper. 161 The Boulder managers were impulsive in their implementation of the MBOR project as there was no preimplementation analysis of the organization and there was only a stage-by-stage timetable which served as a pre-design implementation plan. This superficial preparation caused the project to be started too quickly and employees to gain skills and support to ensure success. Directionality of Implementation In our discussion of the issues concerning methods of implementating MBOR, we determined that there were several approaches. First, the project could be implemented by top management and allowed to filter down the organization levels. This top-down approach is seen by some authors as the natural process of management. A second view is that the process be initiated by workers in a bottom-up approach. We determined that the most effective approach is an "all at once" or totally integrative approach. Directionality of implementation is important to gain continued commitment to the success of the program. The Boulder project appeared

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162 to be a top-down approach to implementation. In fact, top managers completed several steps of the process before other employees were informed that an MBOR project had been implemented. In some functional areas (programs and administration) there was a joint implementatin effort in goal setting when objectives for specific jobs or functions were developed. Table XXIII displays data which reflects employees views concerning directionality of MBOR goal setting. While our value has been that implementation be directed at all levels and there be emphasis on mutual goal setting, only 17.4% of the respondents reported that goal setting involved collaboration between supervisors and subordinates. In relation to the view concerning mutual goal setting 26% of the respondents saw goal setting being accomplished by subordinates and 34.7% having goals set by management. While the organizations impressions are divergent, it does appear that the Boulder jail managers attempted to involve subordinates in the goal setting process but not in the overall MBOR implementation process. Participation of Employees in Implementation Participation of all employees, both subordinates and supervisors, is a critical factor contributing to the success or failure of MBOR. The salient results of the degree of participation involve trust of managers,

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163 TABLE XXIII DIRECTIONALITY IN GOAL SETTIN G Super-Programs/ Correc-Total % visors Admin is-tions tration Special-ists Supervisor and subordin-ates set goals jointly 0 2 2 4 17.4 Top management set goals 2 1 5 8 34.7 Subordinates set goals 2 1 3 6 26.0 Unknown who set goals 0 0 5 5 21. 9 n= 23 100% commitment to the process, responsibility in completing goals and potential creativity among workers. Partici-pation also ensures that employees will be aware of the progress and status of MBOR. This is an important elment of successful programs. There is also some emphasis on using a team approach to creating a parti-cipative atmosphere.

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As previously noted, the Boulder managers assumed there was a high degree of participation 164 before the project was implemented but they were in error. In the initial processes there was little participation by employees. While workers did identify key indicators, the results of this phase had to be redone and summarized. The workers were organized into teams to facilitate participation in the process. During the performance appraisal and job criteria development phase, superiors and subordinates worked together to create effective objectives. The objective setting stage allowed much participation by employees and the results were above average. Table XXIV reveals data concerning employee attitudes in relation to the level of participation during the process and Table XXV examines the amount of emphasis on team involvement. A large amount of respondents (63.9%) reported that participation during the MBOR process \vas low. A closer look at the data reveals that most of the low participation respondents were correction specialists revealing the possibility that they were allowed little participation by their supervisors. All programs and administrative staff reported a moderate or high degree of participation which contrubutes to the differences in MBOR results between the working sections.

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165 TABLE XXIV PARTICIPATION OF EMPLOYEES IN r.1BOR PROCESS Super-Programs/ Correc-Total % visors Admin is-tions tration Special-ists High Degree 0 1 1 2 9 Moderate Degree 2 3 1 6 27.1 Low Degree 2 0 12 14 63.9 n= 22 100% TABLE XXV TEN1 I NVOLVEMENT Super-Programs/ Correc-Total % visors Adminis-tions tration Special-ists High Degree 1 1 3 5 23.9 Moderate Degree 3 2 2 7 33.3 Low degree 0 1 8 9 42.8 n= 21 100%

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166 Again, respondents viewing a low degree of team involvement were correction specialists. Most respondents 57.2% perceived a moderate or high degree of team involvement in participating in the MBOR process. Over all, corrections specialists perceived low participation either on a team basis or an individual basis. Others perceived higher participation levels in the process. Reinforcement Another critical element for success in implementing an MBOR project is a design for reinforcing the process and training previously established. While various methods of reinforcement have been suggested, i.e., additional training, task forces or compensation, a primary method o f disseminating basic progress information concerning the project. The Boulder managers had no design for transferring information other than posting objectives and results in conspicuous places. The Boulder project did feature much individual contact between superiors and subordinates but the failure of the evaluation and subsequently the project is exemplified b y employees lack of knowledge of results. Table XXVI examines data concerning the issues of informing employees about project progress. While the majority of employees (61.9%) perceived that they were not informed of the MBOR progress, the respondents were mainly corrections specialists. All

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167 of the programs and administrative persons perceived that they were informed to a moderate degree and only two corrections specialists were in this category. TABLE XXVI EMPLOYEES INFORMED OF MBOR PROGRESS High Degree Moderate Degree Low Degree or accountable Supervisors 0 2 1 Programs/ Administration 0 4 0 Corrections Specialists 1 1 12 Total 1 7 13 N= 21 % 4.8 33.3 61.9 100% Again, the data exposes major differences between corrections specialists views and programs or adminis-trative personnel views. The reinforcing efforts of management were successful to a degree but obviously failed with corrections speciali ,sts. Conclusion Our initial purpose of documenting and analyzing the Boulder County Corrections Management by Objectives and Results (MBOR) project was to present a model manage-ment technique to jail managers. U.S. jail managers

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have been faced with the dilemma of changing their organization's philosoPhies and operations as a result of recent court decisions and progressive professional jail standards. The Boulder County jail had no other like operation or organization to model as they changed their philosophy and operation. After two years of organization change the jail managers determined that 1ffiOR was a needed management tool to overcome the agency's disorganzation. 168 Our second purpose for examinino the Boulder jail's efforts were to expose, discuss and evaluate the processes and issues of MBOR to further add to management research in this area. In conjunction with these basic purposes or missions, the project has exposed a management approach which is viable for county jail administration. The organization has been described and the MBOR processes have been related to the functioning of that organization. The message to other jail managers should be clear in regard to advantages and pitfalls of attempting a reorganization project of this magnitude. The Boulder jail managers chose MBOR as its change tool for the following purposes. First, MBOR supporters claim that the process clarifies organizational functions. Supervisors and subordinates increase communications and

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169 their expectations and jobs are increasingly clarified. Second, the rlliOR process is a process of continual review and change. This aspect is imoortant to an agency which desires to be continually progressive and avoids stagnation. Because of this element, requires the organization to develop an effective management information system; continually collecting data, efficiently and effectively storing information, and developing an information retrieval system. Third, the Boulder jail managers planned to utilize to strengthen employee commitment and responsibility to the organization by increasing the participation level or ensuring continual high Finally, the organization intended to utilize to produce factual data concerning the agency's operatins for dissemination to community agencies. Boulner managers also considered the process to be simple and flexible; allowing them to alter the process or change goals whenever the organization demanded change. With these concepts and goals in mind, the agency initiated the MBOR project during a two-day pre-implementation training seminar. The implementation was hurried and without pre-implementation organizational analysis or pre-implementation training. While the jail MBOR planners were impulsive in initiating the process, they did develop a universally accepted mission statement and clear key result areas and key result sub-areas.

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170 The agency had implemented in a top-down directionality manner. Top managers had become involved and committed to the process before other employees were aware of the project. This basic failure to allow participation was a violation of MBOR principles and violated the jail managers' original intention to strengthen high participation levels. Had managers completed a preimplementation organization analysis, they might have realized that the organizationwas, in fact, not ready for implementation of a comprehensive organizational change technique such as M BOR. The process was continued and participation of employees was included when work teams identified key indicators. This phase of the process appeared successful but inherent problems with the overall project surfaced. Because of the activity and results of the teams, it became apparent that ooerations team leaders were not skilled in MBOR implementationtechniquesnor were they completely knowledgeable of the process. This factor plagued the project throughout its continuation but nothing was done b y management to correct the problem. Objectives, action agendas and controls were created by team leaders, some employees and facilitators. These objective statements and corresponding action agendas stand as excellent examples to other jail organizations for two reasons. First, they are out-

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171 standing examples of objectives andactionagendas. The results ofthisprocess are models for any organization attepting MBOR. Second, the objectives clarified the functions of a modern jail operation. Jail managers will be able to utilize the objectives to formulate operations in their respective jails at times of organizational change. The Boulder managers had intended to develop a progressive and comprehensive performance appraisal system as a result of the process. This plan was partially successful and partially a fail-ure. The programs and administrative teams leaders were able, through collaborative supervisor-subordinate probelm solving sessions, to develop specific job descriptions, objectives and evaluation criteria. The employees of these sections reported positive experiences in relation to these organizational clarification efforts. It was apparent that the programs and administrative team leaders were skilled in implementing the process. In contrast the operations team leaders produced poor products when developing job descriptions and objectives. They were unable to create evaluation criteria as a behavioral anchored rating system project, designed specifically for corrections specialists, failed. The failure of the operations performance appraisal system was an indication of two problems. First, the operations team leaders were again deficient in their display of

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172 skills a •nd knowledge and, second, the operation corrections specialists were not committed to the program. These problems were never corrected and they had some negative effects on the overall failure of A major deficiency of the program was the final evaluation of the objective statements and the action agendas. The evaluation was poorly done and it was not disseminated to agency managers or employees. There are two apparent factors for this failure. First, the objectives had action agendas which were unrealistic for employees to complete in the respective time frames. Second, the director resigned at the time the evaluation as being formulated. As a result, the evaluation was never completed. The project was implemented with several inher-ent problems but the managers also displayed some attributes. As previously stated, there was no pre-implementation design or pre-implementation analysis of the organization. The managers had assumed their was a high participation level but, in fact, there were problems with the operations dynamic. The organization implemented the process from the top-down which displayed to the employees the high level of commitment to the project but it did eliminate opportunity for workers' participation. Line level employees were included in the process by program and

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173 administrative team leaders. Program and administrative personnel participated in collaborative objective setting sessions which supported the integrative approach. The Boulder County jail MBOR project was terminated by jail managers after fifteen months of effort. The a gency's exoerience highlighted several mistakes that will be barriers to a successful program. The agency also displayed several advantages for implementing an MBOR program. The results of this paper stand as a demonstration for county jail managers and other organization managers to assess how an agency may be changed through the use of management by objectives and results.

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BIBLIOGRAPHY Action for Mental Health. Joint Commission on Mental Illness and Health. Washington, D.C.: U.S. Government Printing Office, 1961. Ambrose v. Malcolm 414 F Supp. 485, 487 S.D. N.Y. (1976.). 174 Attica: The Official Report of the New York State Special Commission on .l-_ttica. New York: Bantam Books, Inc., 1972. Carvalho, G.F. Installing Management by Objectives: A New Perspective on Organization Change. Human Resource Management, 1972, (2), 23-30. Corey, M.O. Management by Objectives. Training and Development Journal, 1967, 21 (4), 57-63. Cromwell, Paul F. Jails and Justice. Springfield, Illinois: Charles C. Thomas, 1975. Drucker, P.F. Managing for Results. New York: Harper and Row, Publishers, 1964. Drucker, P.F. What Results Should You Expect? A User's Guide to MBO. Public Administration 1976, (1), 12-19. Earle, Alice Morse. Curious Punishments of Bygone Chicago: Herbert S. Stone Co., 1896. Estelle V . Gamble, U.S., 50 L.Ed. 2d251, S. Ct. (1976). Fishman, Joseph F. Crucibles of Crime: The Shocking Story of the American Jail. New York: Cosmopolis Press, 1923. French, W. L., & Hollmann. R. W. Management by Objectives: The Team Approach. California Management Review , 19 7 5 , l2_ ( 2 ) , 13 2 2 . Granger, C. H . The Hierarchy of Objectives. Harvard Business Review , 1964, (3), 63-74. Hamilton V. Love, 328 F. Supp. 1182 (E.D. Ark. 1971. Harlow, E.; Weber, R.; and Wilkins, L.T. Crime and Delinquency Topics; A Monograph Series, National Institute of Mental Health Center for Studies of Crime and Delinquency. Washington D.C.: Government Printing Office, 1971.

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Hatry, Harry P. "Issues in Productivity Measurement for Local Governments", Public Administration Review, Vol. 32. Nov/Dec (1972). 175 Hatry, Harry P. and Fisk, Donald M. Improving Productiv ity and Productivity Measurement in Local Governments, National Center for Productivity and Quality of Work Life. Washington, D.C.: U.S. Government Printing Office, 1971. Hatry, Harry P.; Winnie, Richard F.; and Fisk, Donald M. Practical Program Evaluation for State and Local Government Officials. The Urban Institute, Washington, D.C., 1973. Hoffer, Eric. The True Believer. New York: Harper and Brothers, 1951. Horgan, N.J., & Floyd, R. P., Jr. An MBO Approach to Prevent Technical Obsolescence. Personnel Journal, 1971, 50, 687-693. Holt v. Sarver, 309 F. Supp. 362, 381 (E . D . Ark 1970), aff'd, 442 F.2d 304 (8th Cir. 1971). Howard, John. State of Prisons in England and Wales, 1977. Humphrey, A.S. Review, MBO Turned Upside Down. 1974, 63, 4-8. Management Hunt, Morton M. Mental Hospital. New York: Pyramid Books, 1962. Huse, E .F., & Kay, E. Improving Employee Productivity through Work Planning. In Blood, J.W. (Ed.), The Personnel Job in a Changing World. New York: American Management Association, 1964, pp. 298-315. Ivancevich, J.M. The Theory and Practice of Management by Objectives. Michigan Business Review, 1969, 21 ( 2) 1 13-16 • Ivancevich, J.M., Donnelly, J.H., & Lyon, H . A. Study of the Impact of Management by Objectives on Perceived Need Satisfaction. Personnel Psychology I 19 7 0 I 2 3 ( 2) I 13 9 -151 • Jun, J.S. Management by Objectives in the Public Sector. Public Administration Review, 1976, 36 (1), 1-5. Kirchoff, B. A. A diagnostic Tool for Management by Objectives. Personnel Psychology, 1975, (3), 351-364.

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176 Lasagna, J. B. Make Your Pragmatic. Harvard Business Review, 1971, !2_ (6), 64-69. Levinson, H. Management by Whose Objectives? Harvard Business Review, 1970, (4), 125-134. McaNamara, Donel E . J. "The Medical Model in Corrections", Criminology Vol. 14, No . 4 , Feb. 1977, 439-448. Mahler, W. R. Management by Objectives: A Consultant's Viewpoint. Training and Development Journal, 1972, 26 (2)' 16-9. Mark, Jerome A . "Meanings and Measures of Productivity", Public Administration Review, Vol. 32, Nov./ Dec. (1972) McConkie, Mark L. Management by Objectives in a Public Agency: Defining the Concept and Testing its Application. University of Georgia, 1977. McConkey, D . D. Implementation The Guts of MBO. S .A.M. Advanced Management Journal, 1972, 37 (5), 13-18. Measurinq the Effectiveness of Basic Municipal Services. International City Managers' Association, 1974. Meyer, H. H., Kay, E., & French, J . R. P., Jr. Split Roles in Performance Appraisal. Harvard Business Review, 19 65, ( 1) , 123-129. Mobley, w . H . sation. The Link Between MBO and Merit CompenPersonnel Journal, 1974, 53, 423-427. Moore v . Janing, D. Neb. Dec. 29, 1976 (Civil No. 72-0-223) . Morris, Norva l and Hawkins, Gordon . . "Rehabilitation: Rhetoric and Reality", Federal Probation Vol. XXXIV, No. 4, Dec. 1970, pp. 9-17. Morrisey, G. L . Management by Objectives and Results. Reading, Mass.: Addison-Wesley Publishing Company, 1970. Morrisey, G. L. Making rmo Work --The Missing Link. Training and Development Journal, 1976, (1), 3-ll. Morrisey, George L . . "How to Implement MBO in Yur Organ ization Unit", Training and Development Journal 1977' 31 (4)' 8-13.

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177 Moynahan, J. M. The American Jail: Its Origin and Development", The American Society of Criminology, Atlanta, Georgia, November 16-20, 1977. Odiorne, G. S. Management by Objectives: A System of Management Leadership. New York: Pitman Publishing Company, 1965. Odiorne, G.S. MBO in State Government. Public Administration Review, 1976, (1), 28-33. Odiorne, G. S. Managing Bad Luck by Objectives. Michigan Business Revie"YT, 19 7 4, l_ ( 3) , 8-13. (b) Raia, A. P. Goal Setting and Self-Control. The Journal of Management Studies, 1965, (1), 34-53. Raia, A . P. A Second Look at Management Goals and Controls. California Management Review, 1966, 13 (2)' 49-58. Raia, A . P. Manaqing by Objectives. Glenview, Ill.: Scott-Foresman and Company, 1974. Rothman, David. The Discovery of the Asylum. Boston: Little, Brown and Company, 1971 .. Schleh, E. C. Management by Results. New York: McGraw-Hill Book Company, 1961. Singer, Richard G., "The Evolution of Judicial Involvement" in Jails and Justice, Paul F . Cromwell, Jr., Editor. (Sprinqfield, Ill.) Charles C. Thomas, Publisher, 1975. The High Cost of Building Unconstitutional Jails, National Clearlnghouse for Cr1m1nal Just1ce Plann1ng and Architecture, University of Illinois at UrbanaChampaign, Urbana, Ill., 1977. Tosi, H. L. Management Development and An Interrelationship. Management of Personnel Quarterly, 1965, 4 (2)' 21-27. Tosi, H. L., & Carroll, S. J. Some Factors Affecting the Success of ' Management by Objectives'. Journal of Management Studies, 1970, 7 (2), 209-223. Tosi, H . L., Rizzo, J. R., & Carroll, S. J. Setting Goals in Management by Objectives. California Man agement Review, 1970, 12 (2), 70-78.

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Trop v. Dulles, 356 U.S. 86, 100-01 (1958). Valvano v . Malcolm 520 F . 2d 392 (2nd Cir. 1975). Walker, Peter. Punishment, An Illustrated History New York: Arco Publishing, Inc., 1973. Weiss,Carol H . Evaluation Research. Inglewood, N.J.: Prentice-Hall Publishers, 1972. White, D. D. Factors Affecting Employee Attitudes Toward the Installation of a New Management System. Academy of Management Journal, 1973, 16, (4)' 636-646. 178 White, D. D. Effects of a Management by Objectives System in a Public Health Care Facility. Journal of Business Research, 1974, 289-302. Wright v. McCann, 387 F.2d 519,522 (2d Cir. 1967.).

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Preface to Appendices The following appendices relating to MBOR indicators, objective setting, action a gendas, job criteria objectives and organization objectives (A.B.C.D) are copies of the "working papers" used by the Boulder County Corrections Division employees to complete their project. Appendix E, the Boulder County Corrections MBOR Evaluation, was completed by Michael D . Williams in concert with the corrections division staff. The primary roles in formulating the working papers were assumed by the corrections division team leaders. The team leaders spent many hours working with the evaluator, in the management team training and with their respective working teams. These persons, for this project, were Marie Mactavish, Jeffrey Uhls, Loretta Cihack, Roger Cabbage and Gloria Vigil. A special acknowledgement is accorded to Marie Mactavish, the programs team leader, Michael Williams, the evaluator and the programs staff for designing and implementing a thorough and effective Management b y Objectives and Results system in a county jail setting. The "working papers" do not represent a published document. They are notes, reports and flip chart pages produced b y working pairs, committees and jail teams.

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APPENDIX A Team Key Indicators

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Team Key Indicators Operation A Key Indicators I. STli..FF DEVELOPMENT A. Training 1. voluntary vs. mandatory 2. relates to team day 3. training for new employees -consistent -by time of arrival and content 4. types 180 (a) policy training -procedures standards *(b) inter (personal/team) relationships/ human relationships (1) teams -value clarification (2) personal (c) procedures, legality (d) self defense training -either more often or not at all; better training *(e) more time for team buildin9 (f) training in items management considers high priority 5. have training no within X hours of time C/Ss get of work (timeliness) B. Career Planning *1. career counseling (confidentiality) C. Morale 1. absenteeism 2. turnover *3. interteam conflicts 4. staff/management conflicts 5. interpersonal conflicts (subjective) D . Performance *1. peer evaluations 2. more supervisors involvement in day to day activities 3. develop new evaluation form E. Selection 1. more staff involvement staff on oral boards, or informal interview with persons, i.e., additional input prior to (a) hiring and (b) promoting 2. new promotional policy (more democratic)

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III. ORGANIZATIONAL DYNAMICS A . No comment B. Change -too much 1. need more follow through 2. change is not really change -just follow through 3. line staff evaluation is not listened to *C. High Quality 1. feedback -more positive 2. trust 3. CIES IV. POSITIVE ATHOSPHERE A. Interpersonal Relationships 1. Staff -residents (a) movement to modules 181 (b) tabulating positive feedback (residents) (c) incidents (staff/residents) (d) pass on book (e) tension -subjective -resident opinion -by area, i.e. master control, booking room, green, etc. (f) CIES 2 . Residents -residents (a) CIES (b) participation (c) incidents within module (d) pass on book B. Low Tension Level 1. fear (subjective, similar to III A 1 (e) 2. policy change (i.e. Blue A) 3. security vs. paranoia 4. pass on of 'negative' and 'positive' attitudes to new people 5. consistency in dealinq with residents according to policy 6. volume of people (a) in the facility (b) in the booking room *Indicates high priority

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182 C. Opportunity for personal growth 1. Staff (a) knowledge (b) skill development -personal growth (c) job satisfaction (d) close personal relationships 2. Residents (a) GED (attendance) (b) a11 programs (attendance) D. Individuality of residents 1. voluntary participation in programs VI. SECURITY A . Inmate and staff safety 1. incident reports 2. medical reports (from assaults) 3 . medical dollar expenditures 4 . fear and paranoia *5. functioning of security devices -intercom s ystem, doors, alarms , cameras, etc. B . Escapes 1. volume 2. convictions C. Contraband 1 . number of items 2. types of items -guns, dope, etc. 3. number of convictions and number of charges and reasons why the case succeeded or failed 4 . Clarification of searches guidelines (a) who does them? VIII. N .I.C. (b) who is searched (everyone?) (c) when? (d) what type of search? A . Tours, Conferences 1. make people on tours a'.vare of what the jail is attempting to accomplish -philosophy. 2. make C/Ss aware of their rights with tour people. 3. What is the interest of Boulder County Corrections in allowing tours in the facility. Clarification.

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4. clarify priority of tours vs. operational functions. When someone is waiting for booking, courts, etc., should a tour go through? 183 5. get feedback from residents and staff about tours. 6. guidelines for tour guide. 7. advance warning of tours. 8. presentation -before and after. 9. availability of NIC Training, who goes, benefits, etc. 10. security of Public Tours (a) wh o gets searched? (b) who searches?

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Operation Team B Key Indicators I. STAFF DEVELOPMENT A. Training *1. emergency policies reviewed frequently evaluate people's knowledge of procedures 2. use of equipment in emergencies, evaluate use *3. overall current training scheme for first time and ongoing training (a) have the people with the knowledge/ expertise provide the training -identify those people (b) have everyone receive this training (c) following classroom education,follow up with on the job practice (d) have new employees receive X weeks exposure to overall operation, then go to training on specific aspects of job (the current new employee training is good exposure, but does not get at practical problems) 184 (e) want training to have practical applications *4. look at other self defense techniques -better training, more frequent, intensive and practical B. Career Planning 1. workshops 2. prefer voluntary education for optional training 3. personal contact to discuss personal goals. currently there is the feeling that there is lack of personal contact 4. equal opportunity for development of career under both hats! 5. career testing, interpretation of data, etc. 6. guidance -locating resources within and outside the organization 7. having access to listings of jobs in field C. Morale 1. C.I.E.S. -like to see results 2. Qualitative evaluation of atmosphere including enthusiasm *Indicates high priority

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D. Performance 1. supervisor evaluations 2. day to day feedback 3. feedback -what happens when poor work is done -accountability -what happens if there is a screw up **4. peer evaluations CS, ATL, TL concerns: (a) popularity contest (b) quality of information (c) stereotyping 185 should occur more frequently (at rotation) *E. Selection 1. employees board -to examine and assist in selection process. Includes promotions, hirings, those selected for courses, etc. (a) specify criteria for appropriate selection (1) Clear, understandable statement of qualifications (2) in writing (b) would evaluate those applying using current criteria and expanded list to include who would use the training, benefits, etc. (c) would provide feedback to those who applied to let them know: (1) who was selected (2) reason(s) why person(s) can/can't qo to training/or was/was not hired or promoted (d) would evaluate feedback mechanism to determine who received feedback (1) yes/no (2) further aualitative information where applicable (by using this technique it is hopen the level of false expectations will be decreased) II. RESIDENT BASIC NEEDS A. Health care -medical 1. volume of complaints on med rounds -comments 2. responsiveness of nurses to medical demands 3. quality of nursing services (residents are getting great care, say it's good) 4. consistency of CS's function during med roundsclarify role of CS during that time 5. define what is adeauate medical treatment 6. clarify role of nurses

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186 G. Safety from emergency dangers 1. what are procedures when fire alarm goes off how do you do it? 2. alarm system gives general area -need more specific locale 3. maintenance of equipment 4. test -periodic spot exams to see how much CS's know 5. emergency areas (a) bomb threat (b) electricity outage (c) injuries (d) flood (e) fire (f) riot ( g) hostage (h) death 6. incorporate emergency situations training with training scheme 7. evaluation of how well people know/handle emergency situations (a) drills (6 months?, fire, flood, etc., include for each shift (b) to include a l l shifts 8. current policy is not applicable for certain shifts -9. have FBI (or expert) provide training in hostage situation 10. dbtain films, training, etc., for bomb threat 11. r-iot training procedures -dining area -what happens if there is a problem 12. courts how many residents per CS -reduce the chance of an incident occurring 13. maintenance and equipment 14. person/criteria at Master Control VI. SECURIT Y A. Inmate and Staff Safety 1. incidents *2. mistakes/error book -not anonymous -include date, time and error if discovered 3. error box -anonymous 4. conscientious effort b y staff to correct problem areas among one another 5. e mergency poli c y *6. disclosure, critique, and investigation of incidents -include problem, action taken, and correct steps that should have been taken *7. specific security training by experienced personnel

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187 B. Escapes 1. provide for entering facility -identify persons -visitors, Work Release, employees, everyone 2. do not disclose security items *3. list of security do's and don't's specific security measures, however, latitude for personal interpretation. BASIC SECURITY MEASURES. Can get idea of problems from problem book to see if things are getting done. 4. emphasis on procedure for booking room, standardized, emphasis on security C. Contraband 1. search people corning to visit, clarify legal issues about rights of people *2. locale of contact visits, where and how contact visits are conducted 3. methodology currentlv used for: (a) shakedown (b) strip search 4. accessability -allowing items in rooms 5. support from staff *6. equipment functioning cameras intercom radios emergency switches doors etc. *Indicates high priority

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188 Operation Team C Key Indicators I. STAFF DEVELOPMENT A. Training 1. quality -level of proficiency certification in areas other than just guns (a) at least meet minimum state requirements ( b ) set own levels of certification 2. supervision and observation 3. peer observation 4. availability of training outside job 5. provide training in techniques of writing in nass-on book *B. Career Planning 1. turnover (reason for leaving) 2. mobility -same level movement (lateral, critique trainee) 3. professionalism trainins -broader -useful in field -overall 4. career counselor e xpertise confidentiality open door *C. Horale 1. absences 2. tardiness 3. staff input into decision ma king policies procedures, etc. 4. turnover rate, longevity on job, reasons for leaving 5. incentives and awards -CS of quarter D. Performance 1. peer evaluations (a) components -cooperation -communication -organizational ability -coordination also look at timing and smoothness of ability to get job done. (b) more frequently than 6 months (c) organized feedback time 2. supervisor evaluations 3. input from outside agencies (a) about people (b) about organization as a whole

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189 *E. Selection 1. new hiring -a review or screening by staff to get in their opinions. Want more input. 2. standardized procedures 3. participation by staff in promotions (C/S's) 4 . follow-up on interns, I .E., if interns perform satisfactorily, provide some sort of mechanism to encourage them to apply for job II. RESIDENT BASIC NEEDS AND CONSTITUTIONAL RIGHTS E. Access to courts and legal services 1. need for the police department or legal aid person to be on call for weekends and holidays 2. on-duty supervisor to issue PR Bond 3 . Concerted effort to see that individuals get to court as soon as possible 4. training in coversational Spanish for court information and constitutional rights 5 . Spanish Rights 6 . mental hold to BPI; ARC holds to ARC III. ORGANIZATIONAL DYNAMICS A. Organizational communication -formal polling -verbal, number of contacts at all levels, contact is important B. Change, adaptation and evaluation evaluate (VIA per evaluations) how well staff adapt in moving from one team to another C. High quality interpersonal relationships among staff 1. expectations derived from (a) peer evaluations (b) commitments IV. POSITIVE ATMOSPHERE A. Interpersonal Relationships 1. staff to staff (a) peer evaluations (b) review results of CIES (c) possible use of other instrument (more than just CIES) (d) constructive criticism would be given by staff to one another

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(e) support one another's decision (f) praise one another's ability 2. staff/residents (a) results from CIES (b) incident reports (1) verbal abuse (2) ASSAULTS (c) emphasize positive aspects in pass-on book 190 (d) resident input via Just Community groups staff residents (e) requests (by residents to staff) for movement to another module 3. residents to residents obtained from c. not applicable d . Just Community ( N/A ) V. SUPPORT SERVICES A.} B. not applicable C. Module classification 1. valid calssification system to include; (a) intake interview (b) behavior and progress reports (c) classification,panel to move overall, to get more intormation which is useful to the C/S's in dealing with residents, i.e., know where residents are coming from VII. COMMUNITY INVOLVEMENT Availability of information about community programs so it can be passed on to residents. Training C/S's so they know about programs, or know where to qo to find out

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Administrative 'Ie :am !
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192 C. !-!orale Look at: 1. productivity 2. turnover 3. absenteeism 4. sabotage 5. is there a major discrepancy between visors and employee evaluations suoer-6. information flow -both directions 7. **8. confrontation clarify roles of v1hat are -vre? if Team Days (every etc.? the Administrative Team a team why not A.T.L., month), opportunities, * D . Performance Examine effectiveness and efficiency 1. e xamine components of each job area. (a) kitchen (1) menu preparation (2) supervising trustees (3) food and utensil inventory (4) supplies and food ordering (5) storage (6) cooking (7) cleaning kitchen (b) reception (1) t yping (2) filing (3) banking Who does coffee???? (4) visiting and general reception (5) public contact ( 6) teiLephone (c) evaluation (1) evaluate environment (2) data gathering (3) identify problem areas (4) professionalism (5) meet deadline (6) make recommendations -would like more staff contact; feel 6 feet out -currently lack of trust between operations and admin. staff -need to tie results of survey back to questionnaires in shorter time period -planning for projects, more comprehensive what type research..-. pol.j_ tj_cal or need bas-ed??

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193 (d) supervisor (1) hatchet person (2) control performance of staff (3) administrative staff represen-tative (4) special research projects (5) delegate responsibility (6) 'sounding board' (7) she lets you know what's 'going on', information and feedback (8) run interference for staff (9) financial aspects over/under (10) evaluate periodically -daily (11) need more feedback (12) holds administration together (13) substitute for absent person (14) purchasing (15) catches B.S. (16) books (17) social coordinator on Administrative team (18) idea person -personnel shortage in supervisory role (e) maintenance (1) tcatch everything that falls through the cracks.' (2) commissary (3) inmate supplies (4) inventories (5) investigative work ( 6) dealing with county maintenanceevaluated on things have no control over (7) dealing with vendors (8) perform some maintenance (f) training (1) coordinate training with time (2) provide better training for new C/S (3) training on Team Days (4) provide specialized training (5) make people aware of training (6) recruit trainees (7) evaluate training (8) research organizational needs 2. to do with each of these areas (a) clarify roles of job and communicate to rest of staff (b) develop evaluation criteria to measure performance (c) develop guidelines book for each job

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194 E. Selection 1. who sets in on hiring/promotion boards 2. equality -same methods for operations as for administration 3. develop selection procedures for administrative people and entire division -standard representation on boards 4. currently there is a discrepancy in hiring procedures for persons on administrative team 5. utilize job descriptions for each position 6. promotions -(a) specify criteria and apply equally to everyone (b) utilize eligibility list IV. POSITIVE ATMOSPHERE A. Interpersonal Relations 1. staff to inmate (a) staff to inmate (b) feeling of 'no support' from rest of division (c) need support and input, C/S's get rationale from kitchen (d) maintenance jobs (deadlines) affects morale of residents (e) paychecks (on time) affects morale (f) clarification of who handles commissary on holidays -do we go with current policy (affects staff and staff to inmate) 2. inmate to inmate VI. SECURITY (a) treat residents equally (b) examine 'trading relationship between residents (c) rotation of jobs (trustees) in kitchen {d) examine policies for buying items from commissary, current s ystem (people with more money) leads to gambling, job favors, etc. *A. Inmate and Staff Safety 1. incidents 2. inspection -no knives out in kitchen when serving or not in use (review policy) . 3. consistent enforcement of rules (doors when locked-locked for everyone, including T .L.) 4. maintain low tension level with visitors -clarify visitor regulations and rationale

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(possibly have a handout at sign in time) . 5. who controls time for the visits. Define responsibility of who is in charge of visits. Curently Master Control lets people in and out but reception sets the schedule. Coordinate between programs, operations, and administration. 6. Maintain low level of tension in kitchen. 195 Need coordination between programs, operations and administration about serving meals, etc. Want people doing the necessary tasks. Develop standard operation procedure for dining room/kitchen. Clarify situation. 7. cooperation to insure highest priority needs are met. 8. trustees -supervisor/supervisee relationship. Clarify the role of (a) trustees; (b) cooks, (c) etc. Need to involve module specialists trustees, cooks, etc. 9. maintenance-loose items are dangerous. (a) long time to get maintenance done (b) stop in midstream -no completion possible solutions (1) hire maintenance; (2) assign someone to the jail from maintenance. This has effect on other facets of the organization. Design methods to deal with maintenance, liaison, system design. No follmv through by maintenance. 10. certify administrative people in first aid 11. emergencies -broaden out knowledge so administrative and operational teams are familiar with other tasks. 12. self defense training for reception 13. need to be aware of legal implications of civilians doing C/S work. B. Escapes 1. doors open to back for taking trash out and bring food in. Need C/S at sally port whenever the door is open. C/S open and close, cooks get called on when there is a problem. Clarify C/S responsibility and localier when back door is/is to be opened. 2. examine policies in food delivery. 3. walk always through reception. Clarify role of receptionist, i.e., people passing through the reception area. 4. procedure for those who enter the jail through the reception area. Develop and distribute to appropriate agencies.

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5. for seminars obtain lists of authorized personnel to enter facility. DA Legal Aid Community Corrections Programs For pre-arranged meetings in B.C.C. notify reception. Internal External C. Contraband Clarification 1. review what constitutes contraband. When is food o.k., and when it is not o.k. 2. reception -who do you examine, vJho do you not examine? Whose responsibility is it to search; how do you search? 196

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197 Programs Team Key Indicators I. STAFF DEVELOPMENT *A. Training 1. better training for projects being implemented -Just Community 2. better dissemination -method for passing on information 3. training (a portion) on the 4ob 4. prioritize trainin0 5. needs analysis for each person's training needs. 6. quality (a) classroom (b) experiential -drill, mock up, etc. (c) the indoctrination (introductory for new trainees) Training is inadequate. Need 2-3 months with part time classroom part time O.J.T. Need background in a number of different areas -legal, self-defense, etc. (d) in current training there is not enough follow through. Need: (1) standardized training (2) eveyone receives this training (3) period to develp expertise ( 4) mentor -need to have one person the trainee can go to with problems. (5) accountability -both trainees and trainers. (6) need to invest time in the beginning of a person's career at Boulder County Corrections. (7) ethics -need to be trained in what is and what is not acceptable. (8) need to refocus and retrain people in certain operations (a) explosives (b) investigation (c) interviews When an emer(d) riot containment gency occurs, (e) report writing "people run (f) emergencies around in circles". *Indicates high priority

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I J 198 B. Career Planning 1. "other" training which can assist in developing career (there are not a lot of promotions so need more diversification) . 2. PLATO -university computer training aide for remedial and college level training. 3. career point of view -no benefits for those part time. for those who provide orientation professional service there is NO training support professional services need to be integrated with goals of organization 4. with professional services -there is no training related to responsibilities. 5. have opportunity to choose training . 6. dissemination of information. 7. 8. 9 • needs/to access organization needs personal needs use people with expertise to trainina . for individual training/career development provide the C. Morale 1 . constant evaulation, feedback, timely. D. Performance 1. usually only hear bad. 2. clarification of goals jobs organizational personal 3. develop (for each area) goals and objectives (measurable for the following:) (a) recreation (h) library (b) work release (i) community (c) education involvement (d) psychological services (j) vocational (e) medical (k) modules (f) health education (1) volunteers ( g ) drug/alcohol (m) just commun-ity (n) religion This will clarify hm1 the individual fits in. 4. communication of evaluative information. 5 . develops standards of operation for different areas within the facility -communicate the standards. 6. accountability.

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E. Selection C/S input to: 1. promotional decisions 2. hiring 3. attendance in training seminars want to know: (a) availability of training (b) who goes (c) criteria for selection 199 4. guidelines on rotation into and out of programs 5. Criteria -on all selection decisions regarding personnel be specified. Also specify exceptions when there is an exception. Note: Don't want to get "Locked in" to a rigid system. 6. Employees Board -review decisions regarding employees (a) promotion s (b) training (c) hiring *Other notes -addendum A . This is an incomplete list -for more specific information need to do this a gain. B. Goals -more frequent input -maybe not write goals for entire year. Do as needed.

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.APPENDI X B Pre-Implementation -Objectives and Action Aqendas

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Pre-Implementation Objectives and Action Agendas I. TO DEVELOP JOB CRITERIA FOR Eli .CH FUN CTION SPECIFIED IN THE FACILITY. ACTION AGENDA t.Yho Program Director -responsible for programs 201 Administrative Supervisor -responsible for administration Director -responsible for NIC functions Operation's functions are divided among the three teams: When Team A -booking room function Team B -master control and rover function Team C -transport and courts' function This information will be ready for review by the team leaders on March 1, 1978. during the first two weeks of March this informationwouldbe reviewed to insure it is comprehensive and accurate Jobs Requiring Criteria Specification OPERATION S Booking Room Transports Courts Control Rover PROGRAMS Library \.York Release Recreation Volunteers Nurses Referral Service Education Module Officers NIC Liaison Evaluator ADMINISTRATION Cook Reception Service Specialist Trainer Administrative Assistant The next step, after the job criteria are developed, is to use the information to develop a new evaluation form. This includes specifying information used on the form; who performs the evaluation, the frequency of evaluation, and the methodology of the evaluation (written, verbal, scalar, etc.) Thus, the second objective is:

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202 2. TO DEVELOP A PERFORMANCE EVALUATION SCHEME TO MEASURE THE LEVEL OF PROFICIENCY OF THOSE BEING EVALUATED ACTION AGENDA Who Although not formalized, it appears that the same persons who compiled the job criteria would also specify the performance evaluation mechanism. When This information would be compiled and put together by April 15, 1978. Between April 15, 1978 and May 1, 1978, these performance evaluations schemes would be reviewed to insure completeness and consistency. After developing these techniques, the next step is to institute the performacne evaluation. Thus, the next objective is: 3. TO EVALUATE THE LEVEL OF PROFICIENC Y OF THOSE WORKING IN 'lliE FACILITY. ACTION AGENDA Everyone will be evaluated using the criteria developed by the previous objective. When This evaluation will start May 1, 1978 and will be completed by May 31, 1978. 1. To test and see how well the new scheme works. 2. To act as an organizational needs assessment in determining what areas people need trainin in. 3. To assist employees in pinpointing their areas of deficiency. While these tasks are going on, several other tasks will be performed concurrently by other individuals. One major component will be the development of a new process of initial and ongoing training, The new scheme will attempt to incorporate those i terns specified by the teams in the key result area. Thus, the fourth objective is:

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4. TO DEVELOP A NEW TRAINING SCHEME WHICH WILL MEET THE NEEDS OF THE STAFF AND ACTION AGENDA Who The trainer will develop the scheme utilizing inputs from all the teams. When The trainer will have it completed by April 1, 1978. Another major facet is to perform a needs analysis to 203 see what trainign staff members would like. As already mentioned, the performance evaluations will determine organizational needs of i ndividuals. A plan has already-been developed to dtermine individual needs. Thus, the fifth objective is: 5. TO PERFORM A PERSONAL NEEDS TO OUTLINE IND I VIDUAL CAREER PATHS. ACTION AGENDA Who A private consultant has already been contacted and will assist staff in developing their individualized career paths. When This needs assessment will be conduced on team days starting in January and will continue until all teams are completed -estimated completion, March 10, 1978. It needs to be pointed out that utilizing a consultant to perform the personal needs assessment has two functions. The first function is that stated in the objective, i.e., outline individual career paths. The second function is to train the team leaders in career counseling. The team leaders will receive individual training so they can assist staff in career counseling throughout the time the staff members are working in the facility. By training the team leaders it is hoped that career counseling will become an ongoing process. Another aspect of the individual's career that is being formulated is the development of alternative career paths within the organization. Currently, the only alternative available to a CS is a promotion to Assistant Team Leader. Since people do outstanding work, and there is no reward system for meritorious work, it has been

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decided to institute a master technician scheme where persons are rewarded for high performance. Thus, objective number six is: 6. TO DEVELOP AN ALTERNATIVE IN-HOUSE CAREER PATH FOR CORRECTIONAL SPECIALISTS. ACTION AGENDA Who 204 The Director will be responsible for developing the master technician scheme. When Work will start on the scheme March 1, 1978, with an estimated completion date of June 1, 1978. Another aspect related to career development is that of selection. Selection of persons for vacant positions (hirings, promotions, lateral transfers) and selection of persons to attend seminars and other functions. Over and over the Corrections Specialists stated they wanted to be part of tlie process and to have the criteria specified (made public) for all competitive appointments. The development of a selection process will include the following points: the development of standardized procedures for the selection of persons to competitive positions; the development of a feedback mechanism to insure appropriate persons receive the correct information; the development of a mechanism to insure selection criteria are specifj:ed pri.o,r; to th.e selection occurring; and the development of a process which will include r correctional specialists in the selection process. Objective number seven is thus written: 7. TO DEVELOP A SELECTION PROCESS FOR HIRINGS, PROMOTIONS, LATERAL PUBLIC TRAINING ASSIGNOTHER POSITIONS. ACTION AGENDA Who The trainer will be responsible for developing the process. When It has been estimated that the trainer will complete the task of developing a training scheme by the first of April. Since she is also responsible for developing the

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selection process, it has been estimated the completion of this task will take from April 1, 1978, to April 30, 1978. 205 The final topic in the staff development area is that of morale. Since no personnel indicators are currently being utilized to measure morale, the first step is to gather baseline data on those items which are hypothesized to reflect morale. Objective number eight is: 8. TO DEVELOP BASELINE DATA ON FACTORS RELATED TO MORALE, TO INCLUDE ABSENTEEISM, TURNOVER AND TARDINESS. ACTION AGENDA Who The Research, Planning and Evaluation Unit of the Boulder Corrections facility will be responsible for compiling and analyzing the data. This information will eventually be utilized to set standards for the corrections division. As part of the research, the unit will also gather data on these same factors for similar organizations to determine the range of the data for each of the factors. When The estimated vmrk time is two months, starting Harch 1, 1978, and running until May 1, 1978. In summary, all five areas under staff development have been addressed. Eight objectives are written which address these areas. Listed below are these eight objectives. 1. To develop job criteria for each function specified in the facility. 2. To develop a performance evaluation scheme to measure the level of proficiency of those being evaluated. 3. To evaluate the level of proficiency of those working in the facility. 4. To develop a new training scheme which will meet the needs of the staff and management. 5. To perform a personal needs assessment to outline individual career paths. 6. To develop an alternative in-house career path for correctional specialists. 7. To develop a selection process for hirings, promotions, lateral transfers, public training assignments; and other competitive positions. 8. To develop baseline data on factors related to morale, to include absenteeism, turnover, and morale.

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SUMMARY OF OBJECTIVES AND TIMETABLE JANUARY FEBRUARY MARCH MAY review +3/1 criteria 3/15+ +3/15 Selection Scheme +5/1 review evaluation +4/15 Evaluate 5/30+ Needs N 0 0'1

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APPENDIX C ilob Criteri a Objectives, Controls and Descriptions for Each Organization Function

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208 Job Criteria, Objectives, Controls PROGRAM TEAH LEADER OBJECTIVES Objective Number 1: The Program Team Leader is primarily responsible for the direct supervision, management and administration of currently operating programs tc• insure they run in a "smooth" manner. I. Direct Supervision A. Quantity -The Program Team Leader is responsible for supervising and managing the following programs: Education Recreation Health Education Referral Service Health Services Student Intern(s) Library Work Release Psychological Services B. Quality -The Program Team Leader will have at least one meeting with every Program staff member every other week. High quality management of the Program staff will be able to resolve conflicts, thus minimizing the volume of requests made on the Director. Input will be received from Inmate Council about the quality of the programs and services being provided by the Program staff. c. Timeliness -(1) The Program Team Leader will outline and publish all services which will be provided for the facility. This outline will include the dates when the services will be provided and the location of the services. Finally, this listing will be posted by the 7th of the month for the current month. (2) Supervision and management of the programs is an ongoing effort and will be performed at the discretion of the Program Team Leader. II. Administration Administration refers to the support services the Program Team Leader provides to insure the program's function in an efficient and effective manner. Specifically, the Program Team Leader will: Handle payroll for all Program staff (including Program Team Leader); review program's files; inspect all work areas; in budget formulation; and review a 1 of the written communication which is generated by the Program staff and goes outside the agency.

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209 A. Quantity N/A B. Quality -(1) Payroll: The prescribed forms will be used in the appropriate manner (see personnel department for specific details). (2) Programs files: the Program Team Leader will review the Program's files to insure they adhere to file specification. C. Timeliness -(1) Payroll: will be submitted to the Director on the 16th of the month (or the designated date when the 16th occurs on a holiday, weekend, etc.) by 2:00 P.M. (2) Program' s files will be reviewed once per quarter. (3} Work areas will be inspected nee per month. (4) Budget formulation: the Program Team Leader will provide input during budget time as needed. Objective Number 5: To make the community a ware of the major facets of the Boulder County Corrections Center and its interrelationship with the Criminal Justice S ystem. This may include verbal presentations, written information and other materials as deemed necessary to educate the community. The community, as defined in this objective, are considered organizations and individuals who represent bhe interests of Boulder County . A. Quantity To meet with an average of two community organizations or individuals per month. B. Quality -(1) To make presentations to established credible community organizations such as the League of Women Voters, the Criminal Justice Advisory Council, higher educational organizations, government agencies, volunteer groups, church groups, etc. (2) To informally (verbally ) solicit feedback from the audience. (3) To formally (written) solicit feedback from the audience. C. Timeliness -(1) Informal feedback will be sought at every presentation. (2) Formal feedback will be solicited twice per year.

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Objective Number 6: To maintain current relationships with external organizations which provide services to the Boulder County Corrections Center. 210 A. Quantity To spend time maintaining all relationships with outside organizations. At a minimum this will include a one hour visit every three months. B. Quality -(1) The organization(s) will continue to work with the Boulder County Corrections Center. (2) During the visit the Program's team leader will perform an assessment to determine how the external organization is perceiving its relationship with the Boulder County Corrections Center, and attempt to resolve any conflicts. (3) The establishment of written agreements between the Boulder County Corrections Center and the external orqanizations. C. Timeliness {_l) _ One hour visits every three months. (2) Agreement with agencies will be consumated by January 1, 1978. Objective Number 7: A major concern of the facility is that programs and services provided in the facility be continually refined to insure they are of the highest quality. To this end, the following objective is written: The Program's team leader is responsible for examining programs and services to insure the most up to date services are being provided. To more comprehensively carry out this objective, the Program's team leader will examine programs and services from two points of view: internal and external programs and services. I. Internal Programs and Services. The Program's team leader will be responsible for refining, upgrading, and developing new programs and services within the organization. A. Quality-(1) TheProq_ram"'steamleader-willattend one criminal justice related conference per year and review three criminal justice related articles p e r month.

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(2) The Program's team leader will provide an annual report to the Director of Corrections which reviews new programs and services proposed or tested throughout b.he country. 211 B. Quality -(1) A method of refininq and upgrading current programs and services is for the Program's team leader to maintain current knowledge of what is going on "in the field". This can be done by reading literature, attending conferences, maintaining contact with other programs, etc. (2) In the annual report the Program's team leader will identify shortcominqs of current proqrams and servicesand make recommendations on how the current programs and services can be improved. C. Timeliness -The annual report will be due February first each year for the previous year. II. External Programs and Services The Program's team leader will seek organizations outside of the Boulder County Corrections Center which may provide services to the clientele housed within the center. A. Quantity -Meet with an average of one (1) new organization every quarter. B. Quality -(1) Provide the new organization with general information on the Boulder facility. (2) Provide the new organization with specific information on resources and the assessed needs of the residents in the facility. (3) To examine the services offered by the (new) organization to see if it can provide services which meet the needs of the Boulder Correctional facility. c. Timeliness -Meet with the organizations every quarter.

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Objectives for the Volunteer Program Objective Number 1: To perform a needs analysis of the residents, organization, and volunteers to determine where volunteers can be utilized. A. Quantity -The staff and residents will be polled informally on an ongoing basis while a formal polling will occur twice a year to determine where volunteers can be utilized in the organization. 212 B. Quantity -A written report will be submitted to the Programs Team Leader which outlines the results obtained from the formal survey. C. Timeliness The formal survey will be conducted and the written report submitted to the programs Team Leader on March 31, and September 30 each year. Objective Number 2: Based on the needs outlined in objective one, the volunteers will recruit, screen and train volunteers for the volunteer program. A. Quantity -The volume of individual volunteers and volunteer organizations will be kept at such a number that they do not interfere with the operation of the jail. B. Quality -The recruiting, screening and training of volunteers will conform to volunteer policy guidelines (to be developed). C. Timeliness -(1) Recruitment will occur on an ongoing basis; (2) screening will occur within two weeks of the time the volunteers are recruited; (3)Training (where appropriate) will occur within two weeks of the time screening is completed. Objective Number 3: To inform the organization about volunteers and coordinate volunteer activities with organizational activities. A. Quantit y -T h e organization will be notified of all volunteers, volunteer organizations, and volunteer activities conducted in the facility.

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213 B. Quality -(1) For new volunteers, a memo (including a picture of the new volunteer) will be posted in the team room. (2) For volunteer organization activities, information concerning volunteer activities will be conveyed to the organization via the Program Team Meeting Minutes and the Team Leader Minutes (when applicable). (3) When new volunteer organizations start working in the facility, the organization will be informed via the Team Leader Minutes and the Program Team Meeting Minutes. C. Timeliness Staff will be notified at least one week prior to a new volunteer starting work. For new volunteer oraanizations and volunteer activities, staff will be given at least two weeks notice. Objective Number 4: The Volunteer Coordinator will schedule regular meetings with volunteers and volunteer groups for providing supervision and support. A . Quantity -This will a pply to all volunteers. B. Quality A t a minimum the following topical areas will be reviewed with each volunteer: (1) Problem areas, (2) Policy review, (3) Morale of volunteers, (4) Review of work schedule, (5) Performance evaluations. In addition, the volunteer coordinator will seek input from the volunteers. c. Timeliness -The volunteer coordinator will meet with each volunteer once per month and each volunteer's organizational coordinator once per quarter. In addition, the volunteer coordinator will meet with all volunteers (in a group) once per quarter. Objective Number 5: To provide the necessary administrative support for the volunteer program. A. Quantity -At a minimum records will be kept in the following areas: (1) Listing of volunteers, (2) A log for all times worked by volunteers (include dates, hours, sign in and sig n out), (3) Types of activities sponsored by volunteers/organizations, (4) Attendance (of residents) to volunteer .

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sponsored activities (by type activity), (6) Other records as deemed necessary by the volunteer coordinator. B. Quality -A great deal of flexibility (left 214 to the discretion of the volunteer coordinator and program's team leader) will be allowed in evaluating individuals and organizations .. C. Timeliness -(1) The list of volunteers will be updated once per month; (2) Formal evaluations will occur twice per year; (3) The log will be maintained on a daily basis. Action Objectives: 1. The volunteer coordinator will initiate the first draft of the volunteer policy. A. Quantity -N/A. B. Quality -The policy will include: (1) Philosophy of volunteers in a corrections setting, (2) Recruitment, screening and training of volunteers, (3) Supervision of volunteers, (4) Functions for which volunteers can be utilized, (5) Responsibilities of volunteers, (6) Inclusion of explorer policy. In development of this policy the volunteer coordinator will make use of existing guidelines and literature. The proposed policy will foll0w the standard policy review procedure. c. Timeliness -The first draft will be submitted to the Program's Team Leader on June 13, 1978.

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215 OBJECTIVES FOR THE RECREATION Objective Number 1: To maintain a recreation program which is consistent with the recreation philosophy. A. Quantity -( 1) All programs staff be aware of this philosophy . (2) An outside person will audit the program to see if programs are consistent with philosophy. B. Quality An evaluation tool will be developed to see if the philosophy is being maintained. C. Timeliness -(1) The program's staff will D. Cost -none Objective Number 2: be interviewed every four months at rotation to evaluate the recreation program. (2) The "outside" audit will be performed twice a year. To identify and assess recreational needs and interests of residents. A. Quantity -(1) Formal -survey 90% of the residents in Gold, Green, Red, and Women to assess their needs. (2) Informal -through verbal communication, observation and awareness, continually monitor resident needs. B. Quality Obtain feedback from the residents, through a formal evaluation tool, about the quality of recreation activities (this tool will be developed) . C. Timeliness -(1) (The formal survey will occur once a quarter (Al) . (2) The informal needs assessment is ongoing (A2) . (3) The formal evaluation occurs once a quarter (B) . D. Cost -Formal survey Evaluation 3/person

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Objective Number 3: To plan recreation activities based on the following criteria: 1. Recreation philosophy 2. Assessed interest or needs 3. Security (volume and module) 4. Resources (a. human, b. financial, c. time, d. etc.) A. Quantity -All ideas will be evaluated. B. Quality -All ideas will be evaluated using the above criteria. C. Timeliness -Evaluation of ideas will occur within two weeks from the tim e the idea is suggested. D. Cost -none. Objective Number 4: To implement recreation activities which were selected in the planning phase. A . Quantity -(1) An averag e of 21 sessions per w eek w i l l be conducted (Open door-4, Rec-12, Basketball -1, Women -2, Miscellaneous 2) . 216 (2) Attendance records will be kept. B. Quality -Those attending will be surveyed to determine i f the activity was "pleasant" and/or "enj o yable". C. Timeliness -(1) Regular activities occur as scheduled. D. Cost -(2) Most special activities will occur within 3 weeks from planning . Range is 0 -$35 per activity (1) Average of $25.00/month (2) Repairs $50.00/month (3) Arts and Crafts -? (4) Donations $25.00/month Total of montn. + Objective Number 5: To supervise recreation activities implemented by the recreation director or other correctional staff. A. Quantity -To supervise an average of 23 sessions per week.

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B. Quality -217. The recreation activities will be conducted: (1) without incidents. (2) without disruption to operations. (3) with participants following established activity guidelines. . C. Timeliness -The recreation director will provide this supervision when he/she is present or when he/she has direct responsibility for implementation. D. Cost -None. Objective Number 6: To provide all the necessary administrative support to run the recereation program. Will include such responsibilities as ordering, purchasing, and equipment; maintaining correspondence; and evaluating the recreation program. A. Quantity -the volume of expendable supplies will be ordered as needed and the procurement of non-expendables will conform to guidelines outlined by the recreation director. B. Q uality-(1) The recreation director will evaluate the programs and keep records of attendance. Evaluation will occur through an evaluation tool which will include t h e need s analysis and program e valuation. The recreation director will complete necessary grand administration forms. (2) The recreation director will established and maintain accounting records of all expendables and acquisitions. c. Timeliness -(1) Equipment will be ordered in conformity with guidelines. D. Cost -None. (2) Evaluation reports a. attendance -monthly b. qrant -quarterly c. evaluation tool-qtrly. due 1/15, 4/15, 7/15, and 10/15. d. an annual report of the recreation program will be due 1/15.

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218 OBJECTIVES FOR THE NURSING PROGRAM Objective Number 1: To respond to medical and psychiatric emergencies as they occur. A. Quantity -( 1) Nurses will respond to all emergencies while on duty. ( 2) In the absence of the nurse, the facility will contact: a. the on-call physician; b. make a decision to take the individual to the hos-pi tal (emergency room) ; or c. call the crisis services via the menta.l health center , B. Quality -( 1) There will be less than four ( 4) legal complaints issued per year. ( 2) General complaints by observer or participant in an emer-gency will be less than four ( 4) per year. C. T imeliness -Responding to emergencies will take precidence over all other medical needs and the nurses will respond immediately. D. Cost -Interested in variable emergency costs: Emergency room Doctors Objective Number 2: To treat all communicable diseases promptly and appropriately to insure the disease does not spread. A. Quantity -Treat all communicable diseases. B. Quality -The ratio of persons contracting communicable diseases in the institution will not be significantly higher than the ratio of persons contracting the disease outside of the institution. C. Timeliness -To respond immediate't;r. This takes precedence over all other medical needs, with the exception of emergencies. D. Cost -(1) Medication (2) Supplies (3) Lab fees

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219 OBJECTIVES FOR THE RESOURCE AND SERVICE Objective Number 1: On request, to coordinate the appropriate services needed in order to meet crisis. Will include necessary background information as available to support the incoming crisis worker. Internally, the paralegal specialist will work primarily with Correctional Specialists in the booking room, the modules, and the nursing staff. A. Quantity -(1) All non-medical crisis during working hours. (2) Medical crisis as requested during working hours. B. Quality -Develop and utilize a formal evaluation of services provided by this program. C. Timeliness -(1) This is the highest priority and the par-alegal specialist will start making arrangements within 30 minutes of the request. (2) The evaluation will be conducted every 6 months. D. Cost -None. Objective Number 2: To respond to non-crisis requests for service and coordinate the delivery of services (if possible) from either an outside agency or internal resource to the requesting resident. A. Quantity -(1) Outside agency/outside contact New referrals: Avg. # per mo. a. one time b. continuing client TOTAL: (2) Outside agency/inside contact New referrals: A.vg. # per mo. a. one time b. continuing client TOTAL:

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220 (3) Inside program/inside contact New referrals: Avg . # per a . one time b . continuing client TOTAL: ( 4) Outside agenc y and inside program/inside contact N e w referrals: Avg . # per a . one time b . continuing client TOTAL: B . Quality -To develo p and utilize a formal evaluatio n form t o determine quality. mo. mo. C . Timeliness -(1) Volume of r eferrals will be maintained monthly. (2) Evaluation will occur every 6 months. (3) Will assess the request for services within 24 hours of request. (4) Will make the appropriate arrangements b ased on the assessment within 72 h ours. D. Cost -$25/month (indigent fund).

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OBJECTIVES FOR THE GRJIDUATE INTERN Objective Number 1: To conduct intake interviews with residents who have already been to "first appearance". A. Quantity -Will interview an average of residents per month. B. Quality -(1) Completion of intake form for all persons interviewed. (2) Formal evaluation. Have a "qualified evaluator" (as defined by the Program's team leader) observe and critique the intake interview process. C. Timeliness -(1) The intake form will be completed the same day the interview is conducted. D. Cost -None. Objective Number 2: ( 2) The formal evaluation•,•Mill occur twice a quarter. To define what constitutes a 'quality' interview. Included in this definition will be major component parts of the interview: 1. Purpose of the interview 2. Rapport to be obtained (between resident and interviewer) 3. Enumeration of what constituted minimum, adequate information 4. Enumerate the major categories of situations and interviewer contingency plans for each major category of situations. 5. Review and critique the intake form. A. Quantity -N/A 221 B. Quality -Meets Program's team leader approval. c. Timeliness -(1) Rough draft due February 21, 1978. (2) Final form due March 3, 1978. D. Cost -N/A

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222 Objective Number 3:. As the need arises, to make referrals to internal programs, or to make referrals to agencies outside the institution via the paralegal specialist. A. -(1) w ill refer an avg. of clients per month to internal programs. ( 2) Will refer an avg. of clients per month to the paralegal specialist. B. Quantity To formally solicit feedback on whether the intern submits referral forms to internal programs. C. Timeliness -The Program's team leader will conduct the evaluation once per quarter. D. Cost -None. Objective Number 4: To provide an opportunity for interns to gain knowledge about psychological tests and to provide an opportunity to administer and interpret some psychological tests. A . Quantity_ -(1) The opportunity to learn about psychological tests will be provided to ever y intern (dependent on resources available) one hour per week. (2) The opportunity to administer a psychological test and interpret the results on one person per month. B. Quality -A formal evaluation (conducted by the person providing the instruction) regarding the test scores and interpretation by the intern will be shared with the intern and the Program's team leader. c. Timeliness -The evaluation.will occur twice per academic year. D. Cost -None. Objective Number 5: To provide counseling services on an individual basis with residents. A. Quantity Provide eight -one hour counseling sessions per month.

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223 B. Quality-(1) Evaluation of the intern by a "qualified person" specified by the Program's team leader. The evaluation will occur by the evaluator attending one counseling session per quarter. (2) Formal clinical supervision 2 hours per month. C. Timeliness -Already specified. D. Cost N/A

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OBJECTIVES FOR HEALTH EDUCATION PROGRAM Objective Number 1: To continually assess resident health education needs and interests by questioning residents formally and informally (using written and verbal feedback) . A. Quantity 10 people/month (interviews) B. Quality-will be a random sample of the residents. C. Timeliness -(1) The interviews will occur at intervals. D. Cost -None. Objective Number 2: (2) A write up (summary) of the needs assessment will occur at the end of every month. To develop health education programs based on tihe needs assessment. A. Quantity -provide health education training to 150 200 250 people per month (this low avg hi number will include repeat attenders) . B. Quality -one half of the people who complete the c lass evaluation will check 'A lot' on the first two questions. C. Timeliness -the programs will be provided within 3 months after initial request. D. Cost -(mileage to pick up films). (Get data on cost/month Marbh 1) Objective Number 3: To maintain a health education information system. A. Quantity -at least three pamphlets on the shelves. 224 B. Quality -the pamphlets addres s current problems. C. Timeliness -there will always be a supply of pamphlets on current health problems in the lJ.brary. D. Cost -None.

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Objective Number 4: To maintain a current health referral system for residents and to make residents aware of this system. Maintain the current referral system: 225 A. Quantity -B. Quality -During class the health educator will make those attending aware of the resources. Feedback will be provided on the evaluation form. C. Timeliness D. Cost -None. Objective Number 5: To evaluate (using verbal or written feedback) all health education programs using the evaluation tool. A . Quantity -tool will be utilized every class verbally -2/3 of the time written -1/3 of the time B. Quality -? May have to redo the evaluation tool. C. Timeliness -the evaluation will occur at each class -the results will be written up quarterly D. Cost -None. Objective Number 6: To maintain professional competence. A . Quantity -maintain membership in two associations. B. Quality -membership in the following associations: 1. American Nurses Association (ANA) 2. Colorado Nurses Association 3. Maintain continuing education certification through the ANA 4. Attend two workshops c. Timeliness -annual membership in associations -attend two workshops per year D. Cost -dues for associations $ 84.00 workshops miles 100.00 $184.00

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226 Objective Number 7: To develop and utilize new methods/techniques in teaching health education programs. A. Quantity -All health education presentations will consist of multi-media materials or outside speakers or written information. B. Quality -This innovative philosophy will permeate all aspects of the health education program. C. Timeliness -not applicable. D. Cost -Zero.

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OBJECTIVES FOR EDUCATION PROGRAM Objective Number 1: To assess the needs and interests of residents requesting educational services. A. Quantity -will handle an average of 10 people per month (low is 5/month, high is 20/month) . B. Quality -formal and informal (standard) tests will be utilized. C. Timeliness -the assessment will occur whenever someone requests academic services. -at the end of each month a report will be generated which 227 will show the number of new students tested. D. Cost $1.00/person. Objective Number 2: To provide a basic in house academic program for residents. This program will be based on the needs outlined in the needs assessment and the program will be delivered by participation in the educational program design. A. Quantity -provide instruction for an average of 10 persons per month. (the low is 5 with a hig h of 2 0 ) . B. Quality -(1) 80 % of the GED students who take t h e G E D exam while incarcerated will pass. (2) For other than GED students, 80 % will show improvmenet in academic skill development shown in work samples and pre and post testing. c. Timeliness -instruction to start within l week of needs assessment. D. Cost -$5.00/student/month (books and expendables) .

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Objective Number 3: To maintain appropriate records. A. Quantity -for all students who are seen for more than 6 hours and for those enrolled in an academic program. B. Quality -forms will be completed in an acceptable manner. C. Timeliness -forms will be completed after needs assessment. 228 -forms will be updated as needed. D. Cost -? Objective Number 4: To provide services (from outside the facility) to residents within the facility. A. Quantity -will fill 95% of all feasible requests. B . Quality -relevancy, the service fulfills the need. C. Timeliness -the request will be fulfilled within one week of the request. D. Cost None. Objective Number 5: To participate in evaluation procedures (in-house, and local and state) when necessary. In House A. Quantity -keep track of the volume of people attending academic and non-academic classes. B. Quality -will develop a chart of notation which will show students' progress. C. Timeliness -volume data will be compiled monthly. -quality data will be summarized eve r y 4 months. D. Cost -None.

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229 Outside Agencies To assist outside agencies upon request. Objective Number 6: To create innovative academic and non-academic programs. A. Quantity -At least one innovative program per quarter. Will calculate the number of people attending the B. Quality -program times the number of hours to attain: the number of persons hours. Will have a low avg hi This data will be collected through May 31 and will be calculated in June. C. Timeliness -as needed. D. Cost -materials -will keep track of free items and items purchased. Objective Number 7: To maintain knowledge of current developments in adult education and correctional education. A. Quantity -(1) Will be a member of two professional associations. (2) Will attend 8 workshops. (3) Will visit 12 penal institutions. B. Quality -(1) Maintain membership in: a. International Reading Association (IRA) b. Conference on Community Adult Education (CACE) (2) Will attend workshops dealing with education and education in corrections setting (when possible) . (3) Attempt to obtain computer based learning for corrections (PLATO) . (4) Complete Masters degree. C. Timeliness -(1) Will maintain association memberships for the year. (2) Will attend 8 workshops per year. (3) Will visit 12 penal institutions per year. (4) ,Attempt to get PLATO within 1 yr. L S) _ Complete Masters in 1 yr.

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230 Ohj e.cti.ve Nu;nbe r 8: 'I'o responsibly and effectively spend budget allotment on supplies (pooks1 workbooks, consumables, hardware and software) . A. Quantity -will show how much is spent per month. B. Quality -will show what was procured during the month. C. Timeliness -report will be generated at the end of each month which shows volume and types of expenditure. D. Cost -None. The information for this report will (hopefully) be obtained from the Boulder Valley School Expenditure printout.

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231 OBJECTIVES FOR THE WORK RELEASE DIRECTOR Objective Number 1: The Work Release Director's primary responsibility is to insure the Work Release program is managed and operated in an effective and efficient manner. In managing the program, the Work Release Director will adhere to the philosophy statement as well as policies outlined in the Policy Manual. The management of the Work Release program is the highest priority of the Work Release Director. To insure the program is managed in an acceptable manner, the following areas of responsibility are outlined as being key result areas. I. Accountability The Work Release Director is responsible for all persons in the Work Release program and all monies which flow through the program. A . Quantity -The Work Release Director will be held accountable for all persons in Work Release and all monies which flow through the program. B . Quality -(l) The Work Release Director will know (within reason) where all persons on Work Release are located when they are outside the facility. (2) Accounting books will balance. c. Timeliness -(l) Continual for residents. D. Cost -N/A (2) Books will be balanced during the first week of every month. II. Communication and Liaison with Outside Agencies, i.e., Courts, Probation, Social Services, etc. Maintenance of these communication channels is vital to the establishment of an individualized service plan for the Work Release residents. A. Quantity -N/A B. Quality -The quality of communication will be determined by feedback from the outside agencies.

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c. Timeliness -This is an ongoing process. D. Cost -N/A III. Supervision This includes the supervision of staff, volunteers, or residents as it pertains to the Work Release program. A. Quantity -All people who are involved with the Work Release program will be supervised by the Work Release Director. B. Quality -The Work Release Director will examine (and correct where appropriate) actions taken by staff, volunteers, and residents to see if their actions conform to policy. The Work Release Director will 232 obtain feedback from all parties on the quality of supervision. C. Timeliness Ongoing D. Cost -N/A IV. Internal Communication The Work Release Director will maintain formal and informal communication with: (1) the Operations team to insure the smooth running of the Work Release program and the facility; (2) the Program's team leader with regards to program status, program development, decision making, etc.; (3) the Program's team with regard to current status of the Work Release program. A. Quantity N/A B. Quality -The information provided these people will be clear, concise, and accomplish its purpose. C. Timeliness -The Work Release Director will provide communication to: (1) Operations -at least once a week for scheduling purposes and as the need arises; (2) the Program's team leader at least once a week or as the need arises; (3) the Program's team once a week. D. Cost -N/A

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233 V. Maintenance The Work Release Director will insure the Work Release living unit is kept clean and in order. A. Quantity N/A B. Quality -The cleanliness of the Work Release unit will conform to standards outlined on the "Cleaning Policy Checklist". C. Timeliness -The Work Release Director will evaluate the cleanliness of the Work Release living unit once per day. D. Cost -N/A VI. Evaluation The Work Release Director will be responsible for evaluating the Work Release program. A. Quantity B. Quality C. Timeliness Objective Number 2: Specific items for evaluation will be developed when the evaluation package for the facility is developed. To provide vocational counseling or refer the residents to an agency (or person) which can provide the vocational counseling. There are four categories of residents who receive these services. These categories are: (1) persons sentenced to the Work Release program; (2) persons sentenced to Boulder County Corrections (not Work Release) ; (3) pre-trial detainees; and (4) pre-trial individuals not incarcerated inthe facility. Each of these groups will not be dealt with separately. 1. Persons Sentenced to the Work Release Program The main focus of the Work Release program is that individuals be in the community working, attending school, or receiving therapy while under structured residential direction. In support of this concept the Work Release Director provides vocational/personnel counseling services. A. Quantity -A representative from the Work Release program will meet with each resident assigned to the Work Release program once per week.

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234 B. Quality -There are two categories of residents to examine: (1) those residents who have been sentenced to the Work Release program for 60 days or more, and have been identified by the Work Release Director or the Program's team as needing vocational/personnel counseling. A written contract will be agreed on between the Work Release Director and the resident. A quality visit is seen as one where the Work Release Director and the resident interact on items specified on the contract. (2) All other residents in Work Release. Although no formal agreement may be written between the Work Release Director and the residents, the Work Release Director will act as a resource in providing support, referral services, and counseling services as needed to residents in this category. C. Timeliness -(1) The Work Release Director will meet with everyone in the Work Release program in a group meeting once a week. (2) Contracts will be drawn up within one week of the time a resident starts work in the Work Release program. (3) The Work Release Director counsels individuals in category 2 (see I B (2)) when problems arise. D. Cost N/A II. Persons Sentenced to Boulder County Corrections Not in Work Release The Work Release Director will establish contacts, provide a vocational needs assessment, and evaluate and identify barriers to employment for all sentenced individuals. A. Quantity -The Work Release Director will provide this assessment for all sentenced individuals. --B. Quality-(1) The Work Release Director will initial the program file, signifying the contact and assessment has been made. (2) The Work Release Director will report at the Program's meeting all formal vocational needs assessments conducted of sentenced offenders. c. Timeliness -(1) Files will be initialed within 24 hours of the contact. (2) Presentations will be made to the Program's staff once per week. (3) The vocational needs assessment will be conducted within two weeks from the time the person is sentenced.

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235 D. Cost -N/A III. Pre-trial Detainees The organization's main emphasis is to do a needs assessment of these people via intake interviews or interactions between the detainees and a correctional specialist. The Work Release Director will enter into contact only with a referral has been made from someone who interacted with the pre-trial detainee. Although it is suspected that there is a high need for vocational counseling among pre-trial detainees, personnel limitations restrict the services which can be provided for this category. A. Quantity -Services will be provided to all those who request services. B. Quality -A high quality interview will contain the following components: 1. Needs assessment follow-up from the intake interview; 2. Providing correct information, i.e., clarifying services which are available; 3. When applicable, making referrals. C. Timeliness -The Work Release Director will respond to referrals within one week of receiving the referral. D. Cost -N/A IV. Pre-trial Individuals Not Incarcerated in the Facility The main role of the Work Release Director with this category of individuals is to examine the appropriateness of having individuals participate in the Work Release program. The Work Release Director, working with Probation and other relevant agencies, will put together information which can assist the judge in making sound decisions of the placement of individuals in the Work Release program. Selecting appropriate people for the Work Release program, at this stage, has been an effective method of placing people in Work Release. A. Quantity -The Work Release Director will evaluation all people referred and will follow through with appropriate actions. An averagr of one person per week is handled in this category. B. Quality -High quality implies the following items will occur: (1) The Work Release Director will obtain background information on the individual.

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(2) The Work Release Director will make a decision on whether a person is appropriate for the Work Release program. Both subjective and objective criteria will be used in making this decision. (3) When possible, the Work Release director may generate other alternatives. C. Timeliness -236 ( 1) The of the Work Release Director and the individual will occur at least one week prior to court sentencing. (2) All appropriate paperwork will be completed one day prior to court sentencing. D. Cost -N/A Objective Number 3: Upon request, the Work Release Director will provide support to the Boulder Corrections facility by assisting Operations and Programs functions. Specific requests for the \Alork Release Director will be made based on personnel shortages. A. Quantity -The Work Release Director and the supervisor making the request will negotiate which requests the Work Release Director will fulfill. Other job functions the Work Release Director has will take priority over these requests. B. Quality -(1) I nformal (verbal) feedback will periodically be solicited b y the Program's team leader and t h e Work Release Director (the qualifications of the Work Release Director with respect to Operations functions) . C. Timeliness -The Work Release Director will make a decision within 30 minutes of the request concerning whether or not he/she can fulfill the request. D. Cost -N/A

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237 MODULE TEAM LEADER OBJECTIVES Objective Number 1: The primary responsibility of the Module Team Leader is the direct supervision and supporting administrative work to insure the modules are run in an effective and efficient manner. The Module Team Leader is responsible for coordinating duties, insuring there is adequate personnel available for the modules, supervising and holding Module Specialists accountable for their actions and "filling in" when necessary. The main thrust of of this objective is that the Module Team Leader is responsible for the management and functioning of the modules. I. Direct Supervision and Day to Day Activities A. Quantity -The Team Leader is responsible for the five (5) Hodule Specialists assigned to the modules and the following modules: Blue, Green, Gold, Red, Women, and certain responsibilities in the Work Release unit (responsibilities in Work Release to be clarified) . Minimum personnel coverage is left at the discretion of the Hodule Team Leader. B. Quality -High quality direct supervision implies the Team Leader performs the following functions: (1) Coordination of the routine fuctions (see Module Specialist functions) and duties of Module Specialists. (2) Directly supervise Module Specialists, holding them accountable for their duties. (3) Assist the Hodule Specialists in performing their job and improving their knowledge of the job. c. Timeliness -The Module Team Leader is responsible for: (1) Having at least minimum personnel coverage on duty for the modules 1:00 PM to 9:30 PM Monday through Friday. (2) Being on duty and supervising the Module Specialists while they are on duty. II. Administrative Work The Module Team Leader will do all necessary paperwork, attend Team Leader meetings, assume the role of Module Specialist when necessary, and keep organizational objectives in mind when planning and carrying out module and organizational functions.

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238 A. Quantity -(1) Paperwork: the Module Team Leader is responsible for payroll for all persons assigned to the modules (including Module Team Leader) . (2) The Module Team Leader will attend the Team Leader meetings. B. Quality -(1) Paperwork: a. the prescribed forms (for payroll) will be used in the appropriate manner (see Personnel Department for specific details) . b. Memos and reports will be completed by the Module Team Leader as needed. Also, the Module Team Leader is responsible for reviewing the routine paperwork generated by the Module Specialist. (2) The Module Team Leader will be an active aprticipant in the Team Leader meetings. c. Timeliness -(1) Paperwork: payroll will be submitted to the Director on the 16th of the month (or the designated date when the 16th occurs on a holiday, weekend, etc.) by 2:00 P.M. (2) The Module Team Leader will attend one (1) Team Leader meeting per week (or as scheduled) .

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OBJECTIVES FOR THE MODULE SPECIALISTS Objective Number 1: A high emphasis is placed on the manner and spirit with which module specialists perform their functions. An objective, therefore, is for the module specialists to perform their functions in such a manner that: (a) the operation runs smoothly; (b) residents are treated hmanely; (c) the staff experiences less stress; and (d) a non-antagonistic atmosphere is created. 239 A. Quantity -A module specialist will solicit and maintain daily contact with all residents he/she is responsible for. B. Quality -The positive and creative manner with which interactions are conducted will app l y to as many situations as possible. C. Timeliness -daily . D. Cost -Objective Number 2: To insure the consistent completion of the following maintenance functions: (a) laundry; (b) supplies; (c) serving of dinner; (d) u pkeep of the modules. The intention of completing the maintenance functions in a timely and effective manner is to insure as ''smooth" an operation as possible in the modules. Also, by providing the basic necessities in a consistent manner the energies of those who work in the facility and those incarcerated can be directe d towards more constructive activities. Module specialist functions, in regards to laundry and dinner duties are outlined in the policy manual and will not be discussed in this objectiv e any further. A. Quantity -(1) The module specialist is responsible for determining which supplies are needed, and the volume o f the supplies needed by the module. An inventory of supplies will be maintained which is sufficient to last until the next order is received. (2) Upkeep of the modules -N/A. B. Quality -(1) Supplies -the module specialist will utilize the standard

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240 supply form; it will be completed and returned to master control by 1700 on the day the form is distributed. It is the responsibility of each module specialist to obtain the supplies once the order is filled and distribute the supplies to the module as is appropriate. (2) Upkeep of modules -the role of the module specialist will be to monitor the modules to insure: (a) they are neat in appear-ance; (b) repairs are made in a timely manner. C. Timeliness -(1) Supplies D. Cost N/A Objective Number 3: (a) orders will be taken once a week; (b) the filled supply orders will be distributed the following day . (2) Upkeep of modules -(a) modules will be monitored on a daily basis; (b) repairs will be reported on a daily basis and follow up will occur on a weekly basis; (c) replacement of items, within the competence of t h e module specialist, will occur as discovered within the range of availability of replacement parts. To document information generated through interactions between the Program's staff and the residents. The intent of this objective is that those who work closest with the residents can share their knowledge about the residents with the rest of the staff. By doing this it is hoped that the facility can be run in a secure manner, and programs can be implemented with greater effectiveness. Recording phone calls, recording resident monies on the hard card, writing in pass on books, staffings, briefings, staff meetings, reports, m emos, updating status boards, supervisors' clipboards and deciding which residents changing living areas are all duties of the module specialist. Primary responsibility for this objective

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lies with the module specialist. However, correctional specialists are responsible for providing input when appropriate and in the format the module specialists utilize. 241 The recording of phone calls and the recording of the residents' monies are outlined inthepolicy manual and will not be dealt with here. The remainder of this objective will deal with writing inthepass on book, staffings, and other administrative duties of the module specialist. I. Module specialist responsibilities -the pass on book. The module specialists are required to make daily entries in the module pass on book. The pass on books for all modules will be read daily by the module specialists. A. Quantity -All module specialists will write in the pass on books, and read the pass on books. B. Quality -All entires on books will contain the following: (1) the date of the entry ; (2) time of occurrence; ( 3 ) signature of the s pecialist making the entry; (4) a s ynopsis of the contacts made by the module specialist with residents. In writing in the pass on book, the main focus will be on the module specialist writing down ideas which may or may not be major. Thus, item s more than just incidents or exceptional behavior will be documented. Also, it is important that the module specialist convey an entire idea. Thus, the purpose is to write an entry in the pass on book which represents a complete thought. (It should be remembered that the pass on books have been used in the courtroom.) C. Timeliness -daily. D. Cost -N/A II. Module specialist responsibilities -staffings. A. Quantity -All module specialists will share the responsibility of compiling information, past and present, about residents. (See staffing preparation form.)

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III. B. Quality -The staffing preparation form will be completed by the module specialists and, upon review by the module specialist staff, the form will be typed and inserted in the resident's Program file. 242 C. Timeliness -(1) At the Program's meeting, the module specialist will present the information on the staff preparation form and facilitate a discussion about D. Cost N/A the resident. (2) The staff preparation form will be reviewed, typed and inserted in the resident's Program file within 48 hours of P-rogram's staff review. Administrative Responsibilities The module specialist will be required to perform the following functions as necessary: A. Writing memos B. Writing incident reports C. Writing crime reports D. Updating status boards in the modules and the booking room E. Recording all resident move on the team leader clipboard F. Recording all phone calls made by the residents G. Utilizing the standard account procedure for handling of resident monies H. Other functions as necessary

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243 OBJECTIVES THE STAFF PSYCHOLOGIST (The staff psychologist works 20 hours/week) Objective Number 1: The staff psychologist is responsible for providing crisis intervention services and other emergency services to residents (e.g., facilitating psychiatric referrals). Crisis intervention refers to both individual and group settings. This objective has the highest priority for the staff psychologist. A. Quantity -The staff psychologist will respond to 100% of all crises while on duty. B. Quality -(1) Quality will be determined by examining the situation to see if the crisis was averted. (Baseline data will be developed to determine the percent of successes in handling crisis situations. Formula = Number of successes Total number of crises) (2) The staff psychologist will obtain formal and informal feedback from the staff in regards to how well he/she handles these crisis situations. C. Timeliness (1) The staff psychologist will respond to the crisis as soon as possible given the demands of the situation. D. Cost -N/A Objective Number 2: (2J The staff psychologist will obtain informal feedback from the staff following each crisis. (3) The staff psychologist will obtain formal feedback every months. The staff psychologist will provide evaluation and a treatment plan (when appropriate) to persons referred to the staff psychologist or persons the staff psychologist feels need the services. Evaluation refers to a diagnostic interview and, when necessary, the use of personality assessment tests. This evaluation is used to develop a treatment plan for the individual. Treament plan refers to establishing a paln which will begin to meet the needs of the resident as outlined in the

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244 evaluation. Examples of a treatment plan may include the following: individual counseling, group counseling, referring the resident to an agency which visits the facility, referring the resident to an agency outside the facility upon the resident's release, family therapy, etc. A. Quantity -The staff psychologist will provide these services to an average of five (5) people per month. B. Quality -(1) The staff psychologist will obtain formalized feedback on assessment conducted and treatment plans recommended. This feedback will be obtained from the staff psychologist's clinical supervisor at the University of Colorado. The Program's Team Leader will obtain this feedback from the staff psychologist and the clinical supervisor. (2) Informal feedback will be obtained by the staff psychologist from staff members. C. Timeliness -(1) The treatment plan will be instituted within one (1) week of the time the treatment plan is recommended. (2) Formalized feedgack will be obtained on a weekly basis. (3) Informal feedback will be obtained on an ongoing basis. D. Cost $100/month to the clinical supervisor for supervision of the staff psychologist. Objective Number 3: The staff psychologist will provide direct psychological treatement to residents. When appropriate the staff psychologist will provide these services to the residents' families (refer to Objective #2 for specific treatment plans) . A. Quantity -The staff psychologist will provide 25 hours of direct psychological treatment per month. B. Quality -(1) T h e staff psychologist will obtain formalized feedback on direct psychological services he/she provides. This feedback

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245 will be obtained from the staff psychologist's clinical supervisor at the University of Colorado. (2) The staff psychologist will obtain informal feedback on services rendered from staff assigned as counselors. C. Timeliness -(1) formalized feedback will be obtained on a weekly basis. (2) Informal feedback will be obtained on an ongoing basis. D. Cost -The cost of the clinical supervisor has already been enumerated in Objective #2. Objective #4: The staff psychologist will provide formal and informal consultation, training, and supervision to staff. The purpose of this objective is to enhance the staff's awareness of individual and group processes, and to utilize this a\areness in dealing with other staff, residents, a n d environment. Additionally , the supervision performed by the the staff psychologist meets policy requirements as outlined in the Policy Manual. A. Quantity -The staff psychologist will be available to provide informal consultation and training services to all staff. T h e staff psychologist will provide formal consultation, training and supervision to those persons involved in the "counseling group". B. Quality On general availability and informal consultation, the staff psychologist will obtain feedback via a questionnaire to determine the quality of the consultation. Concerning the formal consultation, training, and supervision, the staff psychologist will obtain a more in-depth analysis of his/her work via questionnaires, interviews, etc. For formal classroom instruction the staff psychologist will obtain formal feedback from the class concerning relevancy of material, quality of instruction, etc. c. Timeliness -Informal consultation, training and supervision will occur as needed. The formal consultation, training and supervision will occur once per week for those persons involved in the counseling group. (Frequency of evaluation is to be determined.)

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246 D. Cost -N/A Objective Number 5: The staff psychologist will understand the primary functions and goals of the facility and will then use his/her skills to support staff in carrying out their responsibilities in the organization. Providing support will be done on both a formal and informal basis. Formal support will consist of both short term counseling and referral when appropriate. Also, as a member of the Program's team, the staff psychologist will provide information and assist in the decision making process. A. Quantity -The staff psychologist will make his/her services available to all staff and the staff psychologist will attend the weekly Program's team meeting. B. Quality-The staff psychologist will obtain informal feedback from staff concerning the quality of services provided, and general support provided the staff. Additionally, the staff psychologist will obtain informal feedback from the Program's team leader regarding the quality of general support provided to the organization. C. Timeliness -The staff psychologist will assess requests and prioritize these requests. The assessment will occur immediately, however, follow through is based on the time limitation the staff psychologist works at the facility. D. Cost -N/A Objective Number 6: In dealing with clients, the staff psychologist will often have to go outside the organizationanddeal with other agencies which will provide services to clients of the staff psychologist. To insure there is no duplication of effort within the organization, the staff psychologist is required to notify the paralegal specialist, the Program's team leader, and the nurses of his/her agency contact. (Primary emphasis is placed on communication with the paralegal specialist.) A. Quantity -The staff psychologist will go through this process with every outside agency contact.

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B. Quality -The staff psychologist will informally solicit feedback from the paralegal specialist, the Program's team leader and the nurses regarding the thoroughness and relevancy of information shared. This will be done on an ongoing basis. C. Timeliness -The staff psychologist will notify the paralegal specialist immediat.ely upon communicating with an outside agency. 247 The staff psychologist will review with Program's team members at the weekly Program's meeting his/her communication with outside agencies. Objective Number 7: The staff psychologist will act as a consultant in reviewing psychological services offered the jail. The staff psychologist will work with the Program's team leader in evaluating the existing and perspective services and make recommendations to the Program's team leader about the viability of the service. A. Quantity -The staff psychologist will review all psychological services. This review will occur for treatment oriented programs as opposed to educational programs. B. Quality -The evaluation provided by the staff psychologist will consist of the following parts: (1) A statement about the rationale of the program ; (2) The strengths and weaknesses of the program; ( 3) The compatabili ty of under investigation in relation to other programs already offered and the philosophy of the jail; and (4) A statement about the qualifications of the persons administering the program. C. Timeliness -(1) The staff psychologist will perform the evaluations when needed; (2) The evaluation will occur and a presentation will be made to the Program's team leader within one week of the time the meeting is set with those persons administering the service under investigation.

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248 TITLE: Administrative Assistant -half time Job Objective: Providing assistance and support services for the various components of the organization, specifically the Director, the Inmate Council, the Team Leaders, the Administrative Supervisor, and special committees. Specific Tasks: 1. Team Leader Minutes -writing minutes; attendance 2. Inmate Commissary Accounts weekly 8-10 hrs. 3. Range Training daily 30 min. 4. Recording Comp. and Overtime weekly -1 hr. 5. Payroll daily 30 min. 6. Scheduling Task Force monthly-6 hrs. 7. 0 D Committee weekly-8 hrs. 8. Checking Bond Account Statements weekly -1.5 hrs. 9. Special Assignments daily 30 min. Skills Inventory: sporadic-variable 29.5 hrs. 1. Team Leader Minutes -writing skills, organization, analysis 2. Commissary Accounts -accounting, bookkeeping, reporting 3. Range Training -Recording scores, business letters, liaison with other agencies 4. Comp and Overtimerecording 5. Payroll -bookkeeping 6. Scheduling Task Force -group dynamics, analysis 7. 0 D Committee-leadership skills 8. Bond Accounts -bookkeeping, accounting, innovation 9. Special Projects -persistence, communication skills, research skills Qualitative Indicators TL 1. # of compliments or Min-complaints about utes content from TL's and Director. 2. Weekly review of minutes by Adm. Supervisor (on Mondays) . 3. Weekly review of Inmate Council excerpts by Adm. Supervisor (Mondays). Quantitative Indicators 1. Secretary feedback about quality of minutes. 2. Getting minutes to secretary by 1:00pm Friday. 3. Getting Inmate Council excerpts to secretary by 5:00pm Friday.

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Qualitative Indicators 4. # of compliments and complaints about content of Inmate Council excerpts from members of Council. Commis-1. Monthly balancing of sary books as reported in Acct. 2. Cash -flow statement monthly for Inmate Council (1st Monday of every month) . 3. Monthly comparison of stocks inventory with sales and purchases (monthly -within 1st week of every month) . 4. Possible yearly or bi-annual audit (on contract basis) of commissary accounts. Payroll 1. Monthly complaints Record-by Director. ing Comp. and Over-. time Checking Bond Acct. State ments Scheduling Task Force and 0 D 2. Monthly complaints others. 3. Monthly check of our book against Adm. payroll records. 4. # of complaints b y employees (monthly) . 1. Do books balance with monthly statement? (monthly review with Adm. Supervisor) . 2. Do books balance with receipt book? (weekly review b y Adm. Supervisor) . 3. Yearly audit b y outside contractor. 1. Feedback from TL's and Director (verbal on request ) . 2. Fulfilling individual assignments. Committee 249 Quantitative Indicatqrs 4. Getting policy revisions written and inserted weekly . 1. Recording all commissary sales (weekly) . 2. Monthly recording and paying of bills. 1. Getting payroll to Director by 16th every month. 2. Daily recording of comp, OT, and absences (checked b y Adm. Supervisor) . none 1. # of meetings attended vs. missed.

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250 TITLE: Secretary 1 -full time Job Objective: To provide assistance and support services for the staff of BCCC, specifically the Director, Administrative supervisor, Administrative Assistant and Team Leaders. To provide assistance and deal with the general population, i . e . , attorneys, counselors, visitors, etc. Specific Tasks: 1 . Typing: editing of reports, memos, weekly 20 hrs, letters. 2. Phones: answering, taking messages , weekly 10 hrs. directing to proper source. 3 . Evening visiting: signing in weekly -5 hrs. visitors, checking I . D . s , moni-to ring flow of visitors. 4 . Bond checks and Resident banking. weekly hrs. 5. Hospital Billings monthlyhr. 6. Filing weekly hr. 7. Inmate White Envelopes weekly hrs. 8 . Transport Log weekly h;r; t 9. Incoming Mail weekly hrs. Approx. 4 0. 7 5 hrs.. Skills Inventory: 1. Typing: Typing skills, editing and proofreading skills, good grasp of grammatics, vocabulary. 2 . Phones: Good attitude, speaking voice, k nowledge of organization's rules and regulations. 3 . Evening visiting: interpersonal interactions, knowledqe of orqanization' s rules and regulations. 4. Bond checks and resident banking: _Knowledge of procedure. 5. Hospital Billing: Knowledge of procedure, thorough-ness. 6. Filing: Knowledge of procedure, filing system. 7 . Inmate white envelopes: knowledge of procedure. 8 . Transport log: K nowledge of procedure. 9 . Incoming mail: Knowledge of procedure, location of proper recipients. Typ-1. ing Qualitative Indicators Quantative Indicators Performance measure: 1. Check on weekly volume random sample of Julie's of typing Supertyping originals visor. weekly by Adm . Supervisor (Fridays) .

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Evening Visiting Bond Checks and Resident Banking Hospital Billing Filing Inmate White Envelopes Qualitative Indicators 1. Adm. Supervisor conducts weekly check 251 Qua , :ntitati ve :r:.ndicators 1. # of incidents in evening reception. of Supervisor reports 2. for indications of performance. # of Incomplete visitor records (.survey by .Adm. Supervisor weekly)_ . 2. Random sampling of visitors monthly for performance. 1. Errors found by Eric in balancing records against bank statement monthly. 2. BR balances copies of checks \vi th money received daily. 1. Number of unverified bills which can be explained (Adm. Supervisor checks) . 1. Adm. Supervisor conducts checks with team leaders, staf f to see if they can find materials easily. 1. Adm. Supervisor checks with Referral Section to see copies of visitor log s for visiting counselors, ministers, etc. None 1. Each secretary files own typing projects.

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252 OBJECTIVES FOR THE NIC LIAISON Objective Number 1: The NIC Liaison is responsible for conducting tours of the facility and handling public relations for Boulder County Corrections; coordinating tours with a minimal disruption to the facility and providing needed information to participants. A . Quantity -The Liaison will be present for 90 % of the tours at the facility. B. QualityOn evaluations given to staff, resident and participants, 75% will state that the tours were minimally disruptive. C. Timeliness -Evaluations of staff and residents to be done each three months; each participant at NIC presentations in Boulder County Corrections will complete evaluation. Objective Number 2: The NIC Liaison will have regular contact with NIC staff persons, NIC programs persons and Boulder County Corrections staff to ensure positive conflict resolution. A. Quantity -The Liaison will attend one weekly meeting with the Administrative Supervisor, meetings with the Director of Corrections as needed, one team leader m eeting per month, one jail activity per week, one b riefing per week, two meetings with the NIC Director per month, 90% of NIC staff meetings, one meeting with each NIC program coordinator before and after each training program. B. Quality -Each apparent conflict will be discussed and resolved between involved parties. C. Timeliness -Conflicts will be addressed as soon as all persons involved are able to be contacted. Director of Corrections will be informed of conflicts and resolutions. Objective Number 3: The Liaison will provide Corrections professionals and Boulder County Corrections staff with information concerningBoulderCounty Corrections, NIC and corrections.

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A. Quantity -All requests for information that is in our possession will be responded to. B. Quality -The Liaison will maintain a cache 253 of NIC information, corrections positions available, and Boulder Country Corrections information; develop and write such information at the direction of the corrections Director. C. Timeliness -Requests for available material will be supplied to requestor within ten days. Objective Number 4: The NIC Liaison will function as the NIC Grant Administrator; keeping financial records, writing quarterly grant reports and keeping records on facility visits. A. Quantity -The financial records will be accurate for each day and a monthly summary provided. Quarterly grant reports will be completed within 15 days of the end of the quarter being reported. Totals of visit information will be summarized each quarter. B. Quality -All records will be accurate; quarterly reports will be concise, complete and professionally written. C. Timeliness -(see Quantity) Objective Number 5: The NIC Liaison will provide technical assistance for NIC as requested by serving on staff of NIC seminars and by providing services in the field, as long as these services do not interfere with primary responsibility of making presentations to NIC seminars and being available to NIC groups meeting in Boulder. A. Quantity -Positive responses from 75% of service receivers as reported to the Director of NIC Jail Center. B. Quality -C. Timeliness -Objective Number 6: The NIC Liaison will participate on State Jail Advisory Committee and other state committees.

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A. Quantity As assigned by the Director of Corrections. 254 B. Quality -Feedback elicited by Administrative Supervisor from supervisors and committee chairpeople. C. Timeliness -

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255 OBJECTIVES FOR OPERATIONS TEA. M LEADERS Objective Number 1: To provide all the necessary administrative support to insure the operation runs in an efficient and effective manner. The team leaders are responsible for handling those functions which will insure a smooth running operation. These functions will now be discussed in order of importance. I. Direct Operational Planning This includes a needs analysis of the operation when the team leader comes on duty, a decision on what jobs need to be done, and an allocation of resources to insure they are completed. This will include a daily meeting with the assistant team leader to insure the operation plan is conveyed. A. Quantity -N/A B. Quality -The quality of how well a team leader performs this function will be based on the number of complaints registered from "outside" agencies; the number of staff complaints with regard to the team leader's planning ability; andthe number of complaints from the residents. More than 3 complaints per month from any of these topical areas will mean the team leader is not performing this function in an adequate manner. C. Timeliness -This planning function will occur on a daily basis. D. Cost -N/A II. Completion of Administrative Paperwork There are three major tasks in this area. Those tasks are: 1. Completion of payroll paperwork; 2. Preparation of supervisor "pass-on" clipboard; and 3. Scheduling of personnel. These three functions will now be discussed. 1. Completion of payroll paperwork: This task is divided into two main parts. The first of which is preparing the daily data in regards to hours worked, comp time, sick time, overtime, vacation, etc. The second part is compiling this data on a monthly basis for department payroll.

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A. Quantity -Each team leader will perform this function for those people on his/her team. B. Quality -(1) Payroll forms will be completed in accordance with departmental guidelines. (2) The team leader will insure all information is entered into the payroll book. 256 (3) Each team leader will insure the arithmetic in payroll calculations is accurate. (4) Each team leader will respond to complaints received about payroll calculations from the corrections specialists (direct input about errors) . C. Timeliness -(1) All "slips" in regard to payroll will be entered in the payroll book on a daily basis. (2) Compilations will be performed once a month and turned into the administrative team leader on the assigned date (usually the 15th of the month unless the 15th falls on a weekend) . 2. Preparation of Supervisor "Pass-On" clipboard: The purpose of the "pass-on" clipboard is to serve as a communication medium whereby the departing shift supervisor communicates to the oncoming shifts important points about the day's activities. A. Quanitty Two supervisor reports will be completed every 24 hours. B. Quality -The form, Daily Report for Supervisors, will be the form utilized to insure all relevant aspects of the facility are examined. C. Timeliness -Already covered. 3. Scheduling of Personnel: The main thrust of this area is the long term planning of all operational personnel. The team leader will work with the corrections specialists to ascertain their needs while being aware of divisional needs to insure adequate personnel are available for work. A. Quantity -N/A

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B. Quality -At least "minimum" coverage will be maintained (minimum coverage as defined by the scheduling task force -see attachment) . Over time for operations will be kept at a maximum of $ /month. 257 C. Timeliness -As needed, however, the team leader will keep in mind emergency situations as they arise and will keep in mind the long term focus for planning vacation and comp time. Objective Number 2: The Operation's Team Leaders will have general responsibility for the security, maintenance, and atmosphere of the jail. This objective is broader than just facility care and includes the monitoring of those processes which insure the organization will fucntion. A. Quantity -The Operation's Team Leaders have general responsibilities for all component parts of the jail. B. Quality -The Director is responsible for insuring that the Operation's Team Leaders perform this function in an adequate manner. C. Timeliness -This is an ongoing responsibility. The Operation's Team Leaders are responsible for all 24 hours of the days work, consequently , the Operation's Team Leaders are on call when they are not in the facility . Objective Number 3: The Operation's Team Leaders are responsible for supervising staff arrd residents. Supervision includes conflict resolution, problem solving and (for staff) the assignment of tasks. When necessary, the operation's Team Leaders will have a working knowledge of all facets of the organization .. A. Quantity -The Operation's Team Leaders have the authority to supervise everyone in the facility (staff and residents). B. Quality -(1) How well the Operation's Team Leaders resolve problems and conflicts will be ascertained by the Director via the volume of informal complaints and compliments received from within and outside the organization.

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(2) The quality of how well the Oper ation's Team Leaders assign staff to function will be informally analyzed between the Director and the Operation's Team Leaders. 258 (3) The quality of how well an Oper ation's Team Leader performs this function will be based on the number of complaints with regard to the Team Leader's planning ability; and the number of complaints from the residents. More than 3 complaints per month from any of these topical areas will mean the Team Leader is not performing this function in an adequate manner. C. Timeliness -The analysis of work assignments will occur at the discretion of the Director. Objective Number 4: The Operation's Team Leaders will function as a communication point whereby information flows vertically (up and down the organizational hierarchy) and horizontally (between the different teams in the organization) . It is the responsibility of the Operation's Team Leaders to attend the Team Leader Meeting and assist in the decision making process. Also, the Operation's Team Leaders will plan and facilitate team days for their teams. A. Quantity -The Operation's Team Leaders or designates, will attend all of the Team Leader Meetings. The Operat1on's Team Leaders, or designates, will plan, attend and facilitate all or their respective team days. B. Quality -(1) The Operation's Team Leaders are responsible for informally surveying Corrections Specialists to find out how much communication (vertical and horizontal) is actually occuring. (2) The Operation's Team Leaders will actively participate in the Team Leader Meeting. This will include discussion as well as decision making. C. Timeliness -The Operation's Team Leaders will: (1) attend one Team Leader meeting per week or as the meetings are convened; (2) attending one Team Day per month or as scheduled;

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(3) be responsible for insuring every Corrections Specialist 259 is briefed once per day from the supervisor's clipboard by either the Team Leader, Assistant Team Leader, or designate. Objective Number 5: The Operation's Team Leaders are responsible for all employees receiving adequate training (initial and on-going) in correctins functions. The primary emphasis is "on the job training". The Operation's Team Leaders are responsible for evaluating training needs and requesting specific in-service training. A. Quantity -The volume of training is on an as needed basis. B. Quality -The Operation's Team Leaders are responsible for spot checking the work of the corrections specialists to see if it meets minimum standards. This spot checking may lead to a request for formal training. C. Timeliness -A formal needs analysis will occur once every six months. This will be conducted by the training officer and bhe results will be reviewed by the Team Leaders.

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260 MINH1UM PERSONNEL COVERAGE BOULDER COUNTY CORRECTIONS Hour of Day HON TUE WED THU FRI SAT SUN 0-1 4 4 4 4 4 4 4 1-2 4 4 4 4 4 4 4 2-3 4 4 4 4 4 4 4 3-4 4 4 4 4 4 4 4 4-5 4 4 4 4 4 4 4 5-6 5 5 5 5 5 5 5 6-7 5 5 5 5 5 5 5 7-8 7 7 7 7 7 7 7 8-9 7 7 7 7 7 7 7 9-10 8 8 8 8 8 8 8 10-11 8 8 8 8 8 8 8 11-12 8 8 8 8 8 8 8 12-13 8 8 8 8 8 8 8 13-14 7 7 7 7 7 7 7 14-15 7 7 7 7 7 7 7 15-16 5 5 5 5 5 5 5 16-17 5 5 5 5 5 5 5 17-18 5 5 5 5 5 5 5 18-19 5 5 5 5 5 5 5 19...,20 5 5 5 5 5 5 5 20-21 5 5 5 5 5 5 5 21-22 5 5 5 5 5 5 5 22-23 5 5 5 5 5 5 5 23-24 4 4 4 4 4 4 4

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261 OBJECTIVES FOR THE WEEKDAY OPERATIONS TEM-1 LEADERS Objective Number 1: To provide all the necessary administrative support to insure the operation runs in an efficient and effecitve manner. The team leaders are responsible for handling those functions which will insure a smooth running operation. These functions will now be discussed in order of importance. I. Direct Operational Planning This includes a needs analysis of the operation when the team leader comes on duty, an decision on what jobs need to be done, and an allocation of resources to insure they are completed. This will include a daily meeting with the assistant team leader to insure the ooeration plan is conveyed. A. Quantity -N/A B. Quality -The quality of how well a team leader performs this f unction will be based on the number of complaints registered from "outside" agencies; the number of staff complaints with regard to the team leader's planning ability; and the number of complaints from the residents. More than 3 complaints per month from any of these topical areas will mean t h e team leader is not performing this function in an adequate manner. C. Timeliness -This planning function will occur on a daily basis. II. Completion of Administrative Paperwork There are three major tasks in this area. Those tasks are: 1. Completion of payroll paperwork; 2. Preparation of supervisor "pass-on" clipboard; and 3. Scheduling of personnnel. These three functions will now be discussed. 1. Completion of payroll paperwork: This task is divided into two main parts. The first of which is preparing the daily data in regards to hours worked, comp time, sick time, overtime, vacation, etc. The second part is compiling this data on a monthly basis for department payroll. A. Quantity -Each team leader will perform this function for those people in his/her team. B. Quality -(1) Payroll forms will be completed in accordance with departmental guidelines.

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262 (2) The team leader will insure all information is entered into the payroll book. (3) Each team leader will insure the arithmetic in payroll calculations is accurate. (4) Each team leader will respond to complaints received about payroll calculations from the corrections specialists (direct input about errors) . C. Timeliness -(1) All "slips" in regard to payroll will be entered in the payroll book on a daily basis. (2) Compilations will be performed once a month and turned into the Director on the 16th of the month (or on the designated date when the 16th occurs on a holiday, weekend, etc.) by 2:00 p.m. 2. Preparation of Supervisor "Pass-On" Clipboard: The purpose of the "pass-on" clipboard is to serve as a communication medium whereby the departing shift supervisor communicates to the oncoming shifts important points about the day's activities. A. Quantity -Two supervisor reports will be completed every 24 hours. B. Quality-The form, Daily Report for Supervisors, will be the form utilized to insure all relevant aspects of the facility are examined. c. Timeliness -Already covered. 3. Scheduling of Personnel: The main thrust of this area is the long term planning of all operational personnel. The team leader will work with the corrections specialists to ascertain their needs while being aware of divisional needs to insure adequate personnel are available for work. A. Quantity -N/A B. Quality -At least "minimum" coverage will be maintained (minimum coverage as defined by the scheduling task force -see attachment) . Overtime for operations will be kept at a maximum of $ /month.

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263 C. Timeliness As needed, however, the team leader will keep in mind emergency situations as they arise and will keep in mind the long term focus for planning vacation and comp time. Objective Number 2: The Operation's Team Leaders will have general responsibility for the security, maintenance, and atmosphere of the jail. This objective is broader than just facility care and includes the monitoring of those processes which insure the organization will function. A. Quantity-The Operation's Team Leaders have general responsibilities for all component parts of the jail. B. Quality -The Director is responsible for insuring that the Operation's Team Leaders perform this function in an adequate manner. C. Timeliness -This is an ongoing responsibility. The Operation's Team Leaders are responsible for all 24 hours of the days they work, consequently, the O peration's Team Leaders are on call when they a r e not in the facility. Objective Number 3: The Operation's Team Leaders are responsible for supervising staff and residents. Supervision includes conflict resolution, problem solving and (for staff), the assignment of tasks. When necessary, the Operation's Team Leaders will be a working supervisor, meaning he/she will perform the necessary tasks. Thus, the Operation's Team Leaders will have a working knowledge of all facets of the organization. A. Quantity -The Operation's Team Leaders have the authority to supervise everyone in the facility (staff and residents). B. Quality -(1) How well the Operation's Team Leaders resolve problems and conflicts will be ascertained by the Director via the volume of informal com9alints and compliments received from within and outside the organization. (2) The quality of how well the Operation's Team Leaders assign staff to function will be informally analyzed between the Director and the Operation's Team Leaders.

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264 (3) The quality of how well an Operation's Team Leader performs this function will be based on the number of complaints registered f ,rom "outside agencies; the number of staff complaints with regard to the Team Leader's planning ability; and the number of complaints from the residents. More than 3 complaints per month from any of these topical areas will mean the Team Leader is not performing this function in an adequate manner. C. Timeliness -The analysis of work assignments will occur at the discretion of the Director. Objective Number 4: The Operation's Team Leaders will function as a communication point whereby information flows vertically (up and down the organizational hierarchy) and horizontally (between the different teams in the organization) . It is the responsibility of the Operation's Team Leaders to attend the Team Leader .Meetinq and assist in the decision making process. Also, the Operation's Team Leaders will plan and facilitate team days for their teams. A. Quantity -The Operation's Team Leaders or designates, will attend all of the Team Leader Meetings. The Operation's Team Leaders, or designates, will plan, attend and facilitate all of their respective team days. B. Quality-(1) The Operation's Team Leaders are responsible for informally surveying Corrections Specialists to find out how much communication (vertical and horizontal) is actually occurring. (2) The Operation's Team Leaders will actively participate in the Team Leader meeting. This will include discussion as well as decision making. C. Timeliness -The Operation's Team Leaders will: (1) Attend one Team Leader meeting per week or as the meetings are convened; {2) Attend one Team Day per month or as scheduled;

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26 5 MINU1UM PERSONNEL COVERAGE BOULDER COUNTY CORRECTIONS Hour of Day HON TUE WED THU FRI SAT SUN 0-1 4 4 4 4 4 4 4 1-2 4 4 4 4 4 4 4 2-3 4 4 4 4 4 4 4 3-4 4 4 4 4 4 4 4 4-5 4 4 4 4 4 4 4 5-6 5 5 5 5 5 5 5 6-7 5 5 5 5 5 5 5 7-8 7 7 7 7 7 7 7 8-9 7 7 7 7 7 7 7 9-10 8 8 8 8 8 8 8 10-11 8 8 8 8 8 8 8 11-12 8 8 8 8 8 8 8 12-13 8 8 8 8 8 8 8 13-14 7 7 7 7 7 7 7 14-15 7 7 7 7 7 7 7 15-16 5 5 5 5 5 5 5 16-17 5 5 5 5 5 5 5 17-18 5 5 5 5 5 5 5 18-19 5 5 5 5 5 5 5 19...,20 5 5 5 5 5 5 5 20-21 5 5 5 5 5 5 5 21-22 5 5 5 5 5 5 5 22-23 5 5 5 5 5 5 5 23-24 4 4 4 4 4 4 4

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Objective Number 5: (3) Be responsible for insuring every Corrections Specialist is briefed once per day from the supervisors clipboard by either the Team Leader, Assistant Team Leader, or designate. The Operation's Team Leaders are responsible for all employees receiving adquate training (initial and ongoing) in correc_tions functions. The primary emphasis is "on the job training". The Operation's Team Leaders are responsible for evaluating training needs and requesting specific in-service training. A. Quantity -The volume of training is on an as needed basis. 266 B . Quality-The Operation's Team Leaders are responsible for spot checking the work of the corrections specialists to see if it meets minimum standards. This spot checking may lead to a request for formal training. C. Timeliness A formal needs analysis will occur once every six months. This will be conducted by the training officer and the results will be reviewed by the Team Leaders. Objective Number 6 : The Weekday Operations Team Leader is responsible for communication, and coordination of operations activities with all outside agencies, including other divisions of the Sheriff's Department. The Weekday Operations Team Leader will be the focal point within the jail for communications to outside agencies regarding the operational activities. Thus, the Weekday Operations Team Leader's objective is to coordinate and facilitate all operational activities the jail has with outside agencies or other Divisions in the Sheriff's Department. A. Quantity -Specifically, the Weekday Operations Team Leader is responsible for all operational activities with the following: (1) State institutions; ( 2 ) Other jails and county governments; (3) Courts; (4) Other divisions within the Sherr if's Department, including the Reserve Unit.

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B. Quality-The quality of how well the Weekday Operations Team Leader performs this function will be based on the nurrber of complaints 267 received from "outside" agencies or other divisions of the Sheriff's Department. More than three complaints per month about problems which were not resolved, will mean that the Weekday Operations Team Leader is not performing this function in an adequate manner. C. Timeliness -(1) Working with state institutions, other jails, and county governments, and other Objective Number 7: divisions within the Sheriff's Department will occur on an ongoing basis and coordination of all activities will occur as needed. (2) Communication will occur at least once per week with District Court Clerk regarding court related paperwork , coordination of transports, etc. The Weekday Operations Team Leader is second in command of the operation. Thus, the Wee kday Operations Team Leader will serve as Director in the absence of the Director. Objective Number 8: The Weekday Operations Team Leader is responsible for insuring that the Resident Review Board is carried out in compliance with policies outlined in the policy manual. A. Quantity -The Weekday Operations Team Leader is responsible for insuring the convening of all Review Boards, when appropriate, and that the Review Boards are established and convened in accordance with policies. B. Quality -High quality means the Weekday Operations Team Leader will communicate with the Chairman of the Review Board to insure the Board was convened in accordance with policy. c. Timeliness -The Weekday Operations Team Leader will insure the Review Board is convened within the time frame outlined in the policy manual.

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OBJECTIVES FOR THE WEEKEND OPERATIONS TEAM LEADERS Objective Number 1: To provide all the necessary administrative support to insure the operation runs in an efficient and effective manner. The team leaders are responsible for handling those functions which will insure a smooth running operation. These functions will now be discussed in order of importance. I. Direct Operational Planning 268 This includes a needs analysis of the operation when the team leader comes on duty, a decision on what jobs need to be done, and an allocation of resources to insure they are completed. This will include a daily meeting with the assistant team leader to insure the operation plan is conveyed. A . Quantity N/A B. Quality -The quality of how well a team leader performs this function will be based on the number of complaints registered from "outside" agencies; the number of staff complaints with regard to the team leader's planning ability; and the number of complaints from the residents. More than 3 complaints per month from any of these topical areas will mean the team leader is not performing this function in an adequate manner. C. Timeliness -This planning function will occur on a daily basis. II. Completion of Administrative Paperwork There are three major tasks in this area. Those tasks are: 1. Completion of payroll paperwork; 2. Preparation of supervisor "pass-on" clipboard; and 3. Scheduling of personnel. These three functions will now be discussed. 1. Completion of payroll paperwork: This task is divided into two main parts. The first of which is preparing the daily data in regards to hours worked, comp time, sick time, overtime, vacation, etc. The second part is compiling this data on a monthly basis for department payroll.

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A. Quantity -Each team leader will perform this function for those people on his/her team. B. Quality -(1) Payroll forms will be completed in accordance with departmental guidelines. (2) The team leader will insure all information is entered into the payroll book. 269 (3) Each team leader will insure the arithmetic in payroll calculations is accurate. (4) Each team leader will respond to complaints received about payroll calculations from the corrections specialists (direct input about errors) . C. Timeliness -(1) All "slips" in regard to payroll will be entered in the payroll book on a daily basis. (2) Compilations will be performed once a month and turned into the Director on the 16th of the month (or on the designated date when the 16th occurs on a holiday, weekend, etc.) by 2:00 PM. 2. Preparation of Supervisor "Pass-On" Clipboard: The purpose of the "pass-on" clipboard is to serve as a communication medium whereby the departing shift supervisor communicates to the oncoming shifts important points about the day's activities. A. Quantity Two supervisor reports will be completed every 24 hours. B. Quality -The form, Daily Report for Super visors, will be the form utilized to 1nsure all relevant aspects of the facility are examined. C. Timeliness -Already covered. 3. Scheduling of Personnel: The main thrust of this area is the long term planning of all operational personnel. The team leader will work with the corrections specialists to ascertain their needs while being aware of divisional needs to insure adequate personnel are available for work.

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A. Quantity -N/A B. Quality -At least "minimum" coverage will be maintained (minimum coverage as defined by the scheduling task force -see attachment) . Overtime for operations will be kept at a max-imum of $ /month. 270 C. Timeliness A s needed, however, the team leader will keep in mind emergency situations as they arise and will keep in mind the long term focus for planning vacation and camp time. Objective Number 2: The Operation's Team Leaders will have general responsibility for the security, maintenance, and atmosphere of the jail. This objective is broader than just facility care and includes the monitoring of those processes which insure the organization will function. A . Quantity -The Operation's Team Leaders have general responsibilities for all component parts of the jail. B. Quality -The Director is responsible for insuring that the Operation's Team Leaders perform this function in an adequate manner. C. Timeliness -This is an ongoing responsibility. The Operation's Team Leaders are responsible for all 24 hours of the days they work, consequently , the Operation's Team Leaders are on call when they are not in the facility. Objective Number 3: The Operation's Team Leaders are responsible for super vising staff and residents. Supervision includes conflict resolution, problem solving and (for staff), the assignment of tasks. When necessary , the Operation's Team Leaders will be a working supervisor, meaning he/ she will perform the necessary tasks. Thus, the Opera tion's Team Leaders will have a working knowledge o f all facets of the organization. A. Quantity -The Operation's Team Leaders have the authority to supervise everyone in the facility (staff and residents). B. Quality -(1) How well the Operation's Team Leader resolves problems and conflicts will be ascertained b y

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271 the Director via the volume of informal complaints and compliments received from within and outside the organization. (2) The quality of how well the Operation's Team Leaders assign staff to function will be informally analyzed between the Director and the Operation's Team Leaders. (3) The quality of how well an Operation's Team Leader performs this function will be based on the number of complaints registered from "outside agencies; the number of staff complaints with regard to the Team Leader's planning ability; and the number of complaints from the residents. Hore than 3 complaints per month from any of these topical areas will mean the Team Leader is not performing this function in an adequate manner. C. Timeliness -The analysis of work assignments will occur at the discretion of the Director. Objective Number 4: The Operation's Team Leaders will function as a communication point whereby information flows vertically (up and down the organizational hierarchy) and horizontally (between the different teams in the organization). It is the responsibility of the Operation's Team Leaders to attend the Team Leader Heeting and assist in the decision making process. Also, the Oper ation's Team Leaders will plan and facilitate team days for their teams. A. Quantity -The Operation's Team Leaders or designates, will attend all of the Team Leader Meetings. The Leaders, or designates, will plan, attend and facilitate all of their respective team days. B. Quality -(1) The Operation's Team Leaders are responsible for informally surveying Corrections Specialists to find out how much communication (vertical and horizontal) is actually occurring.

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272 (2) The Operation's Team Leaders will actively participate in the Team Leader meetino. This will include discussion as-well as decision making. C. Timeliness -The Operation's Team Leaders will: (1) Attend one Team Leader meeting per week or as the meetings are convened; Objective Number 5: (2) Attend one Team Da y per month or as scheduled; (3) be responsible for insuring every Corrections Specialist is briefed once per day from the supervisors clipboard by either the Team Leader, Assistant Team Leader, or designate. The Operation's Team Leaders are responsible for all employees receiving adequate training (initial and ongoing) in corrections functions. The primary emphasis is "on the job training". The Operation's Team Leaders are responsible for evaluating training needs and requesting specific in-service training. A. Quantity -The volume of training is on an as needed basis. B. Quality -The Operation's Team Leaders are responsible for s pot checking the work of the corrections specialists to see if it meets minimum standards. This spot checking may lead to a request for formal training . C. Timeliness -A formal needs analysis will occur once every six months. be conducted by the training officer and the results will be reviewed by the Team Leaders. Objective Number 6: The Operation's Team Leader who works on the weekends is responsible for supervising all resident activities conducted during the weekend. This will include coordination of special activities with program's staff as well as supervising weekend activities such as phone calls, module assignemnts, recreation, contact visiting, etc. The mafn point is tha"t, for weekend, the on-duty Operations team leader is responsible for general operational functions as well as those functions normally handled b y the Module team leader during the week.

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273 A. Quantity -The on-duty Operations team leader is responsible for all duties normally handled by the Module team leader (excludes trative duties) . B. Quality -The quality of how well the Operations team leader performs this function will be based on the number of "valid" cornpaints from residents which are presented in inmate council. (Validation of complaints is based on examining the Master Control logbook, or the pass-on books to determine the validitv of the cornplaint.) Three valid complaints per month will mean the Operations team leader is not performin the this function in an adequate manner. C. Timeliness -The weekend Operations team leader is responsible for all weekend activities. Objective Number 7: The Operations team leader is responsible for directing, planning and supervising firearms training and qualification. This entails scheduling personnel for range instruction and weapon qualification. The Operations team leader "Y7ill work with the training office r in scheduling these clinics and the training officer is responsible for doing the necessary paperwork. A. Quantity -All commissioned personnel will attend one clinic per quarter, will meet qualification standards outlined in the Policy Manual. B. Quality -All commissioned personnel will meet qualification standards outlined in the Policy Hanual. C. Timeliness One clinic will be offered at least once every month. If there are new trainees, a special clinic will be set up to accommo-date the trainees.

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274 OBJECTIVES FOR THE LEADER Objective Number 1: The Operations Assistant Team Leaders are responsible for the direct supervision of Corrections Specialists assigned to their shift. Direct supervision includes problem solving, responsibility of accountability, and providing training. This does not limit the Operations Assistant Team Leader to supervising only those Corrections Specialists on his shift, but rather includes all employees at the Boulder County Corrections Center. A. Quantity -The Operations Assistant Team Leaders are responsible for all persons on their shift and for supervisina all persons in the facility to insure the operation runs efficiently and safely. B. Quality -(1) To ascertain how well the Operations Assistant Team Leader provides training, the Operations Team Leader and the Director will examine the evaluations of Corrections Specialists trained by the Operations Assistant Team Leader to determine the Operations Assistant Team Leader's level of proficiency in training. (2) The Operations Team Leader will subjectively examine the number of conflicts and problems and see how they were resolved to evaluate how well the Operations Assistant Team Leader performs this problem solving function. (3) Responsibility means that the Operations Assistant Team Leader will insure all tasks are performed in accordance with policy and procedures. For any error that occurs during a shift, or any error that is discovered by an Operations Assistant Team Leader, the Operations Assistant Team Leader will be directly concerned with the correction of those errors. C. Timeliness -Specifically, the Operations Assistant Team Leaders are responsible for all actions which occur on their shift. However, should they be in the facility (on duty or not) and see an error, it is their responsibility to take steps to correct the error.

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275 Objective Number 2: The Operations Assistant Team Leaders are responsible for having a personal Management Interview with each Corrections Specialist they directly supervise and for evaluating and insuring peer evaluations are conducted for all Corrections Specialists on their shift. A. Quantity -The Operations Assistant Team Leaders will perform these functions only for the Corrections Specialists they supervise. One master filing system will be maintained which will contain all of the Personal Management Interview forms completed for Corrections Specialists by Operations Assistant Team Leaders. B. Quality -(1) For evaluations, the appropriate forms will be completed in the manner prescribed by this division. (2) For Personal Management Interviews the appropriate forms will be completed in the manner prescribed b y this Division. C. Timeliness -(1) Evaluations and peer evaluations will occur once per quarter during the months of December, March, June and September. Objective Number 3: (2) The Operations Assistant Team Leader will conduct one Personal Management Interview with each Corrections Specialist each week. The Operations Assistant Team Leaders are responsible for the preparation of the supervisor "Pass-on" clipboard. The purpose of the "Pass-on" clipboard is to serve as a communication medium whereby the departing shift supervisor communicates to the oncoming shifts important points about the day's activities. A. Quantity One supervisor report will be completed every 24 hours. B. Quality -The form, Daily Report for Supervisors, will be the form utilized to insure all relevant aspects of the facility are examined. C. Timeliness -Already covered.

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Objective Number 4: The Operations Assistant Team Leaders who work on the weekends are responsible for supervising all resident activities conducted during the weekend. This 276 will include coordination of special activities with program's staff as well as supervising weekend activities such as phone calls, module assignments, recreation, contact visiting, etc. The main point is that, for weekends, the on-duty Operations Assistant Team Leaders are responsible for general operational functions as well as those functions normally handled by the Module Team Leader during the week. A. Quantity -The on-duty Operations Assistant Team Leaders are responsible for all duties normally handled by the Module Team Leader (excludes administrative duties). B. Quality -The quality of how well the Operations Assistant Team Leaders perform this function will be based on the number of "valid" complaints from residents which are presented in inmate council. (Validation of complaints is based on examining the Master Control logbook, or the pass-on books to determine the validity of the complaint. Operations Assistant Team Leaders are responsible for nothing what weekend activities are completed, when they are completed, and any other pertinent information regarding weekend activities. This information will be utilized in the determination of what constitutes a "valid" complaint.) Three valid complaints per month will mean the Operations Assistant Team Leaders are not performing this funciton in an adequate manner. C. Timeliness -The Operations Assistant Team Leaders are responsible for all weekend activities. Objective Number 5: The Operations Assistant Team Leaders will serve as the "linking pin" to facilitate the flow of communication vertically through the organization. The Operations Assistant Team Leader will report to the Operations Team Leader for direct In addition, the Oper ations Assistant Team Leader will also deal with the Director when necessary. The purpose is to insure that there is a direct communication link with the Operations Assistant Team Leaders and the higher management levels. The Operations Assistant Team Leaders will also communicate directly with the Corrections Specialists passing on necessary information. This information will be used for problem solving and general information exchange.

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277 A. Quantity -All Operations Assistant Team Leaders will serve in this linking pin function. B. Quality -(1) Each Operations Assistant Team Leader will have a Personal Management Interview with the Operations Team Leader. (2) Each Operations Assistant Team Leader will have a Personal Management Interview with the Director. C. Timeliness -(1) The Operations Assistant Team Leaders will have one Personal Management Interview per week with the Operations Team Leader. (2) The Operations Assistant Team Leaders will have one Personal Management Interview per month with the Director.

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278 BOOKING ROO.H JOB DESCRIPTION Objective: The objective of this handout will be an overview and general reference for Corrections personnel assigned to specific duty in Boulder County Sheriff's Department Booking Room. It will attempt to demonstrate professional attitudes toward the job function and toward all persons who come in contact with the booking area. This is a general guideline but is not meant to override personal C/S discretion in operating a secure booking area. Preface: The booking area is perhaps the most detailed and complex area of the facility. It requres wide use of organizational and personal skills along with a general comprehension of the Criminal Justice System. Some functions of the booking room will vary depending upon specific requirements and demands of the shift but certain general duties will be consistent. Specific Duties: Beginning the Shift: It will be the duties of those corrections specialists who are assigned to the booking area to: (1) Take a quick general assessment of the situation in the area, i.e., how many waiting to be processed, how many in isolation, and any specific problems. ( 2) Get with the previous shift officers for a briefing, i.e., special concerns, those to be booked out, court appointments, transports to go or come in, problem book-ins, special paperwork. (3) Check of physical area for weapons, contraband and general conditions. (4) Start of shift paperwork, i.e., shift sheet, cash and cards, etc. Arrival of Arrestee: Upon notification of incoming arrestee by blue channel or master control the booking personnel are required to obtain the needed amount of .property bags and proceed to the intake garage. Arresting officer and arrestee must be met by booking personnel in the intake garage. C/S is to assist the officer in any way needed, also to assess the physical and mental stability of the arrestee. If a clear and present medical or mental problem is determined, the C/S should attempt to investigate the situation with the arresting officer. It is recommended

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279 that this be done in private, maintaining a professional attitude. The C/S should attempt to determine if custody in our facility is proper for the arrestee at that time. The C/S should clarify his position as to the Community's options best suited for the arrestee. The C/S on duty must be aware that if he determines that an arrestee needs medical attention that he must inform the transportinq or arresting officer and have the arrestee taken to the hospital and cleared before Corrections will accept him. C/S should lead arrestee to proper holding area where either bhe arresting officer or the C/S will do a thorough pat search. If the arresting officer does a search which the assisting C/S does not feel is proper or thorough enough, then it is his duty to complete or redo the search to ensure proper security. Property taken from the arrestee should be placed in the plastic property bag and all monies counted in the presence of the officer and arrestee. The property and money should remain in the custody of the arresting officer until he has delivered all appropriate paperwork to the booking desk. The C/S present should take this oportunity to begin to establish rapport with both the a rresting officer and the a rrestee. Mak e sure to explain that arrestee is still in t h e custody of the arresting officer and a C/S will return as soon as you have the information pertaining to h is/her situation. It should be stressed that early a ttempts at humane concern for individual situations will greatly aid the booking process later. Early attempts to aid the officer to do his job will strengthen rappor t between a gencies and divisions. A C/S must always act with professionalism toward all concerned; often a tactful middle ground will aid both parties. Once the search is over booking personnel will leave the arresting officer and the arrestee to finalize the paperwork. Once the arresting officer has completed the arrest report he will bring all necessary paperwork and the arrestee's property to the booking desk. The booking personnel will take the arrest report, check it over for required detailed information, if all is in order, the report will be signed and the resident will be accepted into Boulder County SO custody. The booking specialist will begin all proper paperwork, i.e., calling to computer, log-in booking book, determine bond if applicable, type in on shiftsheet, and compile needed paperwork file. If the resident is a likely candidate for a personal recognizance bond the C/S will interview the resident to determine if the County Court criteria can be met. If so a bond Commissioner will be called (if it is within their norma l working schedule) , so that the Bond Commissioner will be present b y the time the booking

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process is completed. It is very important to ensure that the resident has a clear understanding of what is happening to him in reference to the Bond Commissioner. The C/S on duty must be patient while explaining how the system works. It should be remembered that many citizens do not have a clear working understandng bf 280 how the Criminal Justice System truly works. Whether or not the option of a Bond Commissioner is valid, the Booking Specialist should then bring the resident to the booking desk for processing. At this point it is the discretion of the C/S on duty as to do another pat search. Once in this area the Booking Specialist should attempt to explain what the (1) charges are; (2) what is happening; (3) what is going to happen; (4) all alternative to release is applicable. Often this exchange of information can be done during the fingerprinting process. It is important to keep in mind the mood of the resident, to approach him honestly and on his o w n level. Always attempt to be helpful, courteous and civil. The C/S should attempt to reduce or alleviate anxiety and false conceptions about being arrested and/or incarcerated. C/S should always encourage questions and conversation. If the booking specialist is positive that the resident will be incarcerated he should attempt to impart to the resident a general overview of Boulder County Corrections, its philosophy, physical construction and low key atmosphere. During the booking process all paperwork signed by the resident should be clearly explained to him so that he has a full understanding o f what he is signing. Phone calls should be handled tactfully with specific emphasis on what is expected as to length and content. As an added note the booking area is often an excellent opportunity for referrals to community a gencies, i.e., ARC, Mental Health and our own Classification Office and Staff Psychologist. Once the general booking process is finished, either the resident will be released or housed. If released, be sure to make him aware of legal contacts in the Community and remind him to fulfill any and all legal commitments still open for him, i.e., Public Defender, Legal Aid, and Bond Appearance Dates. Make sure that releasee has an opportunity to clear up any outstanding questions. If the resident is to be housed and he has not previously been briefed as to what to expect, this should be done now (strip search --how and why, housing, low tension atmosphere). A good time to do this is durinq the excorted walk from booking to the personal effects room. Please note that the corridor from booking to Master Control can constitute a security problem because it is isolated, so the escorting C/S should be very alert as to control and escape attempts. Within the personal effects area the C/S should take extra care to be respectful of the individual's sensitivity. The C/S processing the resident should be directive and take time to explain why strip searches and

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281 showers are necessary (security and health). The processing C/S should tell the resident how to use the shower safely, the C/S should remain within eyesight of the resident only if he has reason to believe that the resident might be unsteady for any reason or inclined not to actually take a shower. Processing C/S does not always have to be personnel from the booking area, depending on how busy the booking area is and how many available rovers are able to assist. The processing C/S will supply all necessary linen and escort the resident to the specific housing area. At this time the escorting C/S should inform the resident of the : ; schedule and responsibility of that housing area and encourage any last minute questions that he might have. Residents should be listed on module status board, booking room status board and their property locker key number logged. Problem Book-in: If an arrestee becomes a problem during the booking process, it is of utmost importance that the booking personnel maintain a positive professional attitude. Patience is often required along with numerous alternative communication approaches to the situation. If necessary the C/S should attempt to be very directive and firm with the arrestee. In most cases allowing the arrestee to remain in the holding area cage or placing him in Isolation for an appropriate period of time should be enough to allow the arrestee time to regain his control or overcom e any substances which might be affecting him. Booking personnel must alwa y s attempt to separate what is being said by a specific resident from their personal feelings and attempt to place anger in proper perspective. Before any action is taken b y booking staff, they should take the necessary time to confer, talk over additional options and preparations necessary. Unplanned action can often backfire causing unnecessary trouble and/or injury to staff or arrestee. The use of physical force should only be used as a final alternative when all else has failed. The use of force or restraints should whenever possible, be at the discretion of the on-duty supervisor unless time factors do not permit contact with the supervisor. All use of force or restraints will require a written report in acceptable department from before the ending of the shift. Isolation Responsibility : Personnel assigned to the booking room also have the responsibility to supervise any resident placed in isolation. Their health and well being should be of major concern to the booking room specialists. It is important that those residents isolated are not deprived

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282 of their constitutional or moral rights, i.e., medical, recreation, phone calls, reading material, safety from others or self. Periodic checks are always required of all residents in Isolation no matter the reason for their separation from the general population. All checks should always be logged in the Isolation pass-on book. Security aspects should always be considered when dealing with individuals in Isolation. Often subjects who are in Isolation have serious mental problems and should be dealt with firmly but with understanding and compassion. All medical Isolation instructions from our medical staff must always be followed and logged in the Isolation pass-on book. Graveyard Shift: The booking staff has certain specific responsibility as follows: (1) preparation of commissary slips on appropriate nights, (2) up-date status board, (3) rnaintainence of log books, (4) preparation of jail list, (5) preparation of court disposition sheets when possible. Day Shift: During the day shift booking staff is required to communicate with other police agencies, divisions, court and criminal justice agencies and the general public. Their communications are often numerous and complex, and it is the responsibility of booking to handle all withprofessionalism, patience and accuracy. It is important to remember that most of our division exposure to the outside world is conducted through the telephone in the booking area. It is also the responsibility of day shift booking personnel to coordinate all court appointments and transports. Ending of Shift: The accurate transfer of the booking room from one shift to another is of maximum importance to insure a smooth and efficient operation. It is the1C/S assigned to the booking area's responsibility to ( 1) brief on-corning shift, (2) transfer his shift's paperwork to records, (3) finish his shift sheet, (4) transfer cash and cards. General: The booking area is required to serve meals to Isolation, Holding area and transfer meals to Juvenile area. This should always be done in a courteous manner, with concern for proper hygiene and security. All use of kitchen materials must be logged in out out. Weapons control in the booking area is a major concern. All weapons must be secured in their proper area.

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283 No movement of weapons should be allowed without first determining if a secure situation exists and with the knowledge of other C/S in the area (this includes shift transfer) . It is strongly recommended that all personnel who work in the booking area have their personal weapons available for emergencies. The booking room staff is responsible for maintaining the area in an orderly and clean fashion whenever possible. It should be rememberedthatmany people see this area each day and it is often their only contact with our facility (including holding cages and interview rooms) .

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284 COURT Policy: To ensure the security of residents in court and to and from court; to ensure the safety of court personnel, Corrections Specialists, court spectators and residents; to maintain complete and accurate records of residents' court status and appearances and court orders. Procedures: A. Notification of court appearance to resident. Each resident shall receive prior notification of the time of his court appearance. The day shift shall complete a master list of all court appearances (court, judge and time, resident's name) on the night before the court appearances. Before the end of the shift, three copies will be delivered to each Module. One copy will be delivered to the Programs Director, Master Control Specialist and Court Security Specialist. When each Modular Control Specialist begins the day shift, he will post one copy of the master court list on each side of the Module and keep one copy for himself. B. Movement to and from court. At approximately one-half hour before a scheduled court time, the Court Security Specialist(s) will respond to the Modules, remove the residents scheduled for court, handcuff them in front, and transfer them to the Booking Area. The residents can be held in Holding Cell 3 or a vacant Isolation Cell until fifteen minutes before the scheduled court. At this time the Court Security Specialists will advise the residents of their demeanor: (1) That they will not smoke, (2) That they will not pass or receive any items from others, (3) That they will not communicate with anyone en route to court, (4) That they will not communicate with anyone in court, except their attorneys, or except with permission of the Court Security Specialist, (5) That they will rise when the judge enters or leaves the court and when addressed by the judge, (6) That they will be respectful to the judge and only speak when spoken to,

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(7) That they will not leave their assigned seating area. The Court Security Specialist will then check to see that each resident's uniform is complete and in decent repair. He will then proceed to the Booking Room. At the Booking Room, he will remove his duty weapon from the gunbox and proceed through the court corridor door to the Courtroom Area with the residents. 285 The number of Court Security Specialists required to escort residents will be determined by the on-duty spuervisor. As a general rule, if three or more residents are scheduled, two Court Security Specialists will be required for escort. If ten or more residents are scheduled, three Court Security Specialists will be required. If only one Court Security Specialist is escorting the residents, he will utilize the same general procedure as applies to movement of prisoners in the confines of the facility. If two Court Security Specialists are escorting one will proceed at the beginning, and the other at the end of the line. If there are three Court Security Specialists escorting, the third will proceed at the center of the line. C. Courtroom Security. The Court Security Specialist will remain as close to the resident as possible to prevent his escape and to be ready to control any aggressive movements. If the resident sits at an attorney's table, the Court Security Specialist will stand or sit behind him. If the resident moves up to stand before the judge, the Court Security Specialist will move up behind him. If the resident moves into the witness box, the Court Security Specialist will station himself next to the box. In the event that the court appearance is held in a different courtroom, or only one Court Security Specialist is escorting, the residents will be taken directly into the courtroom and ushered into the jury box. The Court Security Specialist will remain outside the jury box and being conscious of the position of his duty weapon, he will remove the handcuffs. If there are two or more Court Specialists, one will pass his duty weapon to the other and will be unarmed when handcuffing or unhandcuffing. He will then position himself behind and in the center of his resident.

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286 In the event that a resident becomes verbally abusive, unruly or uncontrollable in the court, the Court Security Specialist will make every effort to re-establish order by verbal, not physical persuasion. If physical restraint is necessary, the Court Security Specialist will use only defensive and reasonable force. which may include handcuffing. The Court Security Specialist will not take it upon himself to remove a resident from court. He will wait for the judge to order it. If he is alone, he will signal the court clerk to call for assistance. If contraband is passed to a resident in court, and only one Court Security Specialist is escorting, that Court Security Specialist will carefully watch the resident, and signal the court clerk to call for assistance. When another Court Security Specialist arrives, the first Court Security Specialist will leave the other residents in his custody, remove the offending resident from the courtroom, seize the contraband, and return the resident to the Booking Room for further disciplinary action. he will then notify the Court what has happened. The person passing the contraband will be detained and the appropriate action will be taken. If a bomb scare reaches the courtroom and evacuation is demanded , the Court Security Specialists will remain in the courtroom with the residents, and will be the last ones to leave, after the crowd has cleared the floor and the immediat e hall area. If a resident becomes very ill in court, and only one Court Security Specialist is present, he will signal the court clerk to call for assistance. He will then ask a member of the court personnel (e.g., Assistant D.A., Defense Attorney) to attend to the victim, while the Court Security Specialist retains custody of the other residents. In all emergency situations in court when there are two or more Court Security Specialists present, one Court Security Specialist will always retain custody of the residents, while the other one or two Court Security Specialists attend to the situation.

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287 D. Court Security Specialist's Duties and Responsibilities. While transferring the residents to and from court, the Court Security Specialist will be vigilant that no resident escapes or receives contraband. In court, the Court Security Specialist will make note of all possible exits of escape for residents. He will prevent their escape, their receipt of contraband, and their unruly behavior. He will monitor the crowd for suspicious persons who may attempt to disrupt court proceedings, effect a resident's escape, or attempt to assault the judge. He will mon-itor the residents for impending sickness, psychological problems, and escape attempts. The Court Security Specialist will carry a copy of the court disposition sheet each time he is in court. He will complete this sheet with the appropriate information, and return this sheet along with the court clerk's sheet to the Booking Room. If he receives any court orders, it will be his responsibility to see to it that these orders reach the Booking Room and are properly filed. The Court Security Specialist will be vigilant when removing or replacing his duty weapon from the gun box in the Booking Room. He will check the area to see to it that there are no residents in the area. When carrying his weapon, he will be sure that it is secure in a holster and that he does not afford anyone the opportunity to remove it from him. This is a very real concern since he will be in close contact with residents and with the public in court. The Court Security Specialist will maintain a neatandprofessional appearance at all times. When in court, he will not slouch if seated, or lean if standing. He will always carry a duty weapon, unless specifically ordered not to by a supervisor. He will only carry one weapon, however. No second guns will be permitted. It is also important that the Court Security Specialist be polite and courteous when dealing with the residents, court personnel and the public, since he will be in the public focus most of the time.

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288 It will be a primary responsibility of the Court Security Specialist to ensure the safety and well-being of the court personnel, especially the judge. Even though the Court Security Specialist's first responsiblity is to maintain custody of the residents, if the judge's life is threatened, the preservation of that life becomes the overwhelming priority. This would apply to any situation involving threat of death or serious injury to anyone in court or en route to and from court.

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TRANSPORT POLICY AND JOB DESCRIPTION I. Paperwork A. Transport Log B. Gas Log C. Warrants D. Court Writs II. Booking Room Preparation A. Pre-releases called into records. B. Check to make sure the residents property inventory has been signed and their possessions in order. C. Check for any mdedical or dental appointments which may have been made. D. Have necessary paperwork in order. E. Have meals delivered to holding area if necessary. F. Check road map directions, if unfamiliar with the area. Copies of maps in file. III. Automobile Preparation A. Check the oil. B. Make sure gas tank is full. C. Make record of any mechanical problems (list located in ca:r) . D. Check car for any contraband or objects where passenger may be riding. IV. Equipment Preparation A. Belly chain. B. Leg restraints (if necessary). C. Hand-cuffs and extra set. D. Hand gun. E. Twelve extra rounds of amo. 289 F. Shoot gun (if qualified and felt it was needed). V. Transport Preparation A. Advise the resident as to what is happening to them. B. Ask resident if he or she needs to use the bathroom before departing, because no stops will be made for this reason. c. Try to schedule all transports so that delivery occurs after or before meals.

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VI. Procedure for transporting one or more people with a car bubble. A. One person -seat at rear on passenger side, fasten seat belt on person. B. Two people -place in rear seat, problem individual on rear passenger side, seat belts fastened. C. No one should ride in the front seat unless absolutely necessary or if transporting two or more people and one is a female. Females should be separated from males. VII. Radio Communication. A. Radio in all transport vehicles contain four channels. 1) Green Channel 2) Blue Channel 3) CSP Channel 4) Data B. Set radio channel to Green. C. Notify dispatch of the following information: 290 1) ln route (10-76) to -Location 2) Number of prisoners in car (10-95's) 3) Number of officers riding (ID#'s) D. When losing reception to Green Channel(l), switch to CSP Channel (3). E. If transporting female-alone, must give location and mileage to dispatch upon departing and arrival. VIIIi Reaching destination. A. Leave weapon at entrance gate at Canyon City and Buena Vista. B. Colorado State Hospital -must leave weapon in car. C. Drop a copy of paperwork off and return with the rest of the paperwork (signed when appropriate) . D. Inform Dispatch of your arrival if within range. IX. General Function. It is the primary duty and responsibility of the Transport Specialist to provide for the safe and secure transportation of persons in custody to and from Boulder County Corrections.

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291 MASTER CONTROL Objective: The objective of this handout is to give the Corrections Specialist a general knowledge of the duties of the Master Control Specialist. This is a general guideline. It is not possible to cover all of the intricacies of Master Control in a brief guideline such as this. Specific knowledge will be gained through job experience. Preface: Master Control is the nerve center of the Corrections Facility. As such, Master Control has the overall res-ponsibility for security in the facility. This respon-sibility includes the monitoring of the facility to insure the well being of both the staff and the residents. General Duties: 1) Monitor T.V.'s 2) Answer intercoms. 3) Answer 1400 Blue Channel. 4) Open doors for authorized personnel. 5) Keep in contact with rovers so that you know locations at all times. 6) Monitor fire and courtroom alarms. a. Contact supervisor for both alarms. b. Send available person to courtroom alarms. c. Send available people to find where alarm is f o r fire a larms.

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d. Turn off audio of courtroom alarms b y pushing button under the display panel. e. Call juvenile if they do contact you for fire alarm. 7) Answer ext. 3679 with "Master Control". 8) Monitor keys that go in and out. 292 9) Monitor motion detector alarms. Set appropriate alarms for the shift. If they go off notify supervisor and available personnel to respond. Notify communications. 10) Turn courtyard and roof light on at sunset and off at sunrise. 11) Grave yards change razor blades in all razors. 12) Change key list sheet at end of graves. 13) Give power to rear control when requested b y a ppropriate authority . 14) Cente r maintenance problems in maintenance pass-on book. 15) Graves do F.B.I. fingerprint cards. 16) Monitor use of lights in Library and turn off when not in use. 17) Also turn on and off lights in reception when not in use. Also lights in visitors' booth. 18) Use pass-on book in master control for all important information. 19) The gun boxes in master control used by master control specialists and rovers. 20) Monitor activity in library , i.e. visits, groups, etc. 21) Coordinate with reception for visitors. 22) Be familiar of the use of back up intercom. 23) Inform Booking Room of new arrests coming in and work release coming in. 24) If an emergency intercom off send first available rover to location.

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25) If the juveniles come down make sure that the gym is empty. 26) Keep Master Control tidy. 293 27) Check keys before the shift starts to make sure all are accounted for. 28) Keep Master Control's jail list up to date. 29) Monitor and control all visits as far as the length is concerned. 30) Check with supervisor for all tours. 31) Coordinate gym activities so that no two groups are in gym at once, i.e. trustees and juveniles. 32) Make certain all doors not used are closed. 33) Be familiar with Master Control manuals and the important ten codes. 34) Keep track of location of supervisors. 35) Have folding doors open in library when library is not in use. 36) The panic alarm in Master Control should be used at the discretion of the Master Control Specialist in an emergency situation. 37) Coordinate rovers' movements to be available for things like med rounds.

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Master Control's Duties in an Emergency Situation: 1) Injury: Notify the nurse; send help and equipment. 2) Riot: Have residents secured in modules. Do not announce over paging system. 294 3) Power Failure: Find flashlight in Master Control; close doors in immediate area; order visitors to nearest corridor and have them remain until otherwise directed. 4) Hostage: Have residents secured in modules. 5) Death: Have residents secured in modules; -----direct visitors to library. Allow no one to enter or leave the area until the Captain directs you do to. Escape: Have residents secured in modules; contact dispatch with escapees description. 7) Bomb Threat or Explosion: Evacuate visitors; have residents secured in modules. 8) Major Fire: Announce evacuation over paging system on order of supervisor; sound alarm; close doors; visitors out; last specialist to leave. 9) Flood: Announce evacuation over paging system on order of supervisor; visitors out; coordinate movement of modules one at a time.

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295 ROVER JOB DESCRIPTION Objective: The Objective of this handout is to give Corrections personnel a general idea of the responsibilities of the rover in the Corrections facility. Because of the intricacies of the Rover position, only a general guideline is possible. The specifics will be learned on the job: Preface: Rover responsibilities cover a wide range of activities. The Rover is constantly in the presence of residents in the facility and thus must keep security of the facility and the welfare of the residents constantly in mind. Rover responsibilities may vary based on situational changes in the facility. The following is a general description of the responsibilities of the Rovers on the three different shifts. For details of specific activities check policy manual. IF CALLED BY MASTER CONTROL TO RESPOND TO ALARMS: 1) Fire Alarm Locate alarm with blinking red light and notify Master Control. (If "Return Duct" Fire Alarm, Rover to roof top to check module location of alarm. 2) Courtroom or Intrusion alarms: a. Outside Corrections respond armed to location of alarm. b. Inside Corrections Check out area for any unauthorized people in area.

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296 ROVER-DAYS Relief Kitchen Rover 1) Kitchen Trustees. 2) Supervise Trustees breakfast. 3) Return Trustees who aren't working in kitchen. 4) Lock Kitchen, Women's corridor. 5) Pass out silverware. 6) Monitor breakfast meal with other C/S's. 7) Call in total count. 8) Monitor return of breakfast trays and utensils. 9) Metal detector used on all persons in Dining Room . 10) Remain in Kitchen until Trustees working in Kitchen are through with clean u p ; lock up small and large Kitchen windows and door. 11) Return Kitchen Trustees to module. 12) At the start of day shift alternate Rover is to pass out razors, and newspapers to every module. 13) Pull out trays and utensils from both sides of Blue and also Women's module. 14) Mark on Log Utensil Sheet number of trays and utensils pulled from each module. 15) Return cart to Kitchen. 16) It is the Rover's responsibility to release through Rear Control all Work Release people who are scheduled to leave during day shift and sign release sheet.

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17) Phone calls for Blue B. 18) Pick up razors and clippers from each module. 19) Inspection, 20) Pull people for attorney, counselor, etc., visit. 21) Allow deliveries through Rear Control. 22) Meds and Doctor Rounds. 23) Must be available for possibly performing court security and transport duties, 24) Responsible for giving recreation to modules on weekends and for possibly assisting during the week. 25) Rover may be responsible for covering the Blue Module and performing specific duties that may be called for by the situation in Blue A, 297 due to the changing nature of Blue A it is impossible to list these. 26) Pass out max cart to designated women and to Blue module -mail log, utensil sheet, lunch. 27) Supervise trustees and designated women in dining room for lunch. 28) Lock corridor doors and return non-working trustees and women to respective modules. 29) While one C/S remains in Kitchen, two others go to Green and bring people to eat. 30) Pass out silverware -call in total count. 31) Monitor meal. 32) Monitor return of trays and utensils.

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298 33) Use metal detector on everyone. Return people to module and follow same procedure with Gold Pull max cart and fill out utensil log. 34) Possibility of pulling and taking people to court. (Assistant with court specialists). 35) Security rounds of jail. 36) Dress people in and out of jail. 37) Responsible for responding to possible emergency alarms or situations. 38) When necessary, accompany maintenance men. 39) On weekends, Rover is responsible for organizing and monitoring open door and monitoring particularly his assigned area. 40) On weekends Rover is responsible for covering reception desk to allow visitors in for contact visits. 41) Responsible for assigning lockers for visitors personal property and using metal detector on those visitors. Also responsible for identifying verification of visitor. 42) Rover responsible for pulling people for contact visits. 43) Rover responsible for closing classroom folding doors and also posting signs saying the bathrooms located in the library are not to be used, before the beginning of the visits. 44) Responsible for monitoring library during contact visits.

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299 45) Responsible for strip search of inmate after contact visit. 46) Return inmates to module after visits. 47) Each time the Rover takes a set of keys from Master Control he is responsible for signing them out and then on their return to Master Control, signing them in. 48) Pull people for church group on Sunday afternoons. 49) Also responsible for strip searching work release people. 50) Pass out any mail to residents (especially on weekend days) .

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ROVER-SWINGS 1) Return people from court and, if necessary, dress them out and take to booking room. 300 2) Pull residents for lawyers, counselors, doctors, etc. 3) Escort nurse on Med. rounds. Two C/S's for Blue and Green Module, one C/S otherwise. 4) Phone calls for all modules from 3-4 P.M. only on Saturday and Sunday. 5) Serve Max Cart to Women's and Blue module only on Saturday and Sunday (Approx. 4:30). 6) Three C/S's needed to serve evening meal. Gold served first ( approx. 5-5:3 0 p.m.) , Green served last (Approx. 5: 30-6 p.m.) . First C/S -goes to module and brings resident up. Second C/Sgoes to module and brings resident up. Third C/Swaits in cafeteria and distributes silverware. Sat. and Sun. only. Refer to Day Rover for more specifics . 7) Monday through Friday only -Rovers and Master Control C/S's take dinner breaks. Rover covers for Master Control. C/S during dinner breaks (5:00-7:00 p.m.). 8) Pull residents for visits and special group activities (ex. religious groups, health groups, poetry groups, etc.) (Approx 7:00-9:30 p.m.). 9) Escort nurse of Med. rounds. Two C/S's for Blue and Green module, one C/S otherwise. (Approx. 7:30 pm.m).

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301 10) Lock-up Blue and Green modules (10:30 p.m.), preferably two C/S 's during lock-up. First C/S -operates door control. Second C/S -checks to make sure doors are locked and count agrees with status board. UNSCHEDULED ACTIVITIES FOR ROVER ON SWING SHIFT: 1) Dressing in new residents from booking room. a. Assigning locker for street clothes. b. Do a strip search. c. Have them take a shower. d. Get uniform and linens. e. Take to appropriate module and assign a room and put his name on status module board. f. Orientate new resident to module. g. Distribute personal hygiene items, (ex. toothbrush, comb, soap, etc.). h. Place resident's locker key in booking room and record locker number. Place resident's room number on booking room status board, add on Master Control list. 2) Dressing out residents to booking room. a. Get locker key. b. Pull resident and make sure his room is clean. Lock-up room and remove name from module status board. c. Bring resident down to male personal effects room.

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d. Have residents place jail clothing and linens in laundry hamper and have resident dress into his own clothes. e. Take resident to booking room. Take off Master Control List. 3. Checking Work Release a. Bring Work Release individual from booking room to personal effects room. 302 b. Have resident remove clothes and perform strip search and check clothing and any personal items. c. Escort resident to Work Release dormitory . Sign in on Work Release sheet in Rear Control. 4. May be required at any time during shift to perform court security duties. 5. May conduct recreation for various modules.

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303 EMERGENCY SITUATIONS : DUTIES OF ROVER 1) Injury -secure residents in moudles if appropriate and keep residents clam. 2 ) Riot -secure residents in modules if appropriate; report to library to A . T . L . Direct visitors to library; keep residents calm. 3) Power Failure secure residents in modules. Find flashlights, cover exits by Master Control. Keep residents calm. Take count. 4) Hostage -secure residents in module report to library -Keep residents calm. 5) Death -secure residents in module -Keep residents calm. 6) Escape -secure residents in module -take count search facility for escapee. Keep residents calm. 7) Bomb threat and explosions Secure residents in module or evacuate on T .L. order. Search facility. If bomb is found do not touch. Notify supervisor and bomb squad. 8) Major Fire Send visitors to main entrance -close module doors. Evacuation Order: 1) Red #3 2) Green #2 3) Gold #2 1) Blue # 4 2) Women # 4 3) Gym #1

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304 Work Release with spec, or #3. 9) Flood Orders of team leader.

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305 ROVER -GRAVES 1) Security check -See Grave Check List attached. 2) Security Check on Blue A every one half hour. See #3 below and latest Blue A memo. 3) Security check on all rooms and modules e very hour. a. Look through each resident's window to check that they are alive and v1ell and nothing looks out of the ordinary. b. If window is covered, remove obstacle. c. Check that doors are all locked, except Rover's. d. N o TV's to be on after lock-up. e. Check all control panels secured. f. Turn off room lights left on if resident is asleep. 4) Lock up of Gold at 1 a.m. (and Gree n if they have late lock-up) . a. Test each door that it is closed and locked except Rover's. b. Check that there is a person in each room that the board shows is occupied. If discrepancy, check with booking for location. 5) Work Release a. Strip Search in personal effects. b. Take to Work Release Module. c. Let out of Work Release when requested by Master Control (check time of release in Rear Control. Initial and mark time of release. d. Body County twice a night.

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306 6) At 0500, one Rover with kitchen keys to let out and supervise kitchen trustees to start breakfast. 7) Between 0600 and 0630 -a. Unlock and open residents' doors (Green and Gold). b. Serve max cart to module. c. Put breakfast cart in Work Release. d. Put trays (1/Resident) in A and B. 1. Shut dayroom doors. 2. Unlock resident's doors (unless in lock-up). 8) Help out in Booking Room if needed. 9) Relief Master Control C/S when needed. 10) Help Master Control fill out FBI fingerprint cards. 11) If notified by Booking that a resident is getting out of being transported early on day shift: a. Get locker key b. Get up resident c. Make sure resident's room is clean d. Erase name of resident from board and lock off room e. Take to personal effects to change to street clothes f. Take to Booking Room 12) and Sundays -Take commissary slips and put under individual room doors. 13) Sundays -Change utensil log sheets in Work Release, Wome's Blue and Booking.

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141 Pick up any garbage in halls and take out through rear control to loading dock. 307

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APPENDIX D Organization Objectives, Action, Agendas, Controls

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309 A. OBJECTIVES OF THE TRAINING Objective Number 1: The highest priority for specific training is for the education and on the job training of newly commissioned persoonel. Thus, Objective Number 1 is to insure the provision of high quality training for all commissioned personnel starting work at the Boulder County Corrections facility. A. Quantity -All newly commissioned personnel will receive this training. B. Quality To insure high quality training; (1) The program will include those topics listed under the procedure section of the current Division Training Policy. (2) It is essential that the Training Specialist be consulted by the team leaders prior to a decision being reached on when training will be scheduled. C. Timeliness -(1) The quantity of training will conform to the volumes of hours specifie d in the training policy. Objective Number 2: (2) All newly commissioned personnel will receive this training within the first six months of their employment. Another major objective of the training program is the provision of ongoing training for all staff in areas where there is a perceived organizational need. To carry out this responsibility, the training specialist will execute the following functions: (1) Perform an organizational training needs analysis; (2) Create and revise proposals for implementing the ongoing training programs; and (3) Implement the approved training program. Each of these functins will now be discussed in detail. I. Perform an organizational training needs analysis. The role of the training specialist in this area is two-fold. First, the training specialist is responsible for conducting a formalized training needs assessment of all staff.

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A. Quantity -All staff will have the opportunity to participate in the formalized needs assessment. 310 B. Quality A questionnaire will be utilized which contains appropriate topical headings. The topical headings will be reviewed and approved by the team leaders prior to distribution by the training specialist. C. Timeliness -The formalized needs assessment will occur twice a year, or at the discretion of the team leaders. One of the needs assessments will occur in November. The training specialist is responsible for distributing the instruments to the team leaders, summarizing the data, and presenting the summarized information to the administrative supervisor within two weeks of the time the training specialist receives the information back from the team leaders. (The team leaders are responsible for distributing and collecting the instruments among their respective teams.) Secondly, the training specialist is responsible for compiling training information outlined by the team leaders. A . Quantity -The training specialist will work with the administrative supervisor in obtaining the informal training needs as outlined in the team leader meetings. B. Quality -To ascertain the training needs of the staff, the team leaders will review supervisor shift logs. This information will be conveyed to the training specialist via admin-. istrative supervisor once a week. C. Timeliness -It is the responsibility of the training specialist to summarize the weekly needs assessment provided by the administrative supervisor, and presents the summarized findings once per month to-the administrative supervisor who will take the monthly summary to the team leaders for their approval and recommendation. III. Implementation of the approved training program. This is divided into two areas: the implementation of the monthly in-service training program and the implementation of briefing training.

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311 Objective Number 1 : Implementation of the monthly in-service training program. After the training program has been approved by the team leaders, the training specialist is responsible for coordinating all of the administrative tasks to insure the proposal•s implementation. Should a team leader or the team leaders elect to change the proposal, the training specialist must be notified at least 30 days prior to the implementation of the program. When such a change occurs, the appropriate team leader(s) would make arrangement for their team day(s). A. Quantity -The training specialist is responsible for all administrative support and all of the team days with the exception of those detailed above. B. Quality -(1) The administrative supervisor will solicit formal feedback from each team leader irnrnediatley afte their team day to assess the team day's effectiveness. (2) A formalized survey instrument will be passed out by the training s pecialist or the instructor. The training specialist is responsible for tabulating the results and submitting the summary to the team leaders. C. Timeliness -(1) The administrative supervisor will conduct the survey after every team day. Objective Number (2) Each team will be surveyed twice a y ear by the training specialist or instructor. The summary of the surveys will be presented to the team leaders within two weeks from the team day. Implementation of briefing training. Based on team leader input, the training specialist will provide 15 minute "learning units" to each team during briefing times. A. Quantity When the team leaders perceive a need, the training specialist will provide this training to all shifts or will make provisions for the t raining to be provided to all shifts.

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B. Quality -The team leaders will monitor the performance of their team members to evaluate the effectiveness of the training. C. Timeliness -The training specialist will provide this training within two weeks of the time it is requested by the team leaders. Objective Number 3: It is an objective of the training program that all commissioned staff will be able to perform every operational function within one year of their employment without direct supervision. A. quantity -(1) The team leaders are responsible for providing the supervision and performance monitoring. For the completion of the on-the-job training 312 checklist for every newly commissioned employee on probationary status. (2) The training specialist is responsible for distributing and collecting these checklists for each employee. B. Quality -(1) All newly commissioned staff will complete the on-the-job training checklist. C. Timeliness -(1) All newly commissioned staff will complete the on-the-Objective Number 4: job training within six months of the completion of their preservice training. It is the objective of the training program to have all commissioned personnel qualify with firearms quarterly in compliance with the Departmental Firearms Policy. A. Quantity -(1) The designated division range master is responsible for scheduling, staffing, and implementing the monthly shoots and clinics. (2) The training specialist is responsible for the maintenance of accurate range records.

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B. Quality -(1) All commissioned staff must be qualified with a firearm every quarter. 313 (2) The training specialist is responsible for notifying the appropriate team leaders of persons who have not qualified with a weapon for any particular quarter. c. Timeliness -(1) There will be one clinic and "shoot" per month. (2) Range records will be updated within one week of the day of the shoot.

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314 B. OBJECTIVES FOR CAREER PLANNING A second major objective of the Staff Development result area is the establishment and implementation of a Career Planning program for all staff with the following secondary points. Objective Number 1: To provide basic career planning and development information to all staff. A. Quantity To provide one team day per year for each team devoted to the formal presentation of basic career planning information. B. Quality -That a minimum of 65% of all staff will respond positively to the formal Career Planning experience when surveyed. C. Timeliness -The survey will be conducted within one month following the team day. Objective Number 2: To provide individual career path counseling as a followup experience for each employee. A. Quantity Each team leader will be trained to provide individualized career path counseling to his/her staff on an ongoing basis. B. Quality -That 65% of all staff will respond positively to individual career counseling i terns inserted on the CIES. C. Timeliness -Biannually.

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C. OBJ ECTIVES FOR HORALE Objective Number 1: To continually assess the level of morale; collecting data and developing morale improvement interventions. 315 A. Quantity -Team leaders will maintain records whibh montihly summarize all employee absenteeism. Periodical employee surveys, including the Likert Profile, will be issued to each employee every six months. Action agendas designed to react to employee data and to improve employee morale will be completed b y team leaders each six months. B. Quality -Trust level (trust/effectiveness scale) for all supervisors will be at least six (6). The Likert Profile will have an average score of 12 for all items. Employees will average two sick day s per year. Turnover will not exceed eight employees per year. C. Timeliness -Data will be collected as designated in the quantity area. A turnover study will be done annually.

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316 D. OBJECTIVES FOR AND EVALUATION Objective Number 1: To maintain a standard performance evaluation for each employee which reflects actual work behavior and ensures regular periodical feedback. A. Quantity -All employees will be evaluated during the designated evaluation period. B. Quality -All Corrections Specialists will be measured by the standard Corrections Specialist behavior anchored rating scale. Other employees will be evaluated through behavior anchored rating scales developed by individuals' supervisors. Each supervisor will develop a peer evaluation process and will provide an opportunity for feedback and discussion during each evaluation period. C. Timeliness -The performance evaluation will be conducted for each regular employee during January, April, July and October of the year. Probationary employees will be evaluated every 2 months of their probationary period. Objective Number 2: All employees will evaluate their functionally-designated peers as part of the regular employee performance appraisal. A. Quantity -All staff will participate in the peer evaluation scheme. B. Quality -(1) Staff will utilize a behavior anchored rating scale. (2) Employees will evaluate one another with a score less than 30% discrepant with that of his/her peers. C. Timeliness -Peer evaluations will occur as part of the regularly scheduled performance appraisal in January, April, July and October.

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E. OBJECTIVES FOR SELECTION 317 Objective Number 1: To select people for promotions and pay raises based on results obtained from the quarterly evaluations. A. Quantity -All persons will be eligible to participate in the selection process. B. Quality -(1) Selections will be based on the scores received on quarterly evaluations. C. Timeliness (2) The selection procedure and criteria will be applied uniformly to all individuals. (3) Therewillbe one Director-employee interview for each person who is eligible for promotion. This interview will occur after the selection procedure and will focus on the selection process and provide feedback to the employee regarding his/her performance.

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F. ACTION OBJECTIVES 318 1. We will develop more training for staff to deal with interpersonal conflicts and confrontation by July 1, 1978. 2. We will develop a practical, in-service training scheme for emergency policies by July 1, 1978. 3. A divisional training system will be developed to utilize experienced personnel for training Corrections staff in specific security areas by July 1, 1978. 4. A list of security Do's and Don'ts will be written for staff training and informat1on by May 15, 1978. 5. There will be training emphasis on Booking Room and security basics during 1978. 6. Staff will receive more ongoing education and training regarding the type of items inmates may: have in their possession while incarcerated at this facility. This training will be developed and instituted during 1978. 7. We will develop and implement a series of spot exams to test staff knowledge and determine information and training needs. Some emphasis should be given to security and emergency procedures. This will be accomplished by June 1, 1978. 8. There will be an increased emphasis in training staff to deal with emergency and disaster situations. This will begin by June, 1978. 9. There will be practical training drills to assist staff in learning emergency procedures. This will begin by June 1, 1978. 10. Specific training will be developed and implemented to train staff for hostage situations. This will be accomplished by July 1, 1978. 11. Specific training will be developed for bomb threat situations by September 1, 1978. 12. Therewillbe a training program developed for riot situations. This training will be made specific to our facility and consider a variety of possible situations. This will be accomplished by September 1978.

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13. court security training will be standard for all CS's. This will be done with the view of keeping staff and residents safe and secure. This training will take place in 1978. 14. Staff will receive training regarding kitchen procedures with an emphasis on standardizing these procedures. This will occur in 1978. 15. All staff will be certified and trained in First Aid techniques during 1978. 319 16. Include all staff, such as administrative staff, in emergency situation training during 1978. 17. Administrative staff members v1ill receive selfdefense training during 1978. 18. It is an objective of the training program to institute and maintain a staff library. A. Quantity -The training specialist is responsible for ordering all materials related to the library (includes money for supplies, books, films, equipment, etc.). B. Quality -(1) The catalog system for all items in the library will be developed and maintained as library items are procured. (2) The "check-out" system will be developed and utilized whenever items are on loan from the training library . C. Timeliness -(1) The catalog system will be developed by July 1, 1978, and updated as new materials are added to the library. Updating of the catalog system will occur within two weeks of the time of acquisition of the materials. (2) The "check-out" system will be utilized whenever items are checked out of the training library. The intent here is to minimize the losses to the training library. (3) The library will be instituted by July 1, 1978. 19. To develop an equitable selection process for hirings, promotions, lateral transfers, public training assignments and other competitive positions.

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320 20. To develop an alternative to Assistant Team Leader promotion as an in-house career path for commissioned line staff in recognition of outstanding service. A. Quantity -This alternative will be called the master technician. B. Quality -Program and it will define outstanding performance levels in each area. C. Timeliness -The program will be developed by the Director by June 1, 1978.

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A. OBJECTIVES FOR THE HEALTH CARE PROGRAM Objective Number 1: To respond to medical and psychiatric emergencies as they occur. A. Quantity -(l) Nurses will respond to all emergencies while on duty. 321 ( 2) In the absence of the nurse, the on-duty supervisor will contact: (a) the on-call physician; (b) make a decision to take the individual to the hospital (emergency room); or (c) call the crisis services via the mental health center. B. Quality -(l) There will be less than four (4) legal complaints issued per year. (2) General complaints by observer or participant in an emergency will be less than four (4) per year. C. Timeliness -Responding to emergencies will take precedence over all other medical needs and the nurses will respond immediately. Objective Number. 2: To treat all communicable diseases promptly and appropriately to insure the disease does not spread. A. Quantity -Treat all communicable diseases. B. Quality -The ratio of persons contracting communicable diseases in the institution will not be significantly higher than the ratio of persons contracting the disease outside of the institution. C. Timeliness -To respond immediately. This takes precedence over all other medical needs, with the exception of emergencies. Objective Number 3: To provide non-crisis, direct service nursing care to residents. Non-crisis, direct services are defined to be: (l) initial screening of all health complaints; (2) assessment of those complaints which may include diagnostic testing or referral to a physician; (3) treatment

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322 that can be initiated by physicians orders, dentists' orders, or nursing orders; and (4) included in this category are emergency dental services and limited dental hygienist services. A. Quantity -All residents except those in the Work Release Program who are employed. Employed residents are encouraged to seek health care services which are available in the community. B. Quality -Have a 'qualified' professional health person audit or evaluate the non-crisis direct services supplied by the health care program. The person conducting the audit must have some familiarity with health care in a correctional setting. C. Timeliness -(1) The audit will be conducted once a year. Objective Number 4: (2) Concerning the delivery of the direct services: (a) physician rounds will be conducted once per week. (b) sick call rounds (by nursin g staff) will be conducted once per day. (c) treatment rounds (by nursing staff) will be conducted thre e times per day. To maintain an accredited medical records system and insure confidentiality of those records. A. Quantity -Records will be maintained on all residents who receive services or who refuse services offered. B. Quality -Records will meet standards set by the American Medical Association guidelines for jail health care. C. Timeliness -Records will be established or updated the same day the service .is rendered. Objective Number 5: The nursing supervisor will provide the necessary support services to insure the health care program runs in an efficient manner. Support services, as used ih this context, will include the scheduling of nurses, procurement of supplies, maintenance of payroll records, outside appointments, scheduling transportation and other services as required to run the health care program.

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323 A. Quantity -Procurement of supplies will conform to guidelines established by the nursing supervisor. (Guidelines for the procurement of supplies will be developed by the nursing supervisor.) B. Quality -(1) Nurses will be on duty every day; (2) There will be adequate supplies on hand. C. Timeliness -(1) Payroll records (time sheets) will be completed twice a month for all nursing staff; Objective Number 6: (2) Nursing schedules will be calculated once per month; (3) Other support services are done as needed. To stay current with health care services in correctional settings. This means reviewing the literature and contacting other correctional facilities. By staying up to date with current medical practices, the health care professional will atempt to implement or integrate appropriate standards at the Boulder facility. A. Quantity To maintain contact with the American Medical Association (AMA) and thus receive written communication about correctional health care. B. Quality -As (1) the AMA, (2) the American Correctional Association (ACA), (3) American Bar Association (ABA) , (4) Correctional Nurses Association, (5) The National Institute of Corrections (NIC) ; and other relevant organizations or publications create or revise standards, the health care professional will obtain a copy of these revised standards. C. Timeliness -The health care professional will monitor publications on an ongoing basis. Objective Number 7: To share health care information and specific treatment services or needs with other agencies, health care providers, and courts who work with the same clients. The health care professional will maintain the confidentiality rights of the client. Confidentiality implies the health care professional will follow state statutes in regards to this matter.

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A. Quantity -All valid requests from all appro-324 priate agencies will be responded to by the health care professional. B. Quality -(1) The health care professional will request information from other agencies or physicians whenever it is necessary to maintain the standard of health of the resident. (2) Information provided to outside agencies and courts will be provided in an appropriate format and in a professional manner. C. Timeliness -All requests for information will be dealt with at the time the request is made. Objective Number 8: The health care professional will maintain an awareness of potential health hazards, sanitary conditions, food preparation, environmental conditions and the like which may have an impact on health care. A. quantity -The health care professional will respond to all health hazards as he/she comes in con tact with them, however, the health care professional is not responsible for regularly examining the facility for health hazards. B. Quality Upon finding a health hazard the health care professional will attempt to deal with the problem internally . If the problem cannot be resolved at this level, the Health Department will be contacted. C. Timeliness -The health care professional will monitor the facility for health hazares in the regular performance of his/her duties.

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325 B. OBJECTIVES FOR THE RESIDENT FOOD SERVICE PROGRAM Objective Number 1: The highest priority for food service is the preparation of meals of optimal nutritional quality. Thus, Objective Number 1 is to serve meals of optimal nutritional quality. A. Quantity -Implementation of a Food Services Task Force consisting o the cooks, the Administrative Sueprvisor, health educator, nurse, and Red Module Specialist to actively seek out recipes, solicit resident feedback, visit and survey other instutional kitchens, create a food services library, review and revise proposed menus, etc. B. Quality -(1) Administrative Supervisor soli-cits feedback from nurses, health educator and resident representatives to Inmate Council about nutritional quality of food. (2) There will be a 20 % decrease in reported degenerative nutritionallyrelated illnesses after implementation of A above. C. Timeliness -(1) bi-monthly, (2) tabulated monthly. Objective Number 2: To operate the food service program within the annual food budget. The main emphasis is on minimizing losses via inventory control. A. Quantity To eliminate inventory loss the Administrative Supervisor will: (1) Review the monthly food inventory conducted by the cooks. (2) The Administrative Supervisor will implement a running inventory system to see what leaves the stores and where it goes. B. Quality -The Administrative Supervisor will balance (1) and (2) above. c. Timeliness -Monthly (the first Wednesday) . Objective Number 3: To serve meals on time. The exact time a meal is served is determined by the Operations Supervisor. However, the kitchen staff can facilitate the serving

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of meals on time by minimizing equipment down time and distributing the work load in an efficient manner. 326 A. Quantity -(1) Equipment down time will decrease by 20%. (2) Meal preparation will occur throughout the day so as to minimize peak periods of kitchen activity. B. Quality -(1) All kitchen equipment will make use of preventative maintenance contracts to minimize down time. (2) The kitchen staff will be monitored by the Administrative Supervisor and Red Module Specialist to insure work is distributed in an even manner. C. Timeliness -(1) The preventative maintenance will occur at least once a year. (2) Monitoring of kitchen activities will occur at least once per week.

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327 C. CRISIS INTERVENTION Correctional staff are responsibile for responding to individuals or groups in crisis within the facility. This objective will take precedent over most other situations. The exception to this may be when a general emergency exists. The supervisor on duty will assess the crisis and determine what kind of action is necessary. It is understood that there are varying degrees of seriousness of crisis. The primary on-duty supervisor will receive assistance that is deemed necessary from corrections specialists, nursing personnel, corrections psychologist and the community referral person. A. Quantity -Correctional staff will respond to all crisis situations. B. Quality. -(1) Quality will be determined by examining the situation to see if crisis was averted. (2) For the serious crisis, a critique will be conducted with all those involved in the crisis as soon as possible. (Critique form to be developed.) A serious crisis is considered to be a sudden appearance of unusual, disordered or inappropriate behavior. Practically speaking, in a jail facility, prevention of suicide attempts, general psychiatric emergency not necessarily life threatening, assaults or escapes could be examples of situations considered for special intervention. (3) There will beless than three administrative or legal complaints per year. c. Timeliness -(1) Every crisis situation will be dealt with as soon as possible. (2) Critique completed within 7 days after incident.

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328 D. OBJECTIVES FOR CLOTHING AND LINEN Objective Number 1: The primary objective of the clothing and linen service provided residents is to ensure an ample supply of linen and clothing for the per capita issuance of two sets of uniforms, one sheet, one towel, one pillowcase, one washcloth and one blanket. A. Quantity -Maintain an adequate inventory of clothing and linens by; (1) Conducting periodic linen and clothing shakedowns; (2) Maintain adequate records of linens and clothing damaged, destroyed and worn out; (3) Develop a system of linen and clothing inventory controls. B. Quality -Within eight weeks of the implementation of (1) above, no clothing or linen shortages will be reported by the module specialists. C. Timeliness -Module specialists will be polled monthly by Administrative supervisor to ascertain any linen and clothing shortages. Objective Number 2: A secondary aim of the clothing and linen service pro vided residents is the ensuring of a punctual and efficient laundry exchange. A. Quantity -Minimize equipment down-time by letting a preventive maintenance or service contract on major laundry equipment. B. Quality -The letting of such a contract will reduce laundry equipment failure by 80% of the down-time noted for 1977-78. C. Timeliness -The Administrative Supervisor will log all laundry equipment failure as it occurs and calculate the costs incurred by such failure. These will be summarized on a quarterly basis.

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329 Quantity -The Red Module Specialist will inventory and order all laundry supplies (soap, bleach, sewing notions, etc.) monthly. Quality -Laundry supply shortages will be eliminated. Timeliness -Monfhly (per the inventory established in A above) .

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330 E. OBJECTIVES FOR COURT ACCESS AND LEGAL SERVICES A major concern of the facility is to process arrestees through the criminal justice system. This includes processing people through the jail and insuring they have access to the judicial system as well as public defender and legal aid services. With attorney contacts, this includes the first contact and ongoing contact. In support of this philosophy the following objectives are written. Objective Number 1: All incoming arrestees will make an appearance before a judge for the purpose of being informed of their constitutional rights. The main purpose here is to expedite the appearance of the incoming inmate before the judge. A. Quantity -This will apply to 100% of arrestees. B. Quality -N/A C. Timeliness -All incoming arrestees will see the judge within 48 hours (excluding Saturday, Sunday and holidays) ofthe time they are brought into the facility. Objective Number 2: All residents will have the opportunity to have contact with their lawyer, legal aid or the public defender. Thus, Objective Number 2 is to facilitate the contact between the resident and legal services. A. quantity -This applies to all residents. B. Quality N/A C. Timeliness -(1) All residents will have the opportunity to contact approriate legal services within 24 hours of the time they are booked into the facility. (2) After the initial contact the jail is responsible for insuring the resident has the opportunity to meet with legal services on an "as needed" basis.

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331 F. OBJECTIVE FOR THE RESIDENT ADJUSTMENT REVIEW BOARD Objective Number 1: The main thrust of this area is to guarantee the constitutional rights of persons within the facility who have violated rules and regulations pertaining to the facility. Thus, the objective is written to establish a Resident Adjustment Review Board which reviews all violations for which an incident form is completed (exceptions: the Board would not be convened for (a) 24-hour lock up; or (b) deprivation of privileges for less than a week) . A. Quantity -All incidents minus exceptions. B. Quality -To insure the Board functions in a "fair" manner, tihe policies in the Policy Manual will be followed. c. Timeliness -The Resident Admustment Review Board will be convened within 72 hours of the time of the incident (excluding Saturdays, Sundays and holidays) .

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G. OBJECTIVES FOR SAFETY Objective Number 1: An obligation of all Corrections Specialists is to protect residents from themselves, one another, and 332 the environment. The main idea being that individuals will both physically and mentally leave the facility inasgood a condition as when they arrived. Thus, the objective for this area is that the jail is responsible for guarding against dangers which the residents may have no control over. Examples of such things would be fires, flood, assaults by other residents, suicide attempts, etc. A. Quantity -This will apply to all residents within the facility (no matter the location). B. Quality -Residents in Blue A, isolation and holding cells, will be monitored at least once an hour, while all other residents will be monitored at least once every other hour. Prevention of suicides and assaults is a major concern in protecting the residents. C. Timeliness -The concern for resident safety is an ongoing activity .

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A. OBJECTIVES FOR COW1UNICATION 333 Objective Number 1: A primary aim of the organizational philosophy of the Boulder County Corrections Center is the establishment, implementation and regulation of mechanisms for noncrisis-reactive vertical communication. To implement this philosophy (1) the Director will have Personal Management Inventory Interviews with each of the team leaders; (2) the team leaders will have Personal Mangement Inventory Interviews with each member of their teams; and (3) the Director will conduct personal interviews with each line staff person. A. Quantity and C. Timeliness -(1) The Director will schedule a onehour Personal Management Inventory Interview with each team leader each week; (2) The team leaders will schedule a onehour Personal Management Inventory Interview with each team member each week; (3) The Director will conduct at least one interview with every staff member each year. B. Quality -(1) The team leaders will evaluate the Director and vice versa with Objective Number 2: the percentage of difference in perceptions used as an indication of the relative success or failure of the perceptual-sharing experience; (2) The team members will evaluate the theam leaders and vice versa with the percentage of difference in perceptions used as an indication of the relative success or failure of the perceptual-sharing experience; (3) All line staff personnel will be surveyed to establish their satisfaction with the interview, i.e., 80% of all line staff surveyed will respond positively to their interview experience. Another mode of implementing the vertical communication philosophy is the utilization of a meeting for the on-going sharing of information between the team

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334 leaders and the Director. To more fully insure this communication occurs, a regularly scheduled meeting will be held with the team leaders and the Director. This meeting shall be called the team leader meeting. A . Quantity -The Director and all team leaders, or their designates in the case of absence, will attend this meeting. B. Quality -All team leaders will periodically monitor the performance of their team members in areas specified as "key areas" in the team leader meetings. This monitoring will occur to measure how well information classified as key is transmitted to the line staff. Team members will all receive a score of 80 % or above on the performance monitor surveys. C. Timeliness -There will be one team leader meeting every week. Objective Number 3: Another fundamental aim of the Boulder County Corrections Center organizational philosophy is to optimize horizontal feedback at all levels. To implement this aim there will scheduled cooperative team day where members of two or more teams will have the opportunity to work on interpersonal problems and conflict resolution together. A. Quantity -N/A B. Quality -The team leader minutes will be examined every other month to calculate the volume of interteam conflicts (this volume will decrease with the implementation of this objective) . c. Timeliness -The cooperative team days will occur once per quarter.

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335 B. OBJECTIVES FOR POSITIVE ATMOSPHERE Objective Number 1: A high emphasis is placed on the manner and spirit with which corrections staff perform their functions. An objective, therefore, is for the corrections specialists to perform their functions in such a manner that; (a) the operation run smoothly; (b) residents and staff are treated humanely; (c) the staff experience less stress; and (d) a non-antagonistic atmosphere is created. A. Quantity -A corrections specialist will solicit and maintain daily contact with residents he/she is responsible for. The positive and creative manner with which interactions are conducted will apply to as many situations as possible. B. Quality -The CIES will continue to be used and other instruments will be reviewed that may be even more relevant. C. Timeliness -daily. Objective Number 2: The facility will offer programs which encourage the personal growth of residents and recognizes the individual needs of residents. A. Quantity -The following programs will be offered to those who qualify via the classificationsystem. 1. Work Release 5. Library 2. Education 6. Nursing Services 3. Health Education 7. Psychological Services 4. Recreation 8. Religious Services (Possible develop % of population who attends.) B. Quality See each program evaluation. Objective Number 3: The manner in which job functions a re carried out (Objective #1) and the availability of effective programs (Objective #2) all have an impact on the tension level in the facility. It is hypothesized that a low tension level implies a lesser number of major incidents/ disciplinary reports. Th s, the third objective is to minimize the volume of incidents by maintaining a low tension level within the facility.

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336 A. Quantity -There will be no more than sixty (60) incidents per year. B. Quality -A subjective examination of the atmosphere surrounding incidents and the atmosphere throughout the facility will be undertaken to determine if there is a low tension level. Scales will be developed so that normative information can be utilized. C. Timeliness -Maintaining the low tension level is an ongoing effort performed by all personnel.

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C. ACTION OBJECTIVES 1. We will establish an error book similar to the one presently used in Booking for the rest of the jail by April 1, 1978. 2. We will establish an anonymous feedback and error box for Corrections by April 1, 1978. 3. A system will be developed to make BCC visiting rules clear to all visitors by June 1, 1978. This may include a handout that could be distributed to visitors when they sign in. 337 4. A system will be worked out to better coordinate visiting schedules. There is some confusion presently between administration, operations and programs. This will be done by May 1, 1978. 5. The staff and administration will resolve to cooperate and coordinate in a way that insures highest priority needs are met. This may mean designing a system for determining what our highest priority needs are. This will be investigated by May 1, 1978. 6. The relationships between CS's, cooks, and trustees will be clarified with specific regard to kitchen procedures. This will be done by June 1, 1978. 7. Maintenance people will be briefed or trained in terms of safety and security while working in the jail. A method of doing this will be designed by July 1, 1978. 8. Develop a system of educating and informing people from other agencies about BCC rules when they pass through the reception area. This will be done by June, 1978. 9. Request and receive from other agencies a list of authorized personnel who may require access to the jail. This would include seminars and tours, and BCC staff arranging meetings, notifying reception. This will be accomplished by June 1, 1978. (This objective can also be found in Security VB6.)

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A. OBJECTIVES FOR THE EDUCATION PROGRAM 338 Objective Number 1: To assess the needs and interests of residents requesting education services. A. Quantity -will handle an average of 10 people per month (low is 5/month, high is 20/month). B. Quality -Formal and informal (standard) tests will be utilized. C. Timeliness -The assessment will occur whenever someone requests academic services. At the end of each month a report will be generated which will show the of new students tested. Objective Number 2: To provide a basia in-house academic program for residents. This program will be based on the needs outlined in the needs assessment and the program will be delivered by participation in the educational program design. A. Quantity -Provide instruction for an average of 10 persons per month. (The low is 5 with a high of 20.) B. Quality -(1) 80 % of the GED students who take the GED exam while incarcerated will pass. (2) For other than GED students, 80% will show improvement in academic skill development shown in work samples and pre and post testing. C. Timeliness -Instruction to start within 1 week of needs assessment. Objective Number 3: To maintain appropriate records. A. Quantity -For all students who are seen for more than 6 hours and for those enrolled in an academic program. B. Quality -Forms will be completed in an acceptable manner. C. Timeliness -Forms will be completed after needs assessment. Forms will be updated as needed.

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Objective Number 4: To provide educational services (from outside the facility) to residents within the facility. A. Quantity -Will fill 95% of all feasible requests. B. Quality -Relevancy, the service fulfills the need. C. Timeliness -The request will be filled within one week of the request. Objective Number 5: To participate in evaluation procedures (in-house, and local and state) when necessary. In-House A. Quantity -Keep track of the volume of people attending academic and non-academic classes. B. Quality -Will develop a chart or notation which will show students' progress. C. Timeliness -Volume data will be compiled monthly. Quality data will be summarized every 4 months. Outside Agencies To assist outside agencies upon request. Objective Number 6: To create innovative academic and non-academic programs. A. Quantity B. Quality At least one innovative program per quarter. Will calculate the numberof people attending the program times the numberof hours to attain: the number of persons hours. Will have a This data will be low avg. h1 collected through May 31 and will be calculated in June. C. Timeliness -as needed.

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340 Objective Number 7: To maintain knowledge of current developments in adult education an a correctional education. A. Quantity -(1) Will be a member of two professional associations. (2) Will attend 8 workshops. (3) Will visit 12 penal institutions. B. Quality -(1) Maintain membership in: a. International Reading Association (IRA) b. Conference on Community Adult Education (CACE). (2) Will attend workshops dealing with education and education in corrections setting (when possible) . C. Timeliness -(1) Will maintain association memberships for the year. (2) Will attend 8 workshops per year. Objective Number 8: (3) Will visit 12 penal instutions' per year. To responsibly and effectively spend budget allotment on supplies (books, workbooks, consumables, hardware, and software) . A. Quantity -Will show how much is spent per month. B. Quality -Will show what was procured during the month. C. Timeliness -Report will be generated at the end of each month which shows volume and types of expenditure. The information for this report will (hopefully) be obtained from the Boulder Valley School Expenditure printout.

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B. OBJECTIVES FOR HEALTH EDUCATION PROGRAM Adult Health Education Program Objective Number 1: To continually assess resident health education needs and interests by questioning residents formally and informally (using written and verbal feedback) . A. Quantity 10 people/month (interviews) 341 B. Quality-Will be a random sample of the residents. C. Timeliness -(1) The interviews occur at Objective Number 2: (2) A write up (summary of the needs assessment will occur at the end of every month. To develop health education programs based on the needs assessment. A. Quantity -Provide health education training to an average of 150 people per month (this number will include repeat attenders) . B. Quality -One-half of the people who complete the class evaluation will check ' A lot' on the first two questions. C. Timeliness -The programs will be provided within 3 months after initial request. Objective Number 3: To maintain a health education information system. A. Quantity -At least three pamphlets on the shelves. B. Quality-The pamphlets address current problems. C. Timeliness -There will always be a supply of pamphlets on current health problems in the library. Objective Number 4: To maintain a current health referral system for residents and to make residents aware of this system.

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342 Maintain the current referral system: A. Quantity -B. Quality-During the class the health educator will make those attending aware of the resources. Feedback will be provided on C. Timeliness -the evaluation form. Objective Number 5: To evaluate (using verbal or written feedback) all health education programs using the evaluation tool. A. Quantity -tool will be utilized every class verbally -2/3 of the time written -1/3 of the time B. Quality May have to redo the evaluation tool. C. Timeliness-The evaluationwilloccur at each class. The results will be written u p quarterly. Objective Number 6: To maintain professional competence. A. Quantity Maintain membership in two associations. B. Quality-Membership in the following associations: 1. American Nurses Association (ANA) 2. Colorado Nurses Association. 3. Maintain continuing education certification through the ANA. 4. Attend two workshops. C. Timeliness -Annual membership in associations. Attend two workshop s per year. Objective Number 7: To develop and utilize new methods/techniques in teaching health education programs. A. Quantity -All health education presentations will consist of multi-media materials or outside speakers or written information. B. Quality -This innovative philosophy will permeate all aspects of the health education program. C. Timeliness -Not applicable.

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Juvenile Health Education Program Objective Number 8: To develop a health education program for the Juvenile area based on known juvenile health needs. A. Quantity Present programs to all juvenile residents. B. Quality To provide health education training as appropriate based on at least two juveniles housed in the detention area. C. timeliness -Approximately twice weekly presentations. ' Objective Number 9: To maintain a health education information system. A. Quantity -To keep the bulletin board current and to develop a health education resource booklet. B. Quality -To keep the resource booklet and bulletin board corrent. C. Timeliness -Always keep resource current. Objective Number 10: To develop and utilize new methods/techniques in teaching health education programs. A. Quantity -All health education programs will consist of multi-media or written information. B. Quality -This innovative philosophy will permeate all aspects of the health education program. C. Timeliness -Not Applicable.

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C. OBJECTIVES FOR THE RECREATION PROGRAM Objective Number 1: To maintain a recreation program which is consistent with the recreation philosophy. A. Quantity -(1) All programs staff will be aware of this philosophy. 344 (2) An outside person will audit the program to see if programs are consistent with philosophy. B. Quality An evaluation tool will be developed to see if the philosophy is being maintained. ' C. Timeliness -( 1) The programs staff ,.;ill be interviewed every 4 months at rotation to evaluate the recreation program. Objective Number 2: (2) The "outside" audit will be performed twice a year. To identify and assess recreational needs and interests of residents. A. Quantity -(1) Formal -survey 90% of the residents in Gold, Green, Red and Women to assess their needs. (2) Informal -through verbal communication, observation and awareness, continually monitor resident needs. B. Quality Obtain feedback from the residents, through a formal evaluation tool, about the of recreation activities (this tool will be developed) . C. Timeliness -(1) The formal survey will occur once a quarter (Al) . Objective Number 3: (2) The informal needs assessment is ongoing (A2) . (3) The formal evaluation occurs once a quarter (B) . To plan recreation activities based on the following criteria: 1. Recreation philosophy 2. Assessed interest or needs

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3. Security (volume and module) 4. Resources (a. Human, b. financial, c. time, d. etc.) A. Quantity -All ideas will be evaluated. 345 B. Quality -All ideas will be evaluated using the above criteria. C. Timeliness-Evaluation of ideas will occur within two weeks from the time the idea is suggested. Objective Number 4: To implement recreation activities which were selected in the planning phase. A. Quantity -(1) An average of 21 sessions per week will be conducted (Open door -4, Rec -12, Basketball -1, Women -2, Miscellaneous -2). (2) Attendance records will be kept. B. Qualit y -Those attending will be surveyed to determine if the activity was "pleasant" and/or "enjoyable". C. Timeliness -(1) Regular activities occur as scheduled. Objective Number 5: (2) Most special activities will occur within 3 weeks from planning. To supervise recreation activities implemented by the recreation director or other correctional staff. A. Quantity -To supervise an average of 23 sessions per week. B. Quality -The recreation activities will be conducted: (1) without incidents (2) without disruption to operations (3) with participants following established activity guidelines. C. Timeliness -The recreation director will provide this supervision when he/she is present or when he/she has direct responsibility for implementation.

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Objective Number 6: To provide all the necessary administrative support to run the recreation program. Will include such responsibilities as ordering, purchasing, and maintaining equipment; maintaining correspondence; and evaluating the recreation program. A. Quantity -The volume of expendable supplies will be ordered as needed and the procurement of non-expendables will conform to guidelines outlined by the recreation director. 346 B. Quality -(1) The recreation director will evaluate the programs and keep records of attendance. Evaluation will occur through an evaluation tool which will include the needs analysis and program evaluation. The recreatin director will complete necessary grant administration forms. (2) The recreation director will establish and maintain accounting records of all expendables and acquisitions. C. Timeliness -(1) Equipment will be ordered in conformity with guidelines. Objective Number 7: (2) Evaluation reports a. attendance -monthly b. grant -quarterly c. evaluation tool -quarterly due 1/15, 4/15, 7/15, and 10/15. d, an annual report of the recreation program will be due 1/15. To train staff in specific recreation activities and training techniques. This training will be utilized for the staff to work with the residents. A. Quantity An average of two staff members, 30 minutes each staff member. B. Quality -(1) Staff members utilize the instruction to conduct related activities. (2) The recreation director will solicit feedback on the useful-ness of the recreation instruction -informal and ongoing . c. Timeliness -The 30 minute training session per staff member will occur once per week.

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347 D. OBJECTIVES FOR THE LIBRARY Objective Number 1: To maintain and develop the Corrections library collection for residents. The development of a library goes beyond just the procurement of books, and thus, monetary constraints. In this context the librarian brings his/ her creative resources to develop a library which goes beyond the traditional resources. A. Quantity -For this objective the primary concern is not with the quantity of books purchased, but insuring books procured meet the needs of the residents. ' B. Quality -(1) Informal ongoing examination of books being utilized by residents; (2) Examining the circulation records of books checked out by residents; (3) Examining inter-library loan forms; (4) to formally evaluate whether resident needs are being met. C. Timeliness -(1) Informal examination will occur on an ongoing basis; (2) Circulation records will be examined on an ongoing basis; (3) Interlibrary loan forms will be examined once per week; (4) The library collection will be "weeded" on an ongoing basis. Objective Number 2: To assist residents in utilizing the library. The librarian will be responsible for creating an atmosphere in which residents will make use of the library resources as well as utilizing the librarian as a reference source. A. Quantity -(1) Informally (verbal) respond to all inquiries made by residents; (2) To contact all residents (after they are moved to Green) when they come to the library for the first time. B. Quality To formally evaluate the library atmosphere and determine if it is consistent with the philosophy developed by the librarian. Both staff and residents will be polled.

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148 c. Timeliness -Evaluatio n will occur twice a year. Objective Number 3: To acquire and develop a law library for use by the residents. This requires that the librarian obtain law books needed by the residents and that the librarian be able to assist the residents in using these books. A. Quantity -(1) To purchase the Colorado statutes upon revision every five years; (2) To maintain a law library of at least 50 current paperback law books which may be circulated and to maintain a set of current ' Colorado statutes. B. Quality -(1) The library will meet Colorado guidelines for law libraries for jails; (2) A portion of the law books will be of the variety which outlines legal rights, etc.; (3) T h e purchase and review of law books will be done by the librarian upon expert advice from a professional in the field . C. Timeliness -(1) The Colorado statutes will be purchased by March, 1979 (anticipated) ; Objective Number 5: (2) The librarian will review the law books in an ongoing fashion to insure the books are current. To develop a philosophy which will guide the operation and maintenance of the library program. The purpose of this document is to convey the values and goals of the Boulder County Corrections library service. A. Quantity N/A B. Quality -The philosophy will meet the approval of (1) the Program's Team leader; and (2) Librarian/consultants in other correctional facilities. C. Timeliness -Dates not specified yet.

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349 E. OBJECTIVES FOR THE MODULE PROGRAM Objective Number 1: A high emphasis is placed on the manner and spirit with which module specialists perform their functions. An objective, therefore, is for the module specialists to perform their functions in such a manner that: (a) the operation runs smoothly; (b) residents are treated humanely; (c) the staff experience less stress; and (d) a non-antagonistic atmosphere is created. A. Quantity A module specialist will solicit and maintain daily contact with all residents he/she is responsible for. ' B. Quality -The positive and creative manner with which interactins are conducted will apply to as many situations as possible. C. Timeliness -daily. Objective Number 2: To insure the consistent completion of the following maintenance functions: (a) laundry; (b) supplies, (c) serving of dinner; (d) upkeep of the modules. The intention of completing the maintenance functions in a timely and effective manner is to insure as "smooth" an operation as possible in the modules. Also, by providing the basic necessities in a consistent manner the energies of those who work in the facility and those incarcerated can be directed towards more constructive activities. Module specialist functions, in regards to laundry and dinner duties are outlined in the policy manual and will not be discussed in this objective any further. A. Quantity -(1) The module specialist is responsible for determining which supplies are needed, and the volume of the supplies needed by the module. An inventory of supplies will be maintained which is sufficient to last until the next order is received. (2) Upkeep of the modules -N/A.

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B. Quality -(1) (2) 3 50 Supplies -the module specialist will utilize the standard supply form; it will be completed and returned to master control by 1700 on the day the form is distributed. It is the responsibility of each module specialist to obtain the supplies once the order is filled and distribute the supplies to the module as is appropriate. Upkeep of modules -the role of the module specialist will be to monitor the modules to insure: (a) they are neat in appearance; (b) vepairs are made in a timely ' manner. C. Timeliness -(1) Supplies -Objective Number 3: (a) orders will be taken once a week; (b) the filled supply orders will be distributed the following day. (2) Upkeep of modules -(a) modues will be monitored on a daily basis; (b) repairs will be reported on a daily basis and follow up will occur on a weekly basis; (c) replacement of items, within the competence of the module specialist, will occur as discovered within the range of availability of replacement parts. To document information generated through interactions between the Programs staff and the residents . . The intent of this objective is that those who work closest with the residents can share their knowledge about the residents with the rest of the staff. By doing this it is hoped that the facility can be run in a secure manner, and programs can be implemented with greater effectiveness. Recording phone calls, recording resident monies on the hard card, writing in pass on books, staffings, briefings, staff meetings, reports, memos, updating status boards, supervisors' clipboards and deciding which residents change living areas are all duties of the

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module specialist. Primary responsibility for this objective lies with the module s pecialist. However, correctional specialists are responsible for providing input when appropriate and in the format the module specialists utilize. The recording of phone calls and the recording the residents' monies are outlined in the policy manual and will not be dealt with here. The remainder of this objective will deal with writing in the pass on book, staffings and other administrative duties of the module specialist. I. Module specialist responsibilities -the pass on book. The module specialists are required entries in the module pass on book. for all modules will be read daily specialists. to make daily The pass on books by the module A. Quantity -All module specialists will write in t h e pass on books, and read the pass on books. 351 B. Quality -All entries in the pass on books will contain the following: (1) The date of the entry; (2) Time of occurrence; (3) Signature of the specialist making the entry ; (4) A synopsis of the contacts made b y the module specialist with residents. In writing in the pass on book, the main focus will be on the module specialist writing down ideas which may or may n o t be major. Thus, items more than just incidents or exceptional behavior will be documented. Also, it is important that the module specialist convey an entire idea. Thus, the purpose is to write an entry in the pass on book which represents a complete thought. (It should be remembered that the pass on books have been used in the courtroom.) C. Timeliness -daily.

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II. Module specialist responsibilities -staffings. A. Quantity -All module specialists will share the responsibility of compiling information, past and present, about residents. (See staffing preparation form.) B. Quality -The staffing preparation form will be completed by the module specialists and, upon review by the module specialist staff, the form will be typed and inserted in the resident's Program file. 3!:i?. C. Timeliness -(1) At the Program's meeting, the module specialist will present the information on the staff preparation form and facilitate a discussion about the resident. (2) The staff preparation form will be reviewed, typed and inserted in the resident's Program file within 48 hours of Program's staff review. III. Administrative Responsibilities The module specialist will be required to perform the following functions as necessary: A. Writing memos. B. Writing incident reports. C. Writing crime reports. D. Updating status boards in the modules and the booking room. E. Recording all resident moves on the team leader clipboard. F. Recording all phone calls made by the residents. G. Utilizing the standard account procedure for handling of resident monies. H. Other f .un-ctmns as necessary.

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F. OBJECTIVES FOR THE STAFF PSYCHOLOGICAL SERVICES PROGRAM (The staff psychologist works 20 hours/week) Objective Number 1: 353 The staff psychologist is responsible for providing crisis intervention services and other emergency services to residents (e.g., facilitating psychiatric referrals). Crisis intervention refers to both individual and group settings. This objective has the highest priority for the staff psychologist. A. Quantity -The staff psychologist will respond to 100% of all crises while on duty. B. Quality -(1) Quality will be determined by examining the situation to see if the crisis was averted. (Baseline data will be developed to determine the percent of successes in handling crisis situations. Formula = Number of successes ) Total number of crisis) (2) The staff psychologist will obtain formal and informal feedback from the staff in regards to how well he/she handles these crisis situations. C. Timeliness -(1) The staff psychologist will respond to the crisis as soon as possible given the demands of the situation. Objective Number 2: (2) The staff psychologist will obtain informal feedback from the staff following each crisis. (3) The staff psychologist will obtain formal feedback every months. The staff psychologist will provide evaluation and a treatment plan (when appropriate) to persons referred to the staff psychologist or persons the staff psychologist feels need the services. Evaluation refers to a diagnostic interview and, when necessary, the use of personality assessment tests. This evaluation is used to develop a treatment plan for the individual. Treatment plan refers to establishing a plan which will begin to meet the needs of the resident as outlined in the evaluation. Examples of a treatment plan may

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354 include the following: individual counseling, group counseling, referring the resident to an agency which visits the facility, referring the resident to an agency outside the facility upon the resident's release, family therapy, etc. A. Quantity -The staff psychologist will provide these services to an average of five (5) people per month. B. Quality -(1) The staff psychologist will obtain formalized feedback on assessment conducted and treatment plans recommended. This feedback will be obtained from the staff psychologist's clinical supervisor at the University of Colorado. The Program's Team Leader will obtain this feed back from the staff psychologist and the clinical supervisor. (2) Informal feedback will be obtained by the staff psychologist from staff members. C. Timeliness -(1) The treatment plan will be instituted within one (1) Objective Number 3: week of the time the treatment plan is recommended. (2) Formalized feedback will be obtained on a weekly basis. (3) Informal feedback will be obtained on an ongoing basis. The staff psychologist will provide direct psychological treatement to residents. When appropriate the staff psychologist will provide these services to the residents' families (refer to Objective #2 for specific treatment plans) . A. Quantity -The .staff psychologist will provide 25 hours of direct psychological treatment per month. B. Quality -(1) The staff psychologist will obtain formalized feedback on direct psychological services he/she provides. This feedback will be obtained from the staff psychologist's clinical supervisor at the University of Colorado.

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2) The staff psychologist will obtain informal feedback on services rendered from the staff assigned as counselors. C. Timeliness -(1) Formalized feedback will be obtained on a weekly basis. (2) Informal feedback will be obtained on an ongoing basis. Objective Number 4: The staff psychologist will provide formal and informal consultation, training and supervision to staff. The purpose of this objective is to enhance the staff's awareness of individual and group and to utilize this awareness in dealing with other staff, residents, and environment. Additinally, the supervision performed by the staff psychologist meets policy requirements as outlined in the Policy Manual. 35S A. Quantity -The staff psychologist will be available to provide informal consultation and training services to all staff. The staff psychologist will provide formal consultation, training and supervision to those persons involved in the "counseling group''. B. Quality On general availability and informal consultation,:the staff psychologist will obtain feedback via a questionnaire to determine the quality of the consultation. Concerning bhe formal consultation, training, and supervision, the staff psychologist will obtain a more indepth analysis of his/her work via questionnaires, interviews, etc. For formal classroom instruction the staff psychologist will obtain formal feedback from the class concerning relevancy of material, quality of instruction, etc. C. Timeliness -Informal consultation, training and supervision will occur as needed. The formal consultation, training and supervision will occur once per week for those persons involved in the counseling group. (Frequency of evaluation is to be determined.) Objective Number 5: The staff psychologist will understand the primary functions and goals of the facility and will then use his/ her skills to support staff in carrying out their responsibilities in the organization. Providing support will be done on both a formal and informal basis.

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Formal support will consist of both short term counsel-ing and referral when appropriate. Also, as a member of the Program's team, the staff psychologist will provide information and assist in the decision making process. A. Quantity -The staff psychologist will make his/ her services available to all staff and the staff psychologist will attend the weekly Program's team meeting. B. Quality -The staff psychologist will obtain informal feedback from staff concerning the quality of services provided, and general support provided the staff. Additionally, the staff psychologist will obtain informal feedback from the Program's team leader regarding the quality of general support provided to the organization. C. Timeliness -The staff psychologist will assess requests and prioritize these requests. The assessment will occur immediately, however, follow through is based on the time limitation the staff psychologist works at the facility. Objective Number 6: In dealing with clients, the staff psychologist will often have to go outside the organizat.ion and deal with other agencies which will provide services to clients of the staff psychologist. To insure there is no duplication of effort within the organization, the staff psychologist is required to notify the paralegal specialist, the Program's team leader, and the nurses of his/her agency contact. (Primary emphasis is placed on communication with the paralegal specialist.) A. Quantity -The staff psychologist will go through this process with every outside agency contact. B. Quality-The staff psychologist will informally solicit feedback from the paralegal specialist, the Program's team leader, and the nurses regarding the thoroughness and relevancy of information shared. This will be done on an ongoing basis. C. Timeliness -The staff psychologist will notify the paralegal specialist immediately upon communicating with an outside agency. The staff psychologist will review with Program's team members at t h e weekly Program's meeting his/her communication with outside agencies.

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Objective Number 7: The staff psychologist will act as a consultant in reviewing psychological services offered the jail. The staff psychologist will work with the Program's team leader in evaluating the existing and perspective services and make recommendations to the Program's team leader about the viability of the service. A. Quantity -The staff psychologist will review all psychological services. This review will occur for treatment oriented programs as opposed to educational programs. 357 B. Quality -The evaluation provided by the staff psychologist will consist of the parts: (1) A statement about the rationale of the program; (2) The strengths and weaknesses of the program; (3) The compatability of the program under investigation in relation to other programs already offered and the philosophy of the jail; and (4) A statement about the qualifications of the persons administering the program. c. Timeliness -(1) the staff psychologist will perform the evaluations when needed; (2) The evaluation will occur and a presentation will be made to the Program's team leader within one week of the time the meeting is set with those persons administering the service under investigation.

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• 358 G. NON-TECHNICAL AREA. S 1. Administrative Awareness An awareness of administrative functions and the administrative hierarchy is essential for all staff members in understanding how the organization functions and for the completion of routine tasks. Also, required decision making and the completion of day to day tasks is the understanding of team leader and assistant team leader job functions, roles and responsibilities. To this end the following objective is written: All staff will receive formalized training in organization hierarchy and personnel job functions. All non-commissioned staff will be responsible for informally learning (from their peers) how the organization functions. A. Quantity -All non-commissioned staff will receive training on the basic organizational structure of the Boulder County Correctional facility and on on the job functions, roles, and responsibilities of the team leaders and assistant team leaders. B. Quality -The program's staff will determine if each non-commissioned program staff member has learned the formal organization structure and job functions, and if each non-commissioned staff member has learned the mechanism by which the organization functions. C. Timeliness -(1) New non-commissioned staff members will receive their formal training at the time the security training is received. (2) The program staff review sessions will occur once per quarter. 2. Information Communication Objective Number 1: Staff to staff. An open line of communication is essential for employees in Boulder C ounty Corrections. This line of communication provides an environment whereby staff members freely exchange information that supports the security of the facility and implements treatment provided for residents. The vehicles for information include: pass-on books, memos, classification files, staffings, jail lists, intake interviews, etc. It is understood that official departmental information is not misused.

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In addition to written (formal) information, informal information must be considered. Communication between staff members assists in fulfilling goals of accountability and consistency. Honest verbal exchange is 359 a means to provide professional support and to increase the level of trust. A. Quantity -A formalized review of staff-tostaff communication and information flow will occur once per quarter. B. Quality -The program's staff will determine if the communication/information is at an acceptable level. C. Timeliness -The program's staff review sessions will occur once per Objective Number 2: Staff to Residents Effective communication between staff and residents is a crucial element in the reintergrative effort and may act as a preventative measure regarding potential incidents. Knowing residents and being able to reach out to discover their need s is especially important for professionals who are providing specialized services. Creating and maintaining an open line of communication is a means to provide appropriate and prompt response to resident's needs. Kites should also be used as a more formal vehicl e to inform program's p eople of individual requests. A. Quantity -A formalized review of staff-toresidents communication and information flow will occur once per quarter. B. Quality-The program's staff will determine if the communication/information flow is at an acceptable level. C. Timeliness -The program's staff review sessions will occur once per quarter. Objective Number 3: Confidentiality Employees don't share personal information about other staff members with residents. Personal information about residents is shared with staff member if this information has direct bearing on the security of the organization or on the safety and/or well-being of any individual(s). There is a legal obligation to inform other law enforcement officers of information relevant to serious crime s . There is a moral obligation to inform residents of this legal role. Providing special

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services, i.e., education, health, library, legal referrals, vocational counseling, therapy, etc., often puts the staff member in the position of receiving additional, personal information from the resident. In these cases, maintaining confidentiality is appropriate provided that there is no security risk 360 or immediate crisis at hand. Persons will work within the guidelines set forth in the policy manual concerning confidentiality. A. Quantity -N/A. B. Quality -Adherence to those items specified in the policy manual. C. Timeliness A program's staff of this will occur once per quarter. 3. Program Creativity It is the responsibility of those persons who manage each of the program areas to systematically develop, implement and evaluate new programs as specific needs arise. It is realized that the creative aspect arises once the individual responsible for a program area has worked in that area for a certain "period of time". The period of time may vary from one person to another. However, the critical aspect is not the length of time but rather the time it takes the individual to understand all of the inner workings of the program and its relationship to the jail, residents, outside resources, and staff. Once the program manager understands these interrelationships it is felt tliat he/she should be able to organize the different facets of his/her program in such a manner as to come up with new and different approaches to needs/problems. This is what is meant when it was stated to" ... systematically develop, implement and evaluate new programs ... " A. Quantity As many as are appropriate. B. Quality -Fulfills the needs stated in the needs analysis. c. Timeliness -The design and implementation of the new approach will occur within 2 weeks form the time the need is stated (barring unforeseen obstacles) . A review of the new approaches will be provided by the Program's team prior to implementation. Evaluation of the approach will occur after a period of time agreed on b y the program's team leader and the program

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manager. It should be stated that the development of new programs is an ongoing process. The reason for having a two week implementation per.iod is to insure new programs are not unduly delayed in their implementation. 361 4. Security Objectives Objective Number 1: Security Philosophy Non-commissioned personnel will be aware that they are in a "security" environment and they will be aware of what security means for that environment. The main thrust of this objective is that persons working in the facility to be aware of the security aspects of the facility and avail themselves to learn what the measures are. A. Quantity -All staff, volunteers, and persons from outside agencies will adhere to this philosophy. B. Quality -All non-commissioned staff and volunteers will receive a formal didactic training session conducted b y the staff training officer and a volunteer coordinator. C. Timeliness -All volunteers will receive an orientation, which includes s ecurity awareness, prior to working in the facility. All noncommissioned staff will receive a security orientation briefing prior to working in the facility and all non-commissioned staff will receive formalized security training within four weeks of the time they start work at the facility. Objective Number 2: Non-commissioned staff and volunteers will receive training in the following areas: 1. Use of keys and doors. 2. Movement of non-commissioned staff, volunteers, and residents through the facility. 3. Supervision of activities, materials, and residents. 4. Awareness of classification systems and implications of the system. 5. Conduct of non-commissioned staff and volun-teers during incidents. 6. An awareness of contraband issues. 7. Confidentiality . 8. Appropriate personal conduct. 9. Communication channels and formal organizational structure.

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362 All persons will receive this training in the training sessions and will utilize two manuals which provide guidelines for these areas. These manuals are: "A Training r.1anual for Non-Commissioned Staff and Volunteers", and the "Policy Manual". A. Quantity -All non-commissioned staff and volunteers will receive a six hour block of instruction which covers the above points. A standard of performance for security will be developed by the trainer. All persons who attend the security training must meet the standard of performance established b y the trainer. B. Quality -All staff members will responsible for providing feedback in regard to professional conduct as it pertains to security . 5. Sensitivity Sensitivity implies that all programs staff will be aware of their environment and actions going on around them. The programs staff will then utilize this infomation in dealing with residents, other staff, and their environment. By acting in this manner it is hoped that a positive atmosphere will be created which wil l assist both staff and residents. The objective is thus written that all programs staff will be sensitive to those with whom they interact and will utilize that information to create a positive atmos-phere for personal growth of both staff and residents. A. Quantity -All non-commissioned staff will employ this concept. B. Quality -The programs staff will determine if each program staff member has utilized this concept in their day to day interactions with others. C. Timeliness -(1) Being sensitive is an ongoing process. (2) The program staff review session will occur once per quarter.

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A. PHILOSOPHY AND OBJECTIVES Objective Number 1: Security Philosophy All staff will be aware that they are in a "security" environment and they will be aware of what security means for that environment. The main thrust of this objective is that persons w0rking in the facility be aware of the security philosophy of the facility and avail themselves to learn what the specific security measures are. A. Quantity -All staff, volunteers, and persons from outside agencies will adhere to this philosophy. ' 363 B. Quality -All staff and volunteers will receive a formal didactic trianing session conducted by the staff training officer and a volunteer coordinator. C. Timeliness -All volunteers will receive an orientation, which includes security awareness, prior to working in the facility. All staff will receive a security orientation briefing prior to working in the facility and all staff will receive formalized security training within four weeks of the time they start work at the facility. Objective Number 2: All staff and volunteers will receive training in the following areas: 1. Use of keys and doors. 2. Movement of non-commissoned staff, volunteers, and residents through the facility. 3. Supervision of activities, materials and residents. 4. Awareness of classification systems and implications of the system. 5. Conduct of non-commissioned staff and volun-teers during incidents. 6. An awareness of contraband issues. 7. Confidentiality. 8. Appropriate personal conduct. 9. Communication channels and formal organizational structure. All persons will receiv e this training in the training sessions and will utilize two manuals which provide

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guidelines for these areas. These manuals are: "A Training Manual for Non-Commissioned Staffand Volunteers" and the "Policy Manual". A. Quantity -All staff and volunteers will receive a six hour block of instruction which covers the above points. A standard of performance for security will be developed by the trainer. All persons who attend the training must meet the standard of performance established by the trainer. B. Quality -All staff members will be responsible for providing feedback in regard to professional conduct as it pertains to security. ' C . Timeliness -Feedback will be provided on an ongoing basis. Objective Number 3: It is imperative that the staff and administration of Boulder County Corrections be constantly concerned with refining and improving the safety and security of Boulder County Corrections. In view of this responsibility, the following areas should be of special concern in 1978: 1. Quickly reporting and repairing (if possible) equipment that relates to the security and safety of the facility. 2. Maintaining a positive environment and thereby reducing the risk of escape or physical harm to residents and employees. 364 The objective is thus to minimize the number of escapes and major incidents and to maximize the safety of residents and staff members working in the facility. A. Quantity -(1) All Corrections Specialists will be responsible for listing any equipment or maintenance problems in the maintenance repair book. For emergencies the Corrections Specialist will notify the maintenance supervisor immediately and log the emergency in the maintenance repair book. (2) There will be no more than major incidents and there will be zero escapes. (Major incidents to be defined by Operations team leaders.)

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B. Quality -(1) A review of the maintenance book once per month will be done to evaluate the status of items in the book. The review will be performed by either (a) the evaluation component; or (b) the maintenance specialist and presented at the team leader meeting. (2) Environment will be checked via CIES. C. Timeliness -(1) and (2) Once per month 365 See above: with annual summaries. '

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366 B. ACTION OBJECTIVES 1. We will continue to work onthe problems surrounding the maintenance of the facility with priority given to security breakdowns, i.e., cameras, intercoms, radios, doors, emergency switches, etc. We must find ways to improve the efficiency of these This will be done in 1978. 2. Since the fire alarm system gives indicators for general areas, it would be preferable if it could be altered to indicate more specific locations. We will check into this possibility by June 1, 1978 and implement it as soon as possible should it be feasible. ' 3. Staff will make efforts to keep the tension level at Boulder County Corrections low in 1978. This will include staff, residents, visitors, and people from other agencies. 4. We look into our present maintenance difficulties with the view of possibly designing a more efficient process of completing maintenance tasks. This may include new methods such as hiring our own maintenance people; having someone assigned to the jail by the maintenance department: or developing a system to evaluate work done by maintenance. This will be done by July 1, 1978. 5. Clarify procedures regarding the reception area and the receptionist's duties. This should be particularly related to people passing through reception and possible escape or walk-away situations. This will be done by June 1, 1978. 6. Request and receive from other agencies a list of authorized personnel who may require access to the jail. This would include seminars and tours, and Boulder County Corrections staff arranging meetings, notifying reception. This will be accomplished by June 1, 1978. (This objective can also be found in Organizational Dynamics -III C9.)

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A. OBJECTIVES FOR THE WORK RELEASE PROGRAM Work Release is an alternative means of sentencing in which a resident fulfills the conditions required by the courts, yet permits that individual to maintain his/her respective job and economic security. While on Work Release, that individual will be responsible and accountable for his time and actions, and that individual's movements will not jeopardize the efficiency or security of the corrections facility. In summary, Work Release is a status created by court order allowing the individual to leave the corrections facility at specified times for purposes of employment, school or therapy release. The sepcific procedures, selection criteria, etc., for the Work Release program are outlined in the Policy Manual. It is the responsibility of the Work Release Director to insure the Work Release program is operated. Thus, the objectives of this part focus on the {.Vork Release Director's res ponsibilities. Objective Number 1: The Work Release Direct0r's primary responsibility is to insure the Work Release program is managed and operated in an effective and efficient manner. In managing tHe program, the Work Release Director will adhere to the philosophy statement as well as policies outlined in the Policy Manual. The management of the Work Release program is the highest priority of the Work Release Director. To insure the program is managed in an acceptable manner, the following areas of responsibility are outlined as being key result areas. I. Accountability The Work Release Director is responsible for all persons in the Work Release program and all monies which flow through the program. A. Quantity -The Work Release Director will be held accountable for all persons in Work Release and all monies which flow through the program. B. Quality -(1) The Work Release Director will know (within reason) where all persons on Work Release are located when they are outside the facility. (2) Accounting books will balance.

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368 C. Timeliness -(1) Continual for residents. (2) Books will be balanced furing the first week of every month. II. Communication and Liaison with Outside Agnecies, i.e., Courts, Probation, Social Services, etc. Maintenance of these communication channels is vital to the establishiment of an individualized service plan for the Work Release residents. A. Quantity -N/A B. Quality -The quality of communication will be determined by feedback from the agencies. C. timeliness -This is an ongoing process. III. Supervision This includes the supervision of staff, volunteers, or residents as it pertains to the Work Release program. A. Quantity-All people who are involvedwiththe Work Release program will be supervised by the Work Release Director. B. Quality -The Work Release Director will examine (and correct where appropriate) actions taken by staff, volunteers and residents to see if their actions conform to policy. The Work Release Director will obtain feedback from all parties on the quality of supervision. C. Timeliness -Ongoing. IV. Internal Communication The Work Release Director will maintain formal and informal communication iwth: (1) the Operations team to insure the smooth running of the Work Release program andfue facility; (2) the Program's team leader with regards to program status, program development, decision making, etc; (3) the Program's team with regard to current status of the Work Release program. A. Quantity -N/A B. Quality -The information provided these people will be clear, concise, and accomplish its purpose.

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C. Timeliness -The Work Release Director will provide communication to: (1) Operations -at least once 369 a week for scheduling purposes and as the need arises; V. Maintenance (2) The Program's team leader at least once a week or as the need arises; (3) The Program's team once a week. The Work Release Director will insure the Work Release living unit is kept clean and in order. A. Quantity -N/A ' B. Quality -The cleanliness of the Work Release unit will conform to standards outlined on the "Cleaning Policy Checklist". C. Timeliness -The Work Release Director will evaluate the cleanliness of the Work Release living unit once per day. VI. Evaluation The Work Release Director will be responsible for evaluating the 'iilork Release program. A. Quantity B. Quality C. Timeliness Objective Number 2: Specific items for evaluation will be developed when the evaluation package for the facility is developed. To provide vocational counseling or refer the residents to an agency (or person) which can provide the vocational counseling. There are four categories of residents who receive these services. These categories are: (1) persons sentenced to the Work Release program; (2) persons sentenced to Boulder County Corrections (not Work Release); (3) pre-trial detainees; and (4) pre-trial individuals not incarcerated in the facility. Each of these groups will not be dealt with separately. I. Persons Sentenced to the Y •lork Release Program The main focus of the Work Release program is that individuals be in the community working, attending school, or receiving therapy while under structured residential

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370 direction. In support of this concept the Work Release Director provides vocational/personnel counseling services. A. Quantity -A representative from the Work Release program will meet with each resident assigned to the Work Release program once per week. B. Quality -There are two categories of residents to examine: (1) those residents who have been sentenced to the Work Release program for 60 days or more, and have been identified by the Work Release Director or'the Program's team as needing vocational/ personnel counseling. A written contract will be agreed on between the Work Release Director and the resident. A quality visit is seen as one where the Work Release Director and the resident interact on items specified on the contract. (2) All other residents in Work Release. Although no formal agreement may be written between the Work Release Director and the residents, the Work Release Director will act as a resource in providing support, referral services, and counseling services as needed to residents in this category. c. Timeliness -(1) The Work Release Director will meet with everyone in the Work Release program in a group meeting once a week. (2) Contracts will be drawn up within one week of the time a resident starts work in the Work Release program. (3) The Work Release Director counsels individuals in category 2 (see I B(2)) when problems arise.

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II. Persons Sentenced to Boulder County Corrections Not in Work Release The Work Release Director will establish contacts, provide a vocational needs assessment, and evaluate and identify barriers to employment for all sentenced individuals. A. Quantity -The Work Release Director will provide this assessment for all sentenced individuals. B. Quality -(1) The Work Release Director will initial the resident's program file, signifying the contact and assessment has been 371 (2) The Work Release Director will report at the Programs meeting all formal vocational needs assessments conducted of sentenced offenders. C. Timeliness -(1) Files will be initialed within 24 hours of the contact. (2) Presentations will be made to the Programs staff once per week. (3) The vocational needs assessment will be conducted within two weeks from the time the person is sentenced. III. Pre-trial Detainees The Organization's main emphasis is to do a needs assessment of these people via intake interviews or interactions between the detainees and a correctional specialist. The Work Release Director will enter into contactonlywhen a referral has been made from someone who interacted with the pre-trial detainee. Although it is suspected that there is a high need for vocational counseling among pre-trial detainees, personnel limitations restrict the services which can be provided for this category. A. Quantity -Services will be provided to all those who request services. B. Quality -A high quality interview will contain the following components: 1. Needs assessment follow-up from the intake interview; 2. Providing correct information, i.e., clarifying services which are available;

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372 3. When applicable, making referrals. C. Timeliness -The Work Release Director will reppond to referrals within one week of receiving the referral. IV. Pre-trial Individuals Not Incarcerated in the Facility The main role of the Work Release Director with this category of individuals is to examine the appropriateness of having individuals participate in the Work Release program. The Work Release Director, working with Probation and other relevant agencies, will put together information which can assist the judge in making sound decisions of the placement of individuals in the Work Release program. Selecting appropriate people for the Work Release program, at this stage, as been an effective method of placing people in Work Release. A. Quantity -The Work Release Director will evaluate all people referred and will follow through with appropriate actions. An average of one person per week is handled in this category. B. Quality -High quality implies the following items will occur: 1. The Work Release Director will obtain background information on the individual. 2. The Work Release Director will make a decision on whether a person is appropriate for the Work Release program. Both subjective and objective criteria will be used in making this decision. 3. When possible, the Work Release director may generate other alternatives. C. Timeliness -1. The interaction of the Work Release Director and the individual will occur at least one week prior to court sentencing. 2. All appropriate paperwork will be completed one day prior to court sentencing. Objective Number 3: Upon request, the Work Release Director will provide support to the Boulder Corrections facility by assisting Operations and Programs functions. Specific requests for the Work Release Director will be made based on personnel shortages.

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A. Quantity -The Work Release Director and the supervisor making the request will negotiate which requests the Work Release Director will fulfill. Other job functions the Work Release Director has will take priority over these requests. B. Quality -(1) Informal (verbal) feedback will periodically be solicited by 373 the Program's team leader and the Work Release Director (the qualifications of the Work Release Director with respect to Operations functions) . C. Timeliness -The Work Release Director will make a decision within 30 minutes of the request concerning whether or not he/she can fulfill the request.

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374 B. OBJECTIVES FOR COr1MUNITY INVOLVEMENT Objective Number 1: To make the community aware of the major facets of the Boulder County Corrections Center and its interrelationship with the Criminal Justice System. This may include verbal presentations, written information and other materials as deemed necessary to educate the community. The community, as defined in this objective, are considered organizations and individuals who represent the interests of Boulder County. A. Quantity -To meet with an average of two community organizations or individuals per month. B. Quality -(1) To make presentations to established credible community organizations such as the League of Women Voters, the Criminal Justice Advisory Council, higher educational organizations, government agencies, volunteer groups, church groups, etc. (2) To informally (verbally) solicit feedback from the audience. (3) To formally (written) solicit feedback from the audience. C. Timeliness -(1) Informal feedback will be sought at every presentation. (2) Formal feedback will be solicited twice per year. Objective Number 2: To maintain current relationships with external organizations which provide services to the Boulder County Corrections Center. A. Quantity To spend time maintaining all relationships with outside organizations. At a minimum this will include a one hour visit every bhree months. B. Quality -(1) The organization(s) will continue to work with the Boulder County Corrections Center. (2) During the visit the Program's team leader will perform an assessment to determine how the external

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375 organization is perceiving its relationship with the Boulder County Corrections Center, and attempt to resolve any conflicts. (3) The establishment of written agreements between the Boulder County Corrections Center and the external organizations. C. Timeliness -(1) One hour visits every three months. (2) Agreement with agencies will be consumated by January 1, 1978. Objective Number 3: To seek organizations and individuals outside of the Boulder County Corrections Center which may provide services to the clientele of those housed within the Center. A. Quantity -Meet with an average of one (1) new organization every q uarter. B. Quality -(1) Provide the new organization with general information on the Boulder facility. (2) Provide the new organization with specific information on resources and the assessed needs of the residents in the facility. (3) T o examine the services offered b y the (new) organization to see if it can provide services which meet the needs of the Boulder Co rrectional facility . C. Timeliness -Meet with the organizations every quarter. Objective Number 4: To utilize graduate students within the facility to assist in the intake process and where the need arises, to make referrals. A. Quantity -(1) To utilize at least one graduate student per semester. (2) The graduate student will interview an average of 25 residents per month.

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B. Quality -(1) Graduate students will be selected from programs approved by the Program's team leader. 376 (2) Formal evaluation of the students' work will be performed by a person specified by the Program's team leader. c. Timeliness -Already specified.

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C. OBJECTIVES FOR THE VOLUNTEER PROGRN1 Objective Number 1: To perform a needs analysis of the residents, organization and volunteers to determine where volunteers can be utilized. A. Quantity -The staff and residents will be polled informally on an ongoing basis while a formal polling will occur twice a year to determine where volunteers can be utilized in the organization. B. Quantity -A written report will be submitted to the Program's Team Leader which outlines the results obtained from the formal survey. 377 C. Timeliness -The formal survey will be conducted and the written report submitted to the Program's Team Leader on March 31, and September 30 each year. Objective Number 2: Based on the needs outlined in objective one, the volunteers will recruit, screen and train volunteers for the volunteer program. A. Quantity -The volume of individual volunteers and volunteer organizations will be kept at such a number that they do not interfere with the operation of the jail. B. Quality -The recruiting, screening and training of volunteers will conform to volunteer policy guidelines (to be developed). C. Timeliness -(1) Recruitment will occur on an ongoing basis. Objective Number 3: (2) Screening will occur within two weeks of the time the volunteers are recruited. (3) Training (where appropriate) will occur within two weeks of the time screening is completed. To inform the organization about volunteers and coordinate volunteer activitieswithorganizational activities.

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378 A. Quantity -The organization will be notified of all volunteers, volunteer organizations, and volunteer activities conducted infue facility. B. Quality -(1) For new volunteers, a memo (including a picture of the new volunteer) will be posted in the team room. (2) For volunteer organization activities, information concerning volunteer activities will be conveyed to the organization via the Program Team Meeting Hinutes and the Team Leader (when applicable) . (3) When new volunteer organizations start working in the facility, the organization•.will be informed the Team Leader Minutes and the Program Team Meeting Minutes. C. Timeliness Staff will be notified at least one week prior to a new volunteer starting \ vork. For new volunteer organizations and volunteer activiites, staff will be given at least two weeks notice. Objective Number 4: The Volunteer Coordinator will schedule regular meetings with volunteers and volunteer groups for providing supervision and support. A. Quantity -This will apply to all volunteers. B. Quality -At a minimum the follovd.tng topical areas will be reviewed with each volunteer: (1) Problem areas. (2) Policy review. (3) Morale of volunteers. (4) Review of work schedule. (5) Performance evaluations. In addition, the volunteer coordinator will seek input from bhe volunteers. C. Timeliness -The volunteer coordinator will meet with each volunteer once per month and each volunteers organizationsl coordinator once per quarter. In addition, the volunteer coordinator will Meet with all volunteers (in a group) once per quarter.

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379 Objective Number 5: To provide the necessary administrative support for the volunteer program. • A. Quantity -At a minimum records will be kept in the following areas: (1) Listing of volunteers, (2) A log for all times worked by volunteers (include dates, hours, sign in and sign out) . (3) Types of activities sponsored b y volunteers/organizations. (4) Attendance (of residents) to volunteer sponsored activities (by type activiity). (5) Other records as deemed necessary by the volunteer coordinator. B. Quality -A great deal of flexibility (left to the discretion of the volunteer coordinator and programs team leader) will be allowed in evaluating individuals and organizations. C. Timeliness -(1) The list of volunteers will be updated once per month. (2) Formal evaluations will occur twice per year. (3) The log will be maintained on a daily basis .

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D . OBJECTIVES FOR THE RESOURCE AND REFERRAL SERVICE Objective Number 1: 380 On request, to coordinate the appropriate services needed in order to meet crisis. Will include necessary background information as available to support the incoming crisis worker. Internally, the paralegal specialist will work primarily with Correctional Specialists in the booking room, the modules, and the nursing staff. A Quantity ( 1) All non-medical crisis during work1ng hours. ( 2) Medical crisis as requested during working hours. B . Quality -Develop and utilize a formal eval-uation of services provided by this program. C. Timeliness -(1) This is the highest priority and the paralegal specialist will start making arrangements within 30 minutes of the request. (2) The evaluation will be conducted every six months. Objective Number 2: to respond to non-crisis requests for service and coordinate the delivery of services (if possible) from either an outside agency or internal resource to the requesting resident. A . Quantity -1. Outside Agency/Outside Contact Pertains to residents who have requested assistance, or referrals recommended or ordered by the court, and might include the following agencies or professionals= Mental Health Center; Div. Alcohol Abuse; Polydrug; Community Corrections ; Legal Aid or Public Defender; Job Avg. No. of Referrals per mo. 15

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381 Avg. No. of Referrals per mo. Service Center; Youth Hostel; Free-Inn; Emergency Family Assistance; Adult Basic Education; AA; VA; ARC. 2. Outside Agency/Inside Contact Pertains to residents who 25 have requested assistance, or referrals recommended or ordered by the court, and might include the following agencies or professonals: Mental Health Center; Crisis Worker; Div. of Alcohol Abuse; Polydrug; Community Corrections; Legal Aid or Public Defender; AA; VA; Vocational Counselor; Post House; Empathy House; Private Psychiatrist; Uni-versity of Colorado Hearing and Speech Clinic; Religious Counselor; People's Clinic; American Red Cross. 3. Inside Program/Inside Contact Pertains to residents who 40 have requested assistance, or court ordered partici-pation, in programs by staff professionals: Newspaper; Education; Vocational Workshop; Survival Workshop; Work Release; Health Education; Arts and Crafts; Counseling; Recreational Clinics; Meditation; Psychologist. 4. Inside Program/Outside Contact Tours; Poetry Workshop; 57 Drug Workshop; AA; Health Education; Bible Study; Religious Services. (Participation as in #3)

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382 B. Quality -To develop and utilize a formal evaluation form to determine quality. C. Timeliness -(1) Volume of referrals will be maintained monthly. Objective Number 3: (2) Evaluation will occur every six months. (3) Will assess the request for services within 24 hours of request. (4) Will make the appropriate arrangements based on the assessment within 72 hours. To maintain, update and verify the "Resource Sheet" for the Boulder area and to maintain a copy of the Boulder County Community Resources Directory. Secondly, to be aware of resources available in the Denver Metropolitan area. A. Quantity -(1) There are a pproximately 50 service agencies available, about which the paralegal specialist will have current information (phone number, contact person, etc.) . (2) The paraglegal specialist will update the resource sheet with an average of two directory changes per month. B. Quality -The resource sheet will be kep t current. C. Timeliness -(1) Once a quarter the resource sheet will be typed. The revised version will be typed by 1-15, 4-15, 7-15, and 10-15. Objective Number 4: (2) Once a year, the paralegal specialist will purchase the updated version of the Boulder County Community Resource Directory. This will occur in May or June. To create and maintain "resident program files" when: (1) an intake interview occurs; or (2) \
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A. Quantity -Create an average of 50 resident programs files per month; update all program resident files on an ongoing basis. 383 B. Quality -The information put in a resident's file will consist of the following types of information: programs the residents participate in; counselor(s) seen; rap sheet; sentences; psychological evaluations; Work Release or Trustee status; expected release date; progress reports; referrals, monthly statistics, etc. C. Timeliness -(1) The resident program file will be created within one hour of the intake interview. (2) As information becomes available, the paralegal specialist will insure that the information is put in the appropriate resident's file.

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E. ACTION OBJECTIVES 1. The volunteer coordinator will initiate the first draft of the volunteer policy. A. Quantity -N/A. B. Quality -The policy will include: (1) Philosophy of volunteers in a corrections setting . 384 (2) Recruitment, screening and training of volunteers. (3) Supervision of volunteers. (4) Functions for which volunteers can be utilized. (5) Responsibilities of volunteers. (6) Inclusion of explorer policy . In development of this policy the volunteer coordinator will make use of existing guidelines and literature. The proposed policy will follow the standard policy review procedures. C. Timeliness -The first draft will be submitted to the Programs team leader on June 13, 1978.

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VII. INVOLVEMENT WITH THE NATIONAL INSTITUTE OF CORRECTIONS Objective Number 1: The Boulder County Corrections Center will work with the National Institute of Corrections (NIC) in taking persons on tours of the Boulder facility. A person will be assigned the responsibility of working with NIC. This person's title will be NIC Liaison. The NIC Liaison is responsible for conducting tours of the facility and handling public relations for Boulder County Corrections; coordinating tours with 385 a minimal disruption to the facility and providing needed inforamtion to participants. A . Quantity -The Liaison will be present for 90% of the tours at the facility . B . Quality On evaluations given to staff, residents and participants, 75% will state that the tours were minimally disruptive. C. Timeliness -Evaluations of staff and residents to be done each three months; each participant at NIC presentations in Boulder County Corrections will complete evaluation. Objective Number 2: The NIC Liaison will have regular contact with NIC staff persons, NIC programs persons and Boulder County Corrections staff to ensure positive conflict resolution. A . Quantity -The Liaison will attend one weekly meeting with the Administrative Supervisor, meetings with the Director of Corrections as needed, one team leader meeting per month, one jail activity per week, one briefing per week, two meetinos with the NIC Director per month, 90% of NIC staff meetings, one meeting with each NIC program coordinator before and after each training program. B. Quality -Each apparent conflict will be discussed and resolved between parties. c. Timeliness soon as all contacted. informed of -Conflicts will be addressed persons involved are able to Director of Corrections will conflicts and resolutions. as be be

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Objective Number 3: The Liaison will provide Corrections professionals and Boulder County Corrections staff with information concerning Boulder County Corrections, NIC and corrections. A. Quantity -All requests for information that is in our possession will be responded to. B. Quality -The Liaison will maintain a 386 cache of NIC information, corrections positions available, and Boulder County Corrections information; develop and write such information at the direction of the Corrections Director. C. Timeliness Requests for available material will be supplied to requestor within ten days. Objective Number 4: Thw NIC Liaison will function as the NIC Grant Administrator; keeping financial records, writing quarterly grant reports and keeping records on facility visits. A. Quantity -The financial records will be accurate for each day and a monthly summary provided. Quarterly grant reports will be completed within 15 days of the end of the quarter being reported. Totals of visit information will be summarized each quarter. B. Quality -All records will be accurate; quarterly reports will be concise, complete and professionally written. C. Timeliness (See Quantity). Objective Number 5: The NIC Liaison will provide technical assistance for NIC as requested by serving on staff on NIC seminars and by providing services in the field, as long as these services do not interfere with primary responsibility of making presentation to NIC seminars and being available to NIC groups meeting in Boulder. A. Quantity -Positive responses from 75% of service receivers as reported to the Director of NIC Jail Center. B. Quality -C. Timeliness -

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387 Objective Number 6: The NIC Liaison will participate on State Jail Advisory Committee and other state committees. A. Quantity -As assigned b y the Director of Corrections. B. Quality -Feedback elicited by Administrative Supervisor from supervisors and committee chairpeople. C. Timeliness -

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VIII. MISCELLANEOUS ACTION OBJECTIVES 1. The staff and administration will develop a more responsive system to deal with immediate or priority problems by April 1, 1978. 2. A divisional policy will be written regarding incident critiques and investigations by June 1, 1978. 3. A divisional policy will be written regarding the disclosures of security information and activities of the jail by May 1, 1978. 4. There will be a clarification on the policy and legal issues concerning the search and rights o f visitors in the Corrections facility by July 1, 19 78. 5. There will be a review of our present procedure 388 on contact visits by July 1, 1978. This review will investigate the present wheres and hows of contact visiting . 6. There will be a review of our present methodolog y of shakedowns and strip searches by July 1, 1978. This will be done with the view towards training people to search people in custody more effectively . 7. The evalution component will compile data on incident reports, CR reports, medical reports, etc., in an effort to provide information which may be useful in solving security prob l ems. This will be done in 1978. B. Current emergency policies will be revised to make them applicable to all shifts and areas. This will be finished by June 1, 1978. 9. The BBC evaluation component will collect and evaluate escape data and contraband data with the view of providing the staff v.ri th information which could be valuable in curtailing these incidents. This will be done in 1978. 10. Kitchen policies regarding the use of knives and when and how they are locked u p . This may result in new procedures. This will be accomplished b y May 1, 1978. 11. We will clarify the legal issues surrounding civilians doing CS work. This will be done by July 1, 1978.

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389 12. Procedures for handling trash disposal and bringing in deliveries to the kitchen will be clarified and standardized. This will be done by July, 1978. 13. We will exmaine and review procedures regarding food deliveries with the view of possibly refining some of these regulations. This will be done by June 1978. 14. We will review what constitutes contraband and clarify to all staff. This will be done by August 1, 1978. 15. Clarify the role of the receptionist in allowing visitors through. Who gets examined, who do you not examine.? Who gets searched and who does it? This will be done by May 1, 1978.

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APPE N DIX E Boulder County Corrections -Managing by Objectives and Results

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391 BOULDER COUNTY CORRECTIONS MBOR EVALUATION A. STAFF DEVELOPMENT The purpose of this section is to evaluate those objectives which relate to Staff Development. Subsection B presents an evaluaton of the training program and its objectives. Subsection C presents an evaluation of these objectives relating to morale while subsection E presents the data on performance and subsection F presents the evaluation of the selection objectives. Subsection G is the summary and recommendations subsection which presents the more noteworthy findings as well as recommendations based on the findings. All objectives for this section may be found in "Management by Objectives at the Boulder County Correctional Facility", June 30, 1978. pp. 1-11. The action objectives for staff development may be found in Section IX. The format for analyzing the objectives for a particular area are presented in that subsection. Each objective is then followed by the results of evaluating the progress taken towards accomplishing that objective. At the end of each subsection is a summary of the evaluation results for that area. For the area of training the researcher will develop measures to ascertain the efficiency, effectiveness, and productivity of the training program. Data utilized for each subsection was obtained by survey instruments completed by persons(s) who had knowledge of the topic under investigation. Each subsection specifies who had the responsibility for completing the evaluation instruments for each area. Copies of all the survey instruments may be found in "Tools for Evaluating the Objectives of the Boulder County Corrections Center", August 21, 1978, pages 1-43. B. TRAINING 1. Evaluation of the Training Program The training program has four objectives. These objectives deal with training new correctional specialists; on-going training for all staff; and training to have correctional staff meet minimum departmental firearm requirements. In order to ascertain how well the training program met its objectives, evaluation forms were distributed to the training specialist, and the Operations Team Leader. The training specialist left her position

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prior to the distribution of the evaluation forms, therefore, information from her is not available. 392 Also, the evaluation form distributed to the Operations Team Leader was not completed and returned to the research and evaluation unit. Thus, there is not data available from the evaluation forms upon which to evaluate how well met its training objectives. Other data is available from other sources and is presented to give at least a limited perspective of traning on Corrections Division. To obtain some idea of the training in Corrections Division, two items are examined. The first is a survey instrument completed by correctional specialists. The purpose of the survey was to outline information about the current work schedule. As a by-product information about the training program was obtained. The second item which sheds light on training deals with the shooting records of personnel in Corrections. In regard to the first item, some 34 division personnel completed a survey instrument in October to specify problems with the work schedule. In addition to specifying problems with the work schedule, information about the quality of training was obtained. In summary, there was concensus that both initial and on-going training was not adequate for the work required.l (These responses were obtained primarily from persons who worked operations.) Suggestions from the survey dealt with having systernrnatic training for new employees (24% of the respondents): having a person who would act as a ''mentor" for new corrections specialists -this person could be an Assistant Team Leader or experienced corrections spcialist (12% of the respondents); having new specialists being thoroughly trained prior to starting work; or having new employees work half-time and spend the other half of their time in training. In regard to the second item, a memorandum was written on September 28, 1978. In that memorandum the rangemaster (John Evans) listed 28 correctional personnel who had not qualified for the third quarter of 1978. This number of people represents 68.3% of those who need to qualify with firearms. In addition, informal results of the Division shoot of October 20, 1978, reveal that approximately 53% of those who participated in the Division shoot did not qualify, i.e., did not meet minimal Departmental shooting requirements. 1"survey Results'', Scheduling Task Force, October 13, 1978.

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393 In summary, it appears that training in Corrections Division is inadequate. Corrections specialists feel that the quality of training is not adequate to meet their on the job requirements. In addition, a review of the records reveals that the majority of those persons who are required to meet Departmental firearms standards did not meet Departmental standards. TRAINING IN CORRECTIO N S DIVISION THUS APPEARS INADEQUATE FOR DIVISION NEEDS. To overcome this problem it is recommended that the Director of Corrections and the Team Leaders hire a trainer to start as soon as possible implementing the objectives outlined in the Management By Objectives packet. Based on survey results it appears that the training should be systemmatic and consistent so all personnel receive the same training. In addition, it appears that an experienced staff member be assigned to new employees to insure they receive adequate training. Thus the two recommendations are: • HIRE A TRAINER AS SOON AS POSSIBLE TO START IMPLEMENTING THE TRAINING OBJECTIVES. e UTILIZE A TRAINING HETHOD I N CONJUNCTIO N WITH STAFF ASSIGNMENTS TO HELP INSURE HIGH QUALITY TRAINING. 2. Productivity Measures Several measures are recommended for use in regards to training. Efficiency = Effective-= ness Productivity Total Number Number of Hours for Each Ne\v Employee Number of Hours Training for Each Employee (Not New) Total Training ) Who Meet Minimum Who Qualify Pass On-Going Standards + w/F ire arm + Training (Total Number ( otal NumbeJ umber of of New Eml?loyEmployees wh Who ees Need to Ql!J.al Part1c1pate ify with On-going Firearm Training j = (Efficiency) X (Effectiveness) X (100)

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None of this data was gathered for this evaluation. It is, however, recommended that: e THE CURRENT EVALUATION FORMS BE DISCARDED. e THE DATA NEEDED TO THESE MEASURES BE GATHERED O N A MONTHLY BASIS. 394 e ALL STAFF BE SURVEYED TWICE A YEAR TO ASCERTAIN THEIR VIEWS ON THE TRAINING PROGRP..M. C. CAREER PLANNING There are two objectives which relate to career planning , both relate to insuring all staff receive career counseling. In order to ascertain how well the career planning objectives were being met, evaluation::form s were distributed to the Administrative Team Leader and the Research and Evaluation Unit. The evaluation form distributed to the Administrative Team Leader was not completed, thus the entire evaluation is based on data collected by the Research and Evaluation Unit. Objective Number One Stated: To provide career planning and development information to all staff. Results of Evalution: No data was gathered on this objective. Objective Number Two Stated: To provide individual career path counseling as-a-follow-up experience for each employee. Results of Evaluation: In this objective it was stated that staff would be surveyed at the same time the CIES was utilized to ascertain staff's views on the effectiveness of the career counseling. Results reveal that staff was not surveyed to ascertain their views on the career counseling. Thus, very little insight is obtained in reviewing the evaluation forms. It is known that a consultant by the name of Chuck Steensland provided career counseling to Corrections Division. He provided services in the first quarter of 1978 and worked with approximately 3/4 of the personnel in Corrections Division. Whether or not the provision of his services could be considered a success is not known. In view of these findings several recommendations are made which deal with career planninq. First of all it is recommended that the Director of Corrections and the Team Leaders discuss and decide whether or not they

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395 want to continue with the career counseling concept. Secondly, it is recommended that the current evaluation forms be dropped, and thirdly, it is recommended that if the career counseling concept is maintained, all persons be surveyed at the time they receive the services to ascertain their views on the services provided. By surveying staff at this time, it can also be estimated what portion of staff actually received career counseling. In summary, therefore, the recommendations from this subsection are: e TO REVIEW AND DECIDE IF CAREER COUNSELING SHOULD BE CONTINUED I N DIVISION. e TO ELIMINATE THE CURRENT CAREER PLANNING EVPLUATION FORMS e CONTINGENT ON THE FIF.ST RECOMMENDATION, TO DEVELOP AND UTILIZE A CAREER PLANNING EVALUATION FROM WHICH ALL STAFF WILL COMPLETE AT THE THEY RECEIVE CAREER PLANNING. D. MORALE There is one objective for morale. It is to continually assess the level of morale and to collect data and develop morale improvement interventions. In this objective it was stated that a "like it" type of profile be instituted to measure the morale of those who work at Corrections. During September, when the evaluation was occurring, it was decided by the Director of Corrections to not measure morale. It was his thought at the time, that with the significant number of resignations and changes it was just too difficult a time to attempt to measure morale. Thus, a direct measure of morale was not undertaken. What was undertaken was a survey of supervisors to obtain their opinion on how they saw morale. Also, an evaluation form was completed by the Research and Evaluation Unit to ascertain certain quantifiable information. This part of the evaluation will first focus on those items specified by supervisors then examine the data collected by the Research and Evaluation Unit. In all, three evaluation forms were distributed to Team Leaders. From these three instruments cme \,.ras returned completed to Research and Evalation Unit. Thus, the results represent a 33% sample. Returning to the objective in morale, it states that Team Leaders will maintain records \vhich display monthly summaries of employee absenteeism. T h e one returned was from the Programs Team Leader, who did maintain absenteeism records.

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396 The objective further states employees will average two sick days per year. From th_ e Program Team Leader • s evaluation form it was learned that personnel on her team averaged .15 sick days per person per month. This works out to an annual average of 1.8 sick days per person per year. This is under the stated objective of two sick days per person per year. The morale objective also s tated that a turnover study will be done once annually and that turnover will not exceed eight employees per year. A turnover study was completed during the six months under investigation. In that study it was learned that 11 people terminated in 1977. This represents a turnover rate of 43.1%. Thus, the turnover for both 1977, and 1978, is higher than that stated in the morale objective. It should be pointed out that the primary reasons for terminations in 1977 were "to accept other employment" and "work dissatisfaction." In summary, from the limited data which is available, it is learned that one team, the Programs Team, meets the Division objective of an average of two employee absences per year. The turnover rate in Corrections Division is higher than what is stated in the morale objective being approximately 30% higher in 1977 and 310% higher thus far in 1978. Recommendations focus on the turnover date and maintenance of absenteeism data. It is the recommendation that the Director of Corrections and the Team Leaders examine the turnover rate and determine if the data utilized in the objective is incorrect or if there is a morale problem in Corrections Division. A review of the 1977 turnover study reveals that the main reasons for turnover in 1977 focused on "other jobs" and "work dissatisfaction." Whether or not this is the case in 1978 is not known. Also, it is recommended that the Director of Corrections and the Team Leaders examine the idea of who should maintain records on absenteeism. With the minimal volume of responses (1 or 3) it is apparent that there is no motivation for Team Leaders to either (1) complete the evaluation forms or (2) maintain the absenteeism data. It is thus recommended that the Director and Team Leaders agree on whether they want to maintain these records. In summary, there are two recommendations from this subsection. These recommendations are: e FOR THE DIRECTOR OF CORRECTIONS AND THE TEAM LEADERS TO EXAMINE THE TURNOVER DATA AND DETERMINE IF THE DATA IN THE OBJECTIVE IS INCORRECT OR IF THERE IS A MORALE PROBLEM IN CORRECTIONS DIVISION .

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397 e FOR THE DIRECTOR OF CORRECTIONS AND THE TEAM LEADERS TO DETERMINE IF (1) THEY WANT TO CONTINUE TO MAIN TAIN ABSENTEE RECORDS AND (2) IF THEY WANT TO PARTICIPATE IN AN EVALUATION WHICH SEEKS TO EXAMINE LEVELS OF ABSENTEEISM. E. PERFORMANCE AND EVALUATION The performance and evaluation section has two objectives. Both of these objectives focus on evaluation of the individual by supervisors and by peers. Evaluation forms were distributed to all three team leaders and all eight Assistant Team Leaders. Four evaluation forms were returned completed to the Research and Evaluation unit. One of the evaluation forms was from the Programs Team Leader while the other three were from Operations Assistant Team Leaders. Thus the results in this sample are based on a 37% sample of supervisors. Objective Number One Stated: To maintain a standard performance evaluation for each employee which reflects actual work behavior and insures regular periodical feedback. Results of E valuation: All of the supervisors who completed the evaluation forms had conducted evaluations in the last six months. The objective stated that the evaluations would occur on a quarterly basis. Judging from the evaluation forms, the evaluation that occurred in September was the first type of evaluation which would occur on a quarterly basis. Also, the objective stated that supervisors would be responsible for conducting supervisor evaluations using a Behavior Anchored Rating Scale. All of the supervisors who completed the evaluation forms stated they did not utilize this type of form. Objective Number Two Stated: All employees will evaluate their functionally designated peers as part of the regular employee performance appraisal. Results of Evaluation: All of the Operations Assistant Team Leaders stated that peer evaluations had occurred for persons they supervised. The Programs Team Leader stated that seven of the fifteen people on her team had participated in peer evaluations. Those who participated were those who were the non-commissioned personnel. In addition, the operations persons did not utilize a Behavior Anchored Rating Scale while

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398 the Programs personnel did utilize such a scale. None of the supervisors collected any data which could be utilized to show possible discrepancies between a staff member's perception of his/her performance, supervisor evaluation of performance and peer evaluation of performance. In summary, it appears that the performance apprisal system is just beginning to function. Both supervisor and peer evaluations have occurred in the last six months. According to the objectives they should now occur ever quarter, (December, March, June and September) . Behaviorally based Anchored Scales are not being utilized on a widespread basis. Recommendations forthisarea focus on three topics: Behavior Anchored Rating Scales; data collection and evaluation forms. Each of these topics are now discussed. Behavior Anchor Rating Scales have been shown to be valid2 and quick methods of supervisors evaluating subordinates, and peers evaluating peers. With the volume of work required of all persons in the Corrections Division, and the frequency of performance evaluation required, it is recommended that Behavior Anchored Rating Scales be adopted for everyone on the Operations Team. Due to the diversity of positions on the Programs Team and the Administrative Team it is not known where Behavior Anchored Rating Scales could be developed without taking an inordinate amount of time. The second and third recommendations are related and thus discussed concurrently. Based on the percent of evaluation forms returned to the Research and Evaluation Unit (37%) and the lack of data compiled by those filling out the forms, it is recommended that the current evaluation forms be discarded. In place of these forms it is recommended that a data collection form be developed and utilized that merely summarizes the raw data collection from everyone's performance evaluation. When performance evaluations are being conducted these forms would be distributed. In this manner the required data could be gathered at the time it was generated to help minimize the work which would occur. The Research and Evaluation Unit could then cross tabulate the appropriate data from the Behavior Anchored Rating Scales to infer a level of competence for activities of persons working operations. 2seatty, Richard W., "A Comparison of the Operational Rating of Behavior Based vs Effectiveness Based Performance Appraisals", Presented at: The 85th Annual Convention of American Psychological Association Meetings, Setp., 1977.

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In summary, three recommendations are being made: e INSTITUTE BEHAVIOR ANCHORED RATING SCALES FOR THOSE PERSONS WHO WORK OPERATIONS. e DISCARD THE CURRENT EVALUATION FORMS. e DEVELOP DATA COLLECTION FORMS WHICH CAN BE UTILIZED AT THE TIME PERFORMANCE EVALUATIONS OCCUR. F. SELECTION There is one objective for selection. It is to select people for promotions and pay raises based on results obtained from quarterly evaluations. The new Director of Corrections did not feel comfortable in completing the form. Thus, no data was obtained from the evaluation form. 399 The one recommendation from this area focuses on the selection process. From discussions with two Assistant Team Leaders it appears that a process is utilized. The problem appears to center on continuity from one selection board to another, i.e., one selection board may do things differently from another selection board. Thus, the recommendation for this subsection is: e TO REVIEhT THE SELECTION PROCESS .A..ND INSURE STANDARD IZED PROCEDURES A N D FORMS ARE UTILIZED ON ALL SELECTION BOARDS. G. SUMMARY .A..ND RECO.t-1..MENDP.. TIONS The major findings for this section are: • Training in Corrections appears inadequate for Division needs. • Approximately three-fourths of persons in Corrections Division participated in a Career Planning Seminar. • The turnover rate in Corrections Division is three times higher than that stated in the objectives. • The Performance Appraisal System is just beginning to function. • Overall, approximately 35% of the evaluation forms were completed by staff and returned to the Research and Evaluation Unit.

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The recommendations for tni s :section are: • Hire a trainer as soon as possible to implement the training objectives. • Utilize a systemmatic training method in conjunction with staff assignments to help insure quality training. • Discard the evaluation forms utilized for the training program and collect data which reflects efficiency, effectiveness and productivity criteria. • Survey staff twice a year to ascertain their views on the training program. • To review and decide if career counseling should be continued in Corrections Division. 400 • To eliminate the current career planning evaluation forms. If career planning is continued, it is recommended that new data collection forms be developed which would be utilized at the time career counseling occurs. • For the Director of Corrections and the Team Leaders to examine the turnover data and determine if the standards outlined in the objective are unrealistic. • To determine if supervisors should maintain absenteeism records and determine if the supervisors want to participate in an evaluation which seeks to examine levels of absenteeism. • To institute Behavior Anchored Rating Scales for persons working operations. • To discard the current performance evaluation forms. • To develop data collection forms which can be utilized at the time performance evaluations occur. • To review the selection process and insure standardized procedures and forms are utilized on all selection boards. The main thrust of these recommendations is geared at streamlining the evaluation procedure. It is the hope of this writer that if this streamlining can occur, it will make data gathering easier and faster. In addition, it is hoped to only gather those bits of data which seem germaine to the management of the organization. Thus, the Director of Corrections and Team Leaders can use the data to help make management decisions.

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401 B. COMMUNICATION There are three objectives in the Communication by results area. Each of these objectives will be stated below and followed by the results obtained from the MBO evaluation process. Evalution was conducted through the use of a survey instrument which was distributed to all staff members. This instrument was developed for the purpose of measurthe progress, if any, made toward accomplishing the Communication objectives. A copy of the survey instrument can be found in ••Tools for Evaluating the Objectives of the Boulder County Corrections Center (August, 1978) ." It should be noted that not all staff members completed the Communications survey instrument. Table A presents the total number of persons belonging to each staff subgroup surveyed, as well as the total number and percent who completed the survey instrument. TABLE A NUMBERS AND PERCENTAGES OF STAFF WHO THE COMMUNICATIONS EVALUATION SURVEY s b u group Programs Non-CS's Programs CS's Operations CS's Administ. Supervisors Total Total Number f s ff 0 ta 9 6 25 7 13 60 Number d' Respon 1ng 7 6 15 7 6* 36 Percentage d' Respon 1ng 78 % 100% 60% 100% 46%* 60% *Because the Director had been working only a few weeks he did not feel comfortable completing a survey.

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402 Objective Number One Stated: A primary aim of the or ganizational philosophy of the Boulder County Correctins Center is the establishment, implementation, and regulation of mechanisms for non-crisis-reactive vertical communication. To implement this philosophy (1) the Director will schedule a one-hour Personal Management Inventory Interview (PMT) with each team leader each week; (2) the team leaders will schedule a one-hour Personal Management Inventory Interview with each team member each week; (3) the Director will conduct at least one interview with every staff member each year. Results of Evaluation: None of the team leaders (or the Director) accomplished the objective of conducting weekly hour-long Personal Management Interviews with each of their team members. As indicated in Table B , the 1-.dmin istrative team leader carne closest to completing this objective. On the average, administrative team members had 46 minute PMI's once every 1.2 weeks. In contrast, the supervisors had PMI's with their superiors on the average of once every seven weeks. The average length of these interviews was 30 minutes. The average frequencies and lengths of P MI's varied between these two extremes for all other staff members. I TABLE B AVERJI.GE LENGTHS AND FREQUENCIES OF PERSONAL MANAGEMENT INTERVIEWS BY SUBGROUP Respondent Average Frequency Average Length Group of PHI's of PMI's Programs Non Once every 1.5 33 minutes CS's weeks Programs CS's Once every 2.2 38 minutes weeks Operations CS's Once every 5.0 46 minutes weeks Administration Once every 1.2 46 minutes weeks Supervisors Once every 7.0 30 minutes weeks

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403 The supervisors were asked to indicate the average frequency and length of PMis they conducted with their employees in the six month evaluation period. The average frequency for the five respondents was one PMI every 4. 5 weeks for each of their employees. The average length was 36 minutes. Several additional comments were made regarding PMis. The most common of these were that a) PMis could help in solving communication problems; b) PMis are a good vehicle for the provision of constructive feedback, work improvement, and performance; and c) more informal, open communication is needed at BCCC. The respondents were also asked whether or not they had interviews with the Director during the six months preceding evaluation. As shown in Table C 41% of all staff who completed the survey did have interviews. The Director interviewed 29% of the Program's specialists, 50% of the Program's cs•s, and 25% of the Operation's CS's. Over half of the respondents in the Administration and Supervisors' groups (71% and 66% respectively) were interviewed. TABLE C FREQUENCY OF STAFF/DIRECTOR INTERVIEWS Respondent Group Programs Non CS's Programs CS's Operations CS's Administration Supervisors* Total Interviewed # % 5 71% 3 50 12 75 2 29 1 33 23 59 Non Interviewed # % 2 29 % 3 50 4 25 5 71 2 66 16 41 *Three respondents did not answer this question. l

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Those staff members who did have interviews with the Director in the six month evaluation period were asked to indicate the number and the average length of the interviews. Table D presents the average number and length of interviews these members of each group had with the Director. TABLE D AVERAGE NUMBER AND LENGTH OF INTERVIEWS PER EMPLOYEE FOR THOSE STAFF WHO HAD INTERVIEWS 404 Respondent Average Number Average Length G roup 0 f I t n erv1ews 0 f I t n erv1ews Progras Non CS's 4 . 5 20 minutes Programs CS's 1.3 23 minutes Operations CS's 1.3 24 minutes Administration 9.3* 29 minutes* Supervisors 1.8 22 minutes *Two people did not respond. The number of interviews the Director had with each interviewee varied greatly among the respondent groups. The average number of interviews for Administration members who talked to the Director was 9.3, while those corrections specialists who were interviewed had an average of only 1 . 3 interviet.•TS a piece. The average length of interviews with the Director ranged from 20 minutes for non-commissioned Programs staff to 29 minutes for Administration staff. The staff who did not have personal interviews with the Director were asked if they had wanted an interview. The responses, which can be found in Table E , indicate that staff were nearly split on this question. Eleven staff members (48%) did want interviews, ten (43%) did not want interviews, and 2 (9% ) were undecided. '

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405 TABLE E NONINTERVIEWED STAFF WHO WANTED/DID NOT WANT INTERVIEWS \VITH THE DIRECTOR Respondent Wanted Did Not Want Group Interviews Interview s Not Sure % # % # % Programs Non CS's 2 40 3 60 0 0 Programs CS's 2 67 1 33 0 0 Operations CS's 7 58 4 33 1 8 Administration 0 0 1 50 1 50 Supervisors 0 0 1 100 0 Total 11 48 10 43 2 The primary reasons given why respondents did not have interviews with the Director were that a) they lacked the opportunity, b) they were new to the job and primarily concerned wit training, and c) it was difficult to predict the Director's office hours. Since BCCC changed Directors shortly before the evaluation process, the old Director was unavailable to give his perceptions of the number and length of staff/ Director interviews; the new Director did not feel comfortable completing the evaluation form because of the shortness of his tenure. Objective Number Two Stated: Another mode of implementing the vertical communication philosophy is the utilization of a meeting for the on-going sharing of information between the team leaders and the Director. To more fully insure this communication occurs, a regularly scheduled meeting will be held with the team leaders and the Director. This meeting shall be called the team leader meeting. The Director and all team leaders, or their designates in the case of absence, will attend this meeting. All team members in areas specified as "key areas" in the team leader meetings. This 0 9

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monitoring will occur to measure how well information classified as key is transmitted to the line staff. Team members will all receive a score of 80% or above on the performance monitor surveys. There will be me team leader meeting every week. 406 Results of Evaluation: Only one of the team leaders responded to the questions pertaining to this objective. This team leader's responses are given below: On the average, team leader meetings were convened on a weekly basis for the last six months. This was considered to be frequent enough to resolve most issues. The meetings averaged four hours in length; this length was also considered sufficient. The major problem with the team leader meetings was said to be that the TL's identified so strongly with their areas of responsibility that they sometimes took on their advocate roles too strongly. Regarding the performance monitors, this team leader said that "specific MBO job descriptions --evaluation of job performance objectives have not been done for most Operations staff." Objective Number Three Stated: Another fundamental aim of the Boulder County Corrections Center organizational philosophy is to optimize horizontal feedback at all levels. To implement this aim there will be a regularly scheduled cooperative team day where members of two or more teams will have the opportunity to work on inter-personal problems and conflict resolution together. The team days will occur once per quarter. Results of Evaluation: The one team leader who responded to the survey questions regarding Objective Number Three said that approximately twelve cooperative team days have been instituted in the twelve months in question and that these team days were successful. In explanation of why the team leader wrote, "Generally these have been for Operations. The mixture of people has been successful and the team structure and loyalty is pretty well a thing of the past. On the negative side, work groups seem to be less problem-solving in nature.''

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Summary Thirty-six staff members (60% of the total) completed the Communications survey. A review of the completed surveys indicated that the Communications objectives have generally not been achieved. 407 One of the objectives was for supervisors to hold weekly, hour-long Personal Management Interviews with each of their employees. The average frequency of PMI's by subgroup, ranged from once every 1.2 weeks for Administrative staff to once every seven weeks for supervisors. The average length of the P MI's ranged from thirty minutes for supervisors to 46 minutes for Operations CS's and Administrative staff. Another objective stated that the Director was to conduct at least one interview with every staff member each year. During the six-month evaluation period 59% of the respondents did have interviews with the Director. Of those staff who were not interviewed, 48% wanted interviews and 43% did not want them. Two objectives dealt with team leader meetings and coop e r ative team days. Only one team leader responded to the questions regarding these objectives. Based on that TL's responses, the team leader meetings met the objective's demands regarding the frequency and productivity of the meetings. The cooperative team days were held wi.th the desired frequency. However, these meetings, contrary to the objective, did not deal with inter-personal problems and conflict resolution.

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ACTION OBJECTIVES A. Introduction During the objective-setting phase of the riDO program several action objectives were established. Action objectives are differentiated from the other objectives 408 in that the action objectives specify, 1) needs that must be satisfied on a one-time-only basis, and 2) deadlines for meeting those needs. This section of the evaluation report presents data obtained from Marie Mactavish, Torn Snow, Jeff Uhls, and Gloria Vigil. This data was gathered through the use of a standard survey form which was developed specifically for evaluating the progress undertaken regarding the action objectives. A copy of the survey form can be found in uTools for Evaluating the Objectives of the Boulder County Correctional Center (August, 1978) ". Action objectives were established in four of the key results areas. Sorneactionobjectives were determined not to belong to a key results area; these objectives were grouped together and classified "Miscellaneous Action Objectives". The format for this section of the evaluation report is as follows: All of the action objectives for a particular key results area are stated in the subsection representing that area. Each objective statement is followed by the results of evaluating the progress taken toward accomplishing that objective. At the end of each subsection is a summary of the evaluation results for the key results area in question. Subsection B presents the action objectives and evaluation results for the Staff Development key results area. The objectives and results for the Organizational Dynamics area are given in Subsection C. Subsection D covers the Security key results area, and Subsection E provides the objective and evaluation results for the Community Involvement area. The Miscellaneous Action Objectives and evaluation results are presented in Subsection F. Subsection G provides a summary of the results of evaluating the progress made toward achieving the action objectives and also presents recommendations for further action or changes in the objectives themselves.

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B. Staff Development The Staff Development key result area includes twenty action objectives. These objectives are stated below. Following each objective is a summary of the information gained through the evaluation process. Objective Number One Stated: We will develop more training for staff to deal with interpersonal conflicts and confrontation by July 1, 1978. 409 Results of Evaluation: This objective was not accomplished, primar1ly because the team leaders did not deal with training issues on time. This objective will be dropped because we no longer have a trainer and the trainer positionwasput on the NIC grant; this takes some authority over training objectives and priorities out of our hands. Therefore, commitment to this objective can no longer be offered. Objective Number Two Stated: We will develop a practical, in-service traininq schem e for emergency policies by July 1, 1978. Results of Evaluation: This objective was not completed because the team leaders would not revise emergency policies and procedures and because departmental training allowed no time for this:objective to be completed. Whether or notthisobjective will be dropped depends upon a decision by the team leaders. It is believed that accomplishment of Objective Number Two would be a worthwhile expenditure of time because the flood policy badly needs revision and because the high turnover rate in Corrections has left most employees inexperienced with emergencies. Objective Number Three Stated: A divisional training system will be developed to utilize experienced personnel for training Corrections staff in specific security areas by July 1, 1978. Results of Evaluation: The delay in implementation of a Master Technician program has prevented completion of this objective. It is not known whether this objective will be completed or dropped in the future; this item may not be a priority for the new Director.

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410 Objective Number Four Stated: A list of security Do's and Don't's will be written for staff training and information by May 15, 1978. Results of Evaluation: This objective was not completed on time because the trainer was unaware of it and because the Director had set other priorities. Whether it is completed in the future will depend upon the priorities of the new Director and upon hiring a new trainer. Objective Number Five Stated: There will be training emphasis on Booking Room and security basics during 1978. Results of Evaluation: This objective was not completed because the trainer's time was spent on other tasks assigned by the Director. Completion of this objective in the future will depend upon the new Director's priorities and the hiring of a new trainer. This objective seems to be worthwhile as it keeps recurring as a significant item on training needs surveys. Objective Number Six Stated: Staff will receive more ongoing education and training regarding the type of items inmates may have in their possession while incarcerated at this :facility. This training will be developed and instituted during 1978. Results of Evaluation: Contraband information is being provided to support staff and visitors. Other overriding organizational priori ties have prevented ongoing training from being provided for all staff. This objective is considered worthwhile in light of the kitchen/contraband incident. No data is being collected to evaluate the effectiveness of implementation because of time constraints. Objective Number Seven Stated: We will develop and implement a series of spot exams to test staff knowledge and determine information and training needs. Some emphasis should be given to security and emergency procedures. This will be accomplished by June 1, 1978. Results of Evaluation: The depletion of formal briefings due to the new schedule and the fact that the trainer was a half-time employee prevented completion of this objective.

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411 Future completion or abandonment of Objective depend on the priorities of the new Director. objective is considered worthwhile because it on line-staff training needs assessments. Seven will This recurs Objective Number Eight Stated: There will be an increased emphasis on training staff to deal with emergency and disaster situations. This will begin by June, 1978. Results of Evaluation: This objective has not been accomplished because the team leaders do not consider it to be a priority and because training time has been taken up by departmental training sessions that have been imposed on our division. Future completion of Objective Eight will depend on priorities of the new Director. This objective continues to show up as a priority item in line-staff training needs surveys. Objective Number Nine Stated: There will be practical training drills to assist staff in learning emergency procedures. This will begin by June 1, 1978. Results of Evaluation: The evaluation results for this objective are the same as for Objective Number Eight because disaster simulation was the intended instructional method for emergency policies and procedures. Objective Number Ten Stated: Specific training will be developed and implemented to train staff for hostag e situations. This will be accomplished b y July 1, 1978. Results of Evaluation: This objective was completed on time. The time spent on hostage training is considered to have been as the training was a good "Choreographed" or structured "role-playing" simulation exercise. This training was possible only because it was provided by NIC. No evaluation data regarding the effectiveness of implementation of this:objective is being collected because of time constraints. Objective Number Eleven Stated: Specific training will be developed for bomb threat situations by September 1, 1978.

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Results of Evaluation: Because the team leaders and Director did not consider this to be a priority item, it was not completed on time. Future completion will depend on the new Director's priorities. This objective is said to be relatively unimportant because bomb threats are comparatively rare in our environment. Objective Number Twelve 412 Stated: There will be a training program developed for riot situations. This training will be made specific to our facility and consider a variety of possible situations. This will be accomplished by September, 1978. Results of Evaluation: This objective was not completed on time because the team leaders did not consider this a priority. The priorities of the new Director will determine if this;objective is completed in the future. Because a riot situation in a contained environment would necessarily involve hostages, special riot training may not be worthwhile. Objective Number Thirteen Stated: Court security training will be standard for all CS's. This will be done with the view of keeping staff and residents safe and secure. This training will take place in 1978. Results of Evaluation: This objective has not been completed due to time constraints and the fact that this item is not considered to be a priority . Whether or not this objective will be completed in the future depends on the team leaders' priorities and on the hiring of a new trainer. Objective Number Fourteen Stated: Staff will receive training regarding kitchen procedures with an emphasis on standardizing these procedures. This will occur in 1978. Results of Evaluation: Due to the high turnover of kitchen staff there has been no one com petent to give this training. This objective will be dropped because the kitchen is not a priority in this organization. Objective Number Fifteen Stated: All staff will be certified and trained in First Aid techniques during 1978.

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413 Results of Evaluation: All commissioned staff will be certified in First Aid for 1978; training and certification is not to be provided for support staff. This objective is considered to be worthwhile for reasons of health and safety. Records are being maintained regarding certification, but data regarding the effectiveness of implementing this objective is not being compiled. Objective Number Sixteen Stated: Include all staff, such as administrative staff, in emergency situation training during 1978. Results of Evaluation: Because the team leaders did not revise emergency policies this objective was not completed. Some team leaders expressed no interest in this objective. Objective Sixteen will be dropped because of a lack of time and interest and because this is not a priority item. Objective Number Seventeen Stated: Administrative staff members will receive selfdefense training during 1978. Results of Evaluation: This objective has not been completed because it was never communicated to the Administration Team Leader. Objective Seventeen will be dropped because of time constraints and because it is not perceived to be worthwhile. Objective Number Eighteen Stated: It is an objective of the training program to institute and maintain a staff library . The library will be instituted by July 1, 1978. Results of Evaluation: This objective has been dropped because the training library has been centralized as a departmental function. Objective Number Nineteen Stated: To develop an equitable selection process for hirings, promotions, lateral transfers, public training assignments and other competitive positions. Results of Evaluation: This objective is not accomplished because the Management By Objectives process is not completed. Objective Nineteen is a part of throug h

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414 MBO the stated criteria for each job will be developed. This objective will be completed in the next six months. Objective Number Twenty Stated: To develop an alternative to Assistant Team Leader promotion as an in-house career path for commissioned line staff in recognition of outstanding service. This alternative will be called the master technician program and it will define outstanding performance levels in each area. The program will be developed by the Director by June 1, 1978. Results of Evaluation: This objective was not completed because the Director failed to develop the program. This objective will be completed in the next six months, possibly at the departmental level. Summary: There are twenty action objectives in the Staff Development key results area. One of these objectives (Objective Number Ten) was implemented. Two other objectives (Number Six and Fifteen) have been partially implemented. No data is being compiled to evaluate the effectiveness of implementing these objectives. However, implementation is thought to have been a worthwhile expenditure of time. Seventeen (85% ) of the action objectives for this key result area have hot been completed. One of these (Number 18) has been dropped as an objective because it was determined to be a departmental function. Five action objectives (25% ) are going to be dropped. These five are Objective Numbers One, Fourteen, Sixteen, Seventeen and Eighteen. Two objectives (Numbers Nineteen and Twenty) will be completed in the next six months. The nine remaining objectives may or may not be dropped, depending on decisions to be made by the team leaders and the Director. Several general reasons were given as to why objectives were not completed. First, these objectives were set by the division, but overriding organizational training priorities are established at the departmental level. Therefore, the objectives should have been determined by the department instead of by Corrections. Second, the staff trainer had a half-time position and no time to work on some of these objectives. Finally, the team leaders refuse to address many training issues.

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415 Aside from the fact that whether or not the team leaders and the Director decide to pursue the uncompleted objectives will affect their future completion, there is one other intervening factor; the new trainer will be working under the NIC grant. In the future, therefore, NIC will have input on training objectives and priorities. C. Organizational Dynamics Nine action objectives were established in the key results area of Organizational Dynamics. Each of these objectives is stated below and followed by the results of the evaluation process. Objective Number One Stated: We will establish an error book similar to the one presently used in Booking for the rest of the jail by April 1, 1978. Results of Evaluation: Since the MBO process wasn't finished by the staff completion date for Objective One, this objective was not completed on time. It will be completed in the next six months. Objective Number Two Stated: We will establish an anonymous feedback and error box for Corrections by April 1, 1978. Results of Evaluation: Objective Number Two has not been determined to be a priority item and was therefore not completed on time. This objective will not be done inthenext six months and will possibly be dropped. Objective Number Three Stated: A system will be developed to make BCC visiting rules clear to all visitors by June 1, 1978. This may include a handout that could be distributed to visitors when they sign in. Results of Evaluation: This objective was completed on time. It is considered to have been a worthwhile expenditure of time because it promotes consistency in interpretation of visiting rules. Due to time constraints no data is being collected to evaluate the effectiveness of implementing this objective.

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416 Objective Number Four Stated: A system will be worked out to better coordinate visiting schedules. There is some confusion presently between administration, operations and programs. This will be done by May 1, 1978. Results of Evaluation: This objective is determined to be too vaguely written for action or evaluation. Objective Number Five Stated: The staff and administration will resolve to cooperate and coordinate in a way that insures highest priority needs are met. This may mean designing a s ystem for determining what our highest priority needs are. This will be investigated b y M a y 1, 1978. Results of Evaluation: As the team leaders have not addressed this objectiv e it has not been completed yet; whether it will be completed or dropped in the future is unknown. Objective Number Six Stated: The relationships between CS's, cooks, and trustees will be clarified with specific regard to kitchen procedures. This will be done by June 1, 1978. Results of Evaluation: T his objective has been completed. Clarification of relationships was prompted by a crisis situation. The value of this objective is demonstrated by the fact that implementation aided resolution of the kitchen crisis. N o additional data on effectiveness is being collected due to tim e constraints. Objective Number Seven Stated: Maintenance people will be briefed or trained in terms of safety and security while working in the jail. A method of doing this will be designed by July 1, 1978. Results of Evaluation: This objective has not been completed because the maintenance supervisor has not scheduled such tra:ining. There is a volunteer handbook, but there has been no formal briefing. Whether this objective is completed in the future or not is dependent upon the priorities of County Maintenance.

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Objective Number Eight Stated: Develop a system of educating and informing people from other agencies about BCC rules when they pass through the reception area. This will be done by June, 1978. Results of Evaluation: This objective has not been completed because of time constraints. It is thought that development of this :kind of system would be beneficial in that it would promote consistency in rule interpretation. It is not known if Objective Eight will be accomplished in the future. Objective Number Nine 417 Stated: Request and receive from other agencies a list of authorized personnel who may require access to the jail. This would include seminars and tours, and BCC staff arranging meetings, notifying reception. This will be accomplished by June 1, 1978. (This objective can also be found in Security -Objective Number Six). Results of Evaluation: This objective has not been identified by the team leaders as a priority item and therefore has not been accomplished. There is a difference of opinion as to whether this objective is worthwhile and/or will be completed or dropped in the next six months. Summary: There are nine action objectives in the Organizational Dynamics key results area. One of these objectives (Number Four) could not be evaluated or acted upon because it is too vaguely worded. Two action objectives (Numbers Three and Six) were completed on time. Both of these are considered to have had a beneficial impact on the organization. Of the six objectives that have not been accomplished to date, only one (.Number One) is scheduled for completion in the next six months. Whether or not the others will be dropped is uncertain at this time. The primary reasons given why Objective Numbers One, Two, Five, Seven, Eight and Nine have not been completed are that they are not considered by the team leaders to be priorities; that the late completion of the MBO process delayed action; and that time constraints prevented accomplishment of these objectives.

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D. Security There are six action objectives in the Security key result area. Each of these six objectives will be stated below and followed by the results obtained from evaluation of the objective. Objective Number One 418 Stated: We will continue to work on the problems surrounding the maintenance of the facility with priority given to security breakdowns, i.e., cameras, intercoms, radios, doors, emergency switches, etc. We must find ways to improve the efficiency of these repairs. This will be done in 1978. Results of Evaluation: Due to time constraints no definite system for improvement has been developed. It is not known whether thisobjective will be addressed or dropped in the next six months. Objective Number Two Stated: Since the fire alarm system gives indicators for general areas, it would be preferable if it could be altered to indicate more specific locations. We will check into this possibility by June 1, 1978 and implement it as soon as possible should it be feasible. Results of Evaluation: This objective has not been completed, primarily because of time constraints and because the Team Leaders have not addressed the problem or determined it to be a priority item. It is further noted that completion of this objective is dependent upon cooperation of County Maintenance and upon budgetary decisions at the County level, etc. It is not known whether this objective will be completed or dropped in the future. Objective Number Three Stated: Staff will make efforts to keep the tension level at Boulder County Corrections low in 1978. This will include staff, residents, visitors, and people from other agencies. Results of Evaluation: This objective is being accomplished on an ongoing basis. It is believed that completion of Objective Number Three is a worthwhile expenditure of time because it reduces violence and makes for a positive and productive atmosphere. The

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Operations Team Leader is not compiling data to evaluate the effectiveness of implementing this objective because he has neither the time nor the knownedge of evaluation techniques with which to cornpile the necessary information. Objective Number Four Stated: We will look into our present maintenance difficulties with the view of possibly 419 designing a more efficient process of completing maintenance tasks. This may include new methods such as hiring our own maintenance people; having someone assigned to the jail by the maintenance department; or developing a system to evaluate work done by maintenance. This will be done by July 1, 1978. Results of Evaluation: Because the Team Leaders have not established this as a priority objective and because the MBO objective-setting process was completed at a late date this objective has not been accomplished. Whether this objective will be completed or dropped at a later date is unknown. Objective Number Five Stated: Clarify procedures regarding the reception area and the receptionist's duties. This should be particularly related to people passing through reception and possible escape or V.Talk-away situations. This will be done by June 1, 1978. Results of Evaluation: This objective was completed on time. Accomplishment of this objective is considered to be worthwhile for the following reasons. First, it solves some security-related problems. Second, the job clarification and role definition involved is thought to be of utility for performance appraisal purposes. No data is being collected to evaluate the effectiveness of this objective because the Operations Team Leader lacks the time and skills required for evaluation. Objective Number Six Stated: We will request and receive from other agencies a list of authorized personnel who may require access to the jail. This would include seminars and tours, and Boulder County Corrections staff a rranging meetings, notifying reception. This will be accomplished by

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June 1, 1978. (This objective can also be found in Organizational Dynamics -Objective Number Nine.) Results of Evaluation: This objective has not been identif1ed by the Team Leaders as a priority item 420 and therefore has not been accomplished. There is a difference of opinion as to whether this objective is worthwhile and/or will be completed or dropped in the next six months. Summary: Of tihe six action objectives in the area of Security, two (Numbers Three and Five) have been completed on time. It is believed that completion of these objectives was a worthwhile expenditure of time. Objective Number Three is considered beneficial because it helps to reduce violence and makes for a positive and productive stmosphere. The positive aspects of Objective Number Five are said to be that it provides a strong basis for appraising the performance of the Corrections secretaries and that it promotes jail security. No data is being collected for the purpose of evaluating the effectiveness of implementing these objectives because the time and skills required for this are inadequate. The major problems which have prevented completion of the other four objectives (Numbers One, Two, Four and Six) are time limitations and the fact that these objectives have not been addressed by the Team Leaders and have therefore, not been determined to be priority items. It is not certain whetheror when these objectives will be completed. E. Community Involvement There iis one action objective in the area of Community Involvement. This objective reads, "The volunteer coordinator will initiate the first draft of the volunteer policy ... the first draft will be submitted to the Programs team leader on June 13, 1978." This objective was completed on time; the amount of time spent on completion was considered worthwhile because of a need for staff to have a written policy for use in dealing t.<7 i th volunteers. Since the effectiveness of This obiective cannot be quantified, no evaluation data is being collected. F. Miscellaneous Action Objectives The Management by Objectives program yielded fifteen action objectives which do not belong to any of the key results areas. Each of these objectives is stated

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421 below, followed by the results of evaluating the progress made toward accomplishment. Objective Number One Stated: The staff and administration will develop a more responsive system to deal with immediate or priority problems by April 1, 1978. Results of Evaluation: This objective has not been completed because it has not been addressed by the team leaders. BCCC n
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• ) Results of Evaluation: This objective has not been completed because the team leaders have not addressed it yet. Taking a legal position on these issues will involve use of the department legal advisor's time. It is anticipated that the team leaders will address this objective at some time in the future. Objective Number Five 422 Stated: There will be a review of our present procedure on contact visits by July 1, 1978. This review will investigate the present wheres and hows of contact visiting. Results of Evaluation: Because the team leaders have not addressed this:objective, it has not been accomplished. This objective will not be dropped; however, it is not known if completion will occur in the next six months. Objective Number Six Stated: There will be a review of our present methodology of shakedowns and strip searches by July 1, 1978. This will be done with the view towards training people to search people in custody more effectively. Results of Evaluation: Objective Number Six has not been completed because it has not been addressed by the team leaders. Although it is thought that more training in this area could be useful, methodological change is not envisioned. This objective will probably be dropped. Objective Number Seven Stated: The evaluation component will compile data on incident reports, CR reports, medical reports, etc., in an effort to provide information which may be useful in solving security problems. This will be done in 1978. Results of Evaluation: This objective is being accomplished; it is too soon to tell if completion is a worthwhile expenditure of time. People at BCCC are interested in thisproject, but its actual value is undetermined. Because of time constraints no data is being compiled to evaluate the effectiveness of implementing this objective.

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Objective Number Eight Stated: Current emergency policies will be revised to make them applicable to all shifts and areas. This will be finished by June 1, 1978. Results of Evaluation: Objective Number Eight has not been addressed by the team leaders, so it has not been completed. This objective may be modified or completed in t:he future. Objective Number Nine Stated: The BCC evaluation component will collect 423 and evaluate escape data and contraband data with the view of providing the staff with information which could be valuable in curtailing these incidents. This will be done in 1978. Results of Evaluation: This objective has been combined with Objective Number Seven; therefore the results of evaluation are the same as those for Number Seven. Objective Number Ten Stated: Kitchen policies will be written regarding the use of knives and when and how they are locked up. This may result in new procedures. This will be accomplished by Hay 1, 1978. Results of Evaluation: This objective is not needed because pol1cy regard1ng the kitchen knives has already been included in the policy manual. Objective Number Eleven Stated: We will clarify the legal issues surrounding civilians doing CS work. This will be done by July 1, 1978. Results of Evaluation: This objective has not been accomplished because it has not been addressed by the team leaders. It is not known if this objective will be completed or dropped in "the future. It has been noted that as a legal issue this requires the assistance of a legal advisor. Not all tasks of CS's are thought to be appropriate for civilians.

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Objective Number Twelve Stated: Procedures for handling trash disposal and bringing in deliveries to the kitchen will be clarified and standardized. This will be done by July, 1978. Results of Evaluation: This objective is not needed because written procedures for these tasks are already in existence. Objective Number Thirteen 424 Stated: We will examine and review procedures regarding food deliveries with the view of possibly refining some of these regulations. This will be done by June, 1978. Results of Evaluation: This obiective was completed on time. The accomplishment of this obiective is not considered to have been a worthwhile expenditure of time because the previous procedure was found to be adequate. Objective Number Fourteen Stated: We will review what constitutes contraband and clarify to all staff. This will be done by August 1, 1978. Results of Evaluation: Objective Number:Fourteen has not been addressed by the team leaders; consequently, it has not been completed. Since it is believed that this objective is worthwhile, it will not be dropped. However, it is not known if this objective will be completed in the next six months. Objective Number Fifteen Stated: Clarify the role of the receptionist in allowing visitors through. Who gets examined, who do you not examine? Who gets searched and who doe s it? This will be done by May 1, 1978. Results of Evaluation: This objective has not been addressed by the team leaders and therefore it has not been completed. Completion of this objective :should occur in the next six months. Summary: There are fifteen miscellaneous action objectives. Of these, three (Numbers Seven, Nine and Thirteen) have been completed. Two objectives (Numbers Ten and Twelve) were determined to be unnecessary because they were accomplished some time in the past. Ten other objectives were not completed.

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425 When asked why the uncompleted objectives have not been accomplished, the respondents replied that those objectiveshave never been addressed by the team leaders. Consequently, it generally is not known whether they will be completed or dropped in the future. During the evaluation phase, however, Objectives One, Two, Five, Fourteen and Fifteen were signed out as being significant enough to warrant completion in the future. G. Summary and Recommendations Action objectives were developed for the Staff Development, Organizational Dynamics, Security and Community Involvement key results areas. In addition, fifteen miscellaneous action objectives were established. Evaluation of the progress taken toward accomplishing the action objectives was conducted through the use of a survey form. The major findings of the evaluation are presented below. There are a total of 51 action objectives. Nine of these objectives (18% ) have been accomplished and two (4% ) have been partially accomplished. Completion o f six of these objectives is believed to have been a worthwhile expenditure of time. One is not considered to have been worth the effort of accomplishment; it is too soon to establish the value of completing the other two objectives. No data is being compiled to qualitatively evaluate the effectiveness of any of these objectives. Forty (78% ) of the action objectives have not been accomplished. Of these 40 objectives, two (5% ) have been dropped (one was dropped because it was stated incomprehensibly ) , seven (18% ) are going to be completed in the next six months. It is not known whether the 28 (70%) remaining objectives will be dropped or completed in the future, although it is speculated that at least five (13%) of them will be completed. Several reasons were given as to why so many of the action objectives have not been completed. First, establishment ofmanyof the action objectives resulted from brainstorming by the team leaders and the Director. Therefore, they are not definite objectives (no decisions have been made to keep or drop them as objectives). Second, time constraints have prevented accomplishment of many of the objectives. Third, the action objectives were set at the divisional level, but overriding priorities (especially in the area of Staff Development) are established at the departmental level. Thus, there probably should have been some input from decision-makers at the departmental level when the objectives were established. Fourth, some of the

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426 objectives are not completed because they are not considered by the team leaders to be priority items. Finally, some of the objectives could not be accomplished until the MBO process was completed. Recommendations Since many of the objectives have not been accomplished or dropped because the team leaders have not addressed them, IT IS RECOMMENDED THAT THE TEAH LEADERS REVIEh' AND PRIORITIZE THE UNCOMPLETED ACTION OBJECTIVES. Some of the action objectives conflict with departmental priorities. Therefore, the second recommendation is that I N THE FUTURE, DEPARTMENTAL PRIORITIES SHOULD BE CONSIDERED DURI N G THE OBJECTIVE-SETTING PROCESS.

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APPE N DIX F MBOR Questionnaire

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MBOR QUESTIONNAIRE Boulder County Corrections April 1979 428 A Management by Objectives and Results (MBOR) project was attempted by the Boulder County Sheriff's Department, Corrections Division between September 1977 and December 1978. This questionnaire is an attempt to evaluate employee attitudes concerning that management project. Plase circle the best answer. 1. Time of employment during the MBO project 9-77 to 12-78: a. 11 to 15 months b. 7 to 10 months c. 3 to 6 months (If less than 3 months do not fill out the questionnaire.) 2. Highest rank of position during project time: a. Team Leader or Administrative Supervisor b. Assistant Team Leader c. Corrections Specialist d. Programs Civilian e. Other Civilian 3. The philosophy statement of the organization is: a. Realistic and the view of top management only b. Realistic and the view of both management and workers c. Unrealistic d. I don't know what theorganizational philosophy statement is 4. The goal setting process involved: a. Top management sets goals b. Subordinates set goals and presented them to top management for review, critique and approval c. Superiors and subordinates jointly set goals d. I don't know who set goals 5. Before my part in the MBOR project I received training relating to the project that was:

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a. Excellent b. Adequate c. Inadequate d. I received no training at all 6. Additional training needed for the project was: 7 • a. b. c. d. e. Training in objective setting Training in performance appraisal General MBO training No additional training would help Training was adequate Top management of the jail appeared to support and approve the project: a. To a very great degree b. To a great degree c. To a moderate degree d. To a minor degree e. Not at all 429 8. The emphasis on team involvement in the Process was: Cl. To a very great degree b. To a great degree c. To a moderate degree d. To a minor degree e. Not at all 9. The MBOR process should have a. Started with top management b. Started with joint supervisor and subordinate committees c. Started with line level workers 10. Because of the MBOR project the direction of the organization became clearer: a. To a very great b. To a great degree c. To a moderate degree d. To a minor degree e. Did not become clearer 11. Subordinate participation in organizational decisionmaking generally at the time of the p!ITOj ect was: a. Very high b. High c. Moderate d. Low e. None

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12. Subordinate participation in the MBOR process was: a. Very high b. High c. Moderate d. Low e. None 13. Subordinates were informed of the progress of the project: a. To a very great degree b. To a great degree c. To a moderate degree d. To a small degree e. Not at all 14. My individual job assignment was made clearer as a result of the process: a. To a very great degree b. To a great degree c. To a moderate degree d. To a small degree e. Not at all 15. After the MBOR process began, my individual performance evaluation by supervision became increasingly based on job behavior as opposed to arbitrary judgments: a. To a very great degree b. To a great degree c. To a moderate degree d. To a small degree e. No change 16. Problems of the organization identified by the MBOR process seemed to be systematically resolved: a. To a very great degree b. To a great degree c. To a moderate degree d. To a small degree e. Not at all 430 17. During the planning process the functioning of the organization was hampered by the amount of time spent off the job by supervisors and subordinates in meetings: a. To a very great degree b. To a great degree

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c. To a moderate degree d. To a small degree e. Not at all 18. In relation to the benefits of the MBOR process the time allotted to planning was worth the effort: a. To a very great degree b. to a great degree c. To a moderate degree d. To a small degree e. Not at all 19. My supervisor regularly encourages me to set goals and work toward organiziational goals: a. To a very great degree b. To a great degree c. to a moderate degree d. to a small degree e. Not at all 20. I have clear personal goals generally: a. To a very great detree b. To a great degree c. To a moderate degree d. To a small degree e. Not at all 21. The greatest drawback to attempting an MBOR project is: a. The large amount of off t "he job planning time by supervisors b. The large amount of off the job planning time by subordinates c. The complexity of the theory of MBOR d. That setting specific goals is unrealistic e. That measuring performance is unrealistic. 22. The results and evaluation of the organization's performance has been an asset in solving organizational problems: a. To a very great degree b. To a great degree c. To a moderate degree d. To a small degree e. Not at all 431

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432 23. The results of the organization's performance in relation to the objectives set during the project are generally known to subordinates: a. To a very great degree b. To a great degree c. to a moderate degree d. To a small degree e. Not at all 24. The 6 month results of the Correctional Institution Environment Scale (CIES) which is completed by staff and residents is an asset to my individual job goal setting: a. To a very great degree b. To a great degree c. to a moderate degree d. To a small degree e. Not at all f. I don't know what the results are 25. Which statement best describes the manner in which your supervisor helps you in performing your job: a. He/she rarely makes suggestions to me b. He/she gives me some ideas but I could use much more help c. Sometimes my supervisor helps me plan to reach a goal and sometimes he/she does not d. Generally, when I encounter a serious obstacle, my supervisor will suggest ways to overcome it e. Generally, when a serious obstacle arises, I discuss it with my supervisor and we revise the strategy and the goal 26. Which statement best describes the present difficulty your supervisor has in measuring your performance: a. My work is too complex to express in terms of standards of performance b. My supervisor is barely able to determine if I have done a good job c. Sometimes my supervisor knows enough about the work I do to make judgments about my performance and sometimes he doesn't d. I have some measures of performance in practically every area of responsibility e. I have verifiable work goals: I mean, at the date agreed upon, my supervisor can tell readily how close I've come to accomplishing my goals.

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27. Which statement best describes the concern of your supervisor for your career: a. My supervisor feels this is my responsibility only b. He/she might discuss career plans with me but views this outside his responsibility c. He/she will discuss my long term career goals with me if I push him to do so d. We have agreed on specific things I need to do for my self-improvement e. My supervisor is interested in my development and views setting work goals as part of this process 28. Which statement best describes the kind of feedback you generally get from your supervisor about your performance? 433 a. I'm lucky if I get any hint from higher management on how well I•m doing my job h. There are too many times when I really don't know what my boss expects of me c. The only real feedback I get about my performance comes through official channels d. I get some feedback about my performance but I need more e. Much of the information I get about my performance is objective and not just subjective and this helps 29. How important is it for you to have definite policies an9 procedures to help you in performing your job? a. Extremely important b. Quite importan t c. Somewhat important d. Slightly important e. Not important at all 30. Given your present situation in life, rank the follow ing items in order of their importance, 1 through 8: Opportunity to use ones' skills ----A sense of accomplishment ----Salary ----Recognition in current job ----Promotion ----Pleasant co-workers ----Job stability ----Fair supervisors

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31. Rank the following words which best describe you, 1 through 8: practical --cooperative --imaginative ==logical stable flexible --pessimistic --free-wheeling 434