Consultancy and Advising in Forensic Practice
‘This is an erudite text that takes the psychological client service model back a step or two and uses it to inform how consultant psychologists can work better with organisations that fund their work. This is important since psychologists are generally trained in working with client’s best interests in mind, but not in how to provide services with the organisation’s interests in mind. This book provides guidance and practical advice on how to do the latter more effectively and comprehensively. In sum, this is an excellent book for all consultant psychologists and I thoroughly recommend it as a core text for any practitioner’s book shelf.’ Douglas P. Boer, Associate Professor of Psychology, The University of Waikato, New Zealand
Forensic Practice Series Editors: Adrian Needs, University of Portsmouth, and Carol A. Ireland, University of Central Lancashire and Mersey Care NHS Trust The books in this series take a research-based applied psychological approach to a wide range of topics in forensic psychology, and are aimed at a range of forensic practitioners working in a variety of settings. They will be of use to all those working within the criminal process, whether academics or practitioners. Published Applying Psychology to Forensic Practice Adrian Needs and Graham Towl Psychology in Prisons Edited by Graham Towl Consultancy and Advising in Forensic Practice Edited by Carol A. Ireland and Martin Fisher
Consultancy and Advising in Forensic Practice Empirical and Practical Guidelines Edited by
Carol A. Ireland and Martin J. Fisher
This edition first published 2010 by the British Psychological Society and John Wiley & Sons Ltd © 2010 John Wiley & Sons Ltd BPS Blackwell is an imprint of Blackwell Publishing, which was acquired by John Wiley & Sons in February 2007. Blackwell’s publishing program has been merged with Wiley’s global Scientific, Technical, and Medical business to form Wiley-Blackwell. Registered Office John Wiley & Sons Ltd, The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ, UK Editorial Offices 350 Main Street, Malden, MA 02148-5020, USA 9600 Garsington Road, Oxford, OX4 2DQ, UK The Atrium, Southern Gate, Chichester, West Sussex, PO19 8SQ, UK For details of our global editorial offices, for customer services, and for information about how to apply for permission to reuse the copyright material in this book please see our website at www.wiley.com/ wiley-blackwell. The right of the editors to be identified as the author of this work has been asserted in accordance with the UK Copyright, Designs and Patents Act 1988. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, except as permitted by the UK Copyright, Designs and Patents Act 1988, without the prior permission of the publisher. Wiley also publishes its books in a variety of electronic formats. Some content that appears in print may not be available in electronic books. Designations used by companies to distinguish their products are often claimed as trademarks. All brand names and product names used in this book are trade names, service marks, trademarks or registered trademarks of their respective owners. The publisher is not associated with any product or vendor mentioned in this book. This publication is designed to provide accurate and authoritative information in regard to the subject matter covered. It is sold on the understanding that the publisher is not engaged in rendering professional services. If professional advice or other expert assistance is required, the services of a competent professional should be sought. Library of Congress Cataloging-in-Publication Data Consultancy and advising in forensic practice : empirical and practical guidelines / edited by Carol A. Ireland and Martin J. Fisher. p. cm. Includes bibliographical references and index. ISBN 978-0-470-68917-2 (cloth) – ISBN 978-0-470-74478-9 (pbk.) 1. Forensic psychology– Practice. I. Ireland, Carol A. II. Fisher, Martin J. RA1148.C66 2010 614′.15068–dc22 2009052151 A catalogue record for this book is available from the British Library. Set in 9.5/12 pt Photina by Toppan Best-set Premedia Limited Printed in Singapore by Fabulous Printers Ptc Ltd The British Psychological Society’s free Research Digest e-mail service rounds up the latest research and relates it to your syllabus in a user-friendly way. To subscribe go to www.researchdigest.org.uk or send a blank e-mail to
[email protected]. 1
2010
Dedication
This book is dedicated to the memory of Terry Cobham. A loving husband and father, a hero and a friend. This book is also dedicated to Michele Whitfield, for patience and inspiration
Contents
Series Editors’ Preface
ix
Notes on Contributors
xii
Acknowledgements
xvi
Part I: Consultancy and Advising from a Theoretical Perspective
1
1 The Role of a Consultant: Function, Skills, Competences and Presentation Carol A. Ireland
3
2 Key Stages and Factors in the Consultancy Process and Relationship: The Importance of Stakeholders, Organisational Boundaries, Culture and Their Management Carol A. Ireland 3 Theoretically Driven Training and Consultancy: From Design to Evaluation David Vickers, Eliza Morgan and Alice Moore 4 Ethical Considerations in the Consultancy and Advisory Process Susan Cooper and Martin Fisher Part II: Consultancy and Advising from a Practical Perspective 5 The Application of Cognitive Interview Techniques as Part of an Investigation Andy Griffiths and Becky Milne 6 Acting as the Consultant Advisor in a Crisis Situation Martin Fisher and Carol A. Ireland 7 Legal Consulting: Providing Expertise in Written and Oral Testimony Jane L. Ireland
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35 51
69 71 91
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CONTENTS
8 The Development of a Practical Behavioural Change Framework: A Case Study within a National Law Enforcement Agency Simon Keslake and Ian Pendlington 9 Examining the Link between Performance and Employee Engagement in a Forensic Setting: Care Enough to Perform Well? Suzy Dale
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10 Inspecting Secure Institutions Louise Falshaw
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11 Effective Training in Action: From Contracting to Evaluation Eliza Morgan, David Vickers and Alice Moore
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12 Systemic Failure and Human Error Adrian Needs
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13 Project Management: Towards More Effective Applied Psychology Roisin Hall and Donald Darroch
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References
243
Index
265
Series Editors’ Preface
In the preface to a previous volume in this series (Needs & Towl, 2004), reference was made to the British Psychological Society’s project during the 1990s on Occupational Standards in Applied Psychology. The purpose of the workshops connected with this was to characterise the nature of the work of applied psychologists across all professional backgrounds. Much discussion centred upon three themes: ethics, problem solving and interactivity. Ethics is pervasive and non-negotiable, the basis of not only standards and consistency but also of the trust upon which professional practice depends. Problem solving forms the bridge between knowledge, expertise and the ‘real world’; the ability to formulate an appropriate response to unfamiliar and complex situations is the hallmark of the professional who is fit to practise autonomously. Interactivity goes beyond the obvious in emphasising that psychologists work ‘with’ people in the deepest sense. Issues such as effective engagement, communication and working relationships come to the fore, along with a very practical need to explore the client’s perspective and use this as a reference point. After distilling these aspects (sometimes it certainly felt as if some form of distillation had been involved), consideration moved to how they are exercised and reflected in the work of applied psychologists. This process was a major influence on the emergence of the standards that were adapted by the Division of Forensic Psychology of the BPS in its system for Stage 2 of eligibility for chartered status. These aspects of orientation and associated roles are exemplified particularly clearly by work as a consultant and advisor in organisational settings. Such work, in turn, is exemplified by the variety of methods and applications described in this book. Core roles are much in evidence, for example, in chapters on the range of component activities involved in training, on supporting and advising in demanding situations, on the development of procedures to improve standards and the promotion of organisational change. Yet there is also an appropriate sense of continuity between such areas, with the opening, more generic chapters, and with other areas of practice that are sometimes mistakenly regarded as belonging in completely separate compartments. The ability to make such connections is an important resource for any practitioner and can help take the mystery out of many an unfamiliar area. A great deal of activities that psychologists undertake involves a cycle that proceeds from engagement and assessment through formulation, planning, implementation and evaluation. The cycle is as relevant to consultancy in organisations as it is to working with a client in clinical work. In addition, client contact skills in
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consultancy bear more than a passing resemblance to counselling skills, and these are not too far removed from important skills that are orchestrated by crisis (hostage) negotiation advisors. Research skills are relevant to carrying out inspections, and training skills can enhance the competence and confidence of any briefings or debriefings that have to be conducted whilst also fostering multidisciplinary working and psychologists’ integration within an organisation; and so on. It is the synergy between these areas of competence and contexts of practice that previously gave many practitioners of forensic psychology their distinctive identity. There have been changes in recent years that some forensic settings have lost or eroded this traditional versatility. At the centre of these has been the domination of a focus on working with the offender directly, such as through group therapies or extensive individual work. This is not to say that this work is not valuable, yet such an overemphasis can lose sight of the versatility of professionals such as psychologists. For example, the increased number of forensic psychologists in settings that encourage this to the exclusion of the psychologists’ other roles has tended to restrict the nature of the work available to qualified psychologists and trainees. This has caused considerable challenges and may well have contributed to some problems for forensic trainees in attaining the breadth of experience necessary for qualification. These and other challenges of the recent past have now been recognised in several quarters (partly as a result of some limited consultancy work!) and it is to be hoped that what were strengths of forensic psychology can be nurtured once more. Yet, challenges of this nature are not unique to forensic psychologists, but to a range of professionals working in forensic settings. This will be timely in more ways than one, since if offending behaviour therapies are to achieve optimal effectiveness, far more attention must be given to issues such as regimes, social climate and the quality of relationships. These are the kinds of areas where, for example, psychologists skilled in consultancy work can make an important contribution. Meanwhile there are psychologists who never gave up the old versatility, and who maintained an involvement in consultancy and related areas. The expertise of some individuals ensured that major elements of the consultancy tradition remained at the forefront of their work. Contributions from such individuals and from some relatively new to the field are to be found in the pages of this book. It is hoped that this addition to the Forensic Practice series will provide new impetus to an area that maximises the contribution of psychological expertise to criminal justice. This book is also timely for another reason. Even in the days when consultancy work in psychology in forensic settings was widespread there was very little published on it. Even the near showcase for the Prison Service, Applying Psychology to Imprisonment, edited by Barry McGurk, David Thornton and Mark Williams in 1987, was criticised by at least one reviewer for containing few chapters representing the organisational working that tended in those days to go hand in hand with promotion. Occasionally, short papers on working at the organisational level appeared in collections of papers such as What do Forensic Psychologists do?, edited by Graham Towl and Cynthia McDougall in 1999. Prisons and other custodial settings are of course only part of the picture. Amongst the relevant other settings where consultancy work has been exercised, such as health care, courts and social services, there is a long and healthy tradition of (usually academic) psychologists being involved with the police
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in advisory work or the development of procedures. An important part of this tradition, given excellent representation in the present volume, is that its proponents published regularly and often collectively. However, it seems that it was not until the book mentioned in the opening sentence (that’s the second plug) that a deliberate attempt was made to represent a variety of forms of organisational working across a number of different settings. The present book not only complements the latter but also takes it further as coverage of fundamental skills and principles is included alongside some vivid and groundbreaking examples. It will offer new horizons for many psychologists and professionals in forensic settings of all shades of experience and qualification. More psychologists benefiting agencies in the criminal justice through engaging in such work will help to define the discipline once more in terms of its true potential. Adrian Needs and Carol A. Ireland
Notes on Contributors
Dr Susan Cooper is a chartered psychologist, forensic psychologist and chartered scientist. She is currently employed by Tees, Esk and Wear Valley NHS Trust. She is the lead psychologist for the Primrose Programme (Dangerous and Severe Personality Disorder Service for Women). Prior to this she worked with adolescent offenders in a Local Authority Secure Children’s Home and with those detained in hospital under the Mental Health Act (1983). She also worked for HM Prison Service with adult male offenders for five years. Much of her work has involved the assessment and treatment of offenders as well as developing and managing psychological services in secure settings. She has a PhD in the area of psychopathic personality disorder and risk assessment in adolescent offenders. She has delivered lectures on forensic psychology to undergraduates and postgraduates, presented at national and international conferences and published several articles in peer-reviewed journals. Suzy Dale is a chartered psychologist and occupational psychologist. She currently works for the National Offender Management Service South East Regional Office and has 12 years experience with the Civil Service as an in-house occupational psychologist. Before moving to South East Regional Office, she developed and ran the National Prison Service Staff Survey, and formerly has held posts with the Ministry of Defence and Cabinet Office. Donald Darroch BA, Dip HE, is the training officer with the Risk Management Authority in Scotland. He has been involved in project managing the development of various training programmes including Risk Management Planning and Practice, and the Structured Professional Judgement Approach – Assessing Risk of Harm. A former police officer, Donald was a trainer with the Scottish Police College involved in project management before promotion into their leadership and management division. He was also part of a team selected to work with the Foreign and Commonwealth Office to train police officers in Guyana. Donald is trained in Prince2 Project Management and is a registered Prince2 practitioner with APMG UK. Dr Louise Falshaw received her PhD from the University of Birmingham in 1998 on the link between a history of abuse and offending behaviour. Since then she has worked for the Offending Behaviour Programmes Unit in HM Prison Service and the Research, Development and Statistics Directorate within the Home Office. She
NOTES ON CONTRIBUTORS
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currently holds the position of head of research and development with HM Inspectorate of Prisons. Dr Falshaw has produced publications for peer-review journals, book chapters and edited periodicals. She has previously acted in an editorial capacity for Issues in Forensic Psychology for seven years. Dr Falshaw was previously honorary secretary for the DFP Committee. Martin J. Fisher is a chartered psychologist, forensic psychologist and chartered scientist. He has most recently been the area psychologist for South Central Area of NOMS with responsibility for specialist services including drugs strategy, safer custody, mental and physical health service provision, and is now the consultant psychologist the HMPS Public Sector Bids Unit. He is a member of the Hampshire MAPPP Audit Panel and has input to clients in secure and mental health settings. He coordinates the NOMS Area response to crisis intervention. He has published work in the areas of risk assessment and hostage negotiation. He is currently CPD lead for the Division of Forensic Psychology of the British Psychological Society, as well as leading for the Division on Government Consultation. Martin is on the Editorial Board of the British Journal of Forensic Practice. Dr Andy Griffiths is a detective superintendent with Sussex police and works as the head of the major crime branch. He is also a member of the Police National Steering Group for Investigative Interviewing. He has spent most of his service as a detective and, in 1998, co-founded one of the first advanced interview courses for UK police officers. In 2001 he was awarded a Bramshill research fellowship and commenced a full evaluation of police suspect and witness advanced interview training, completing his PhD in 2007. His current research centres on the sequencing of questions and subjects by investigators in investigative interviews. Professor Roisin Hall is a chartered psychologist, forensic psychologist and clinical psychologist and a fellow of the British Psychological Society. She is chief executive of the Risk Management Authority, which has a remit to develop best practice in the risk assessment and management of serious sexual and violent offenders in Scotland. She holds an honorary chair at Glasgow Caledonian University where she contributes to the MSc course in forensic psychology. Previously head of psychology for the Scottish Prison Service, she has worked in a number of NHS, custodial and academic settings. Dr Carol A. Ireland is a chartered psychologist, forensic psychologist and chartered scientist. She works for Mersey Care NHS Trust, at Ashworth Hospital, where she is lead for sex offender therapies and crisis (hostage) negotiation. She also works at the University of Central Lancashire, where she is the director of studies for the MSc in forensic psychology. She also leads on the postgraduate qualifications for the Child Exploitation Online Protection Agency (CEOP) and postgraduate qualifications in crisis communications. Dr Ireland manages her own consultancy firm, Bowland Psychological Services, delivering expert witness reports, training and consultancy. She has over 35 publications, including journal articles, books and book chapters, mainly on offending, consultancy and crisis (hostage) negotiation.
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Dr Ireland is currently chair of the British Psychological Societies Division of Forensic Psychology. Professor Jane L. Ireland is a chartered psychologist, forensic psychologist and fellow of the International Society for Research on Aggression (ISRA). Professor Ireland holds a full professorial chair in forensic psychology and is also a Violence Treatment Lead within Mersey Care NHS Trust, based within High Secure Psychological Services. Professor Ireland is a former chair of the British Psychological Society’s Division of Forensic Psychology, is current chair of the British Psychological Society’s Expert Witness Advisory Group, and representative at the Royal Courts of Justice. Professor Ireland has published over 70 papers, articles and book chapters, including on expert witness work. Simon Keslake is part of the Operational Effectiveness team at PricewaterhouseCoopers LLP, and brings behavioural, strategic and operational experience to both private and public sector organisations managing and implementing complex change. Previously, Simon spent a number of years with an Organisational Development specialist, utilising behavioural-science methodology to underpin strategic transformation of organisations. He developed his career within strategic human resource consultancy, working globally across Europe, Asia and the Americas. Simon integrates his operational work with executive development and professional coaching, and holds a MSc. Psychology, a MA. Strategic Human Resource Management, and a BSc. (Hons) in Economics. Dr Rebecca Milne is a chartered psychologist, forensic psychologist and chartered scientist. She is a principal lecturer at ICJS, University of Portsmouth. She is the course leader of the FdA Investigation and Evidence, a distance learning degree programme specifically for investigators. She is an associate fellow of the British Psychological Society and an associate editor of the International Journal of Police Science and Management. Dr Milne is a member of the Association of Chief Police Officers Investigative Interviewing Strategic Steering Group, and has worked closely with the police and other criminal justice organisations through training of the enhanced cognitive interview, witness interview advising and also in the interviewing of vulnerable groups (i.e. Tier 3 and 5) and providing case advice. Alice Moore is a lecturer in human resource management at the University of Central Lancashire. Prior to entry into academia in 1976 she worked as an industrial engineer in a large manufacturing organisation in South West Scotland. During her career in higher education she has undertaken consultancy and development work with a number of organisations both in the public and private sector and has a particular interest in management in the NHS. She has a number of papers published in this area including journal articles and book chapters, mainly on organisational change in the NHS. Dr Eliza Morgan works at the University of Central Lancashire where she has a dual role as Home Office projects manager and a senior lecturer in human resource man-
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agement. In her commercial role as Home Office projects manager Eliza has been engaged with a range of public- and private-sector clients in the design and delivery of courses to meet organisational needs. As senior lecturer she has designed and managed programmes including the postgraduate diploma and masters in personnel management and development and has designed and delivered modules specialising in human resource development, human resource management, leadership and equality and diversity. Dr Adrian Needs is a chartered psychologist and forensic psychologist and runs the MSc in forensic psychology at the University of Portsmouth. He worked in the Prison Service for many years in high-security establishments, followed by a period in the training branch during which he also worked as a trauma counsellor and as an advisor on operational emergencies. As an office holder in the BPS he played a leading role in the development of postgraduate training for forensic psychologists. Published work includes articles on social skills interventions, sexual and violent offending, influences on change in offenders, work teams and prison officer training. Ian Pendlington is an experienced business professional with over 25 years of experience in both industry and management consultancy. He is a criminal justice specialist with expertise in performance and knowledge management, policy analysis, user focus and both qualitative and quantitative research. He specialises in leading multidisciplined teams tasked with delivering major business transformation projects where diversity and culture have been critical success factors. Ian holds an MBA from Oxford Brookes University, and is an accredited practitioner of Myers Briggs’ psychometric instruments. Ian currently sits on the Advisory Board of Oxford Brookes University Business School. Dr David A. Vickers is a fellow of the Chartered Institute of Personnel and Development. He worked for more than 15 years as a human resource manager in a variety of multinational organisations including the likes of ICI and GEC-Plessey Telecommunications. He now works at the University of Central Lancashire, where he is programme director for professional personnel and HR programmes. He also works as a consultant and has been involved in a variety of projects related to the police, child protection, the nuclear industry and newspaper production. He has also provided HR and organisational behaviour consultancy to a diverse range of small and medium enterprises ranging from saw mills and double-glazing manufacturers to outside catering companies. His research interests are in the areas of critical human resource management, organisational change and actor-network theory.
Acknowledgements
Many thanks are extended to Christina Power for her valuable comments and editing on the draft chapters.
Part
I
Consultancy and Advising from a Theoretical Perspective
Chapter
One
The Role of a Consultant: Function, Skills, Competences and Presentation Carol A. Ireland
Consultancy can play a key role in improving the functioning of organisations. Organisations related to criminal or civil justice are no exception, though traditionally consultancy support has been found predominantly within mainstream commercial organisations. This chapter will begin by identifying the role of the consultant for an organisation, applying this to forensic settings and drawing from business consultancy. It will identify the evolution of the consultant from a solver of problems, to building a client’s capacity for diagnosing situations independently. This chapter will focus upon the core competences relevant to consultancy (Kakabadse, Louchart & Kakabadse, 2006), as well as the role of the consultant with regard to empowering the organisation and/or client. The key roles of the consultant will be presented. These span the resource role, based on the consultant’s knowledge and experience, the process role which assists clients in solving and/or managing their problems or presenting issues through enhanced awareness, as well as that of ‘agent of change’. The process consultation model (Schein, 1988) will further be presented, identifying the consultant as both the expert, with the risks and limitations of this, and the alleviator of the distress created by the problem in a forensic setting. The changing role of the consultant during the consideration of the issues will be presented, as well as the relationship between the consultant and the client. Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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Consultancy Focus Consultancy can be defined as ‘an advisory service contracted for and provided to organisations by specially trained and qualified persons who assist, in an objective and independent manner, the client organisation to identify management problems, analyse such problems, recommend solutions to these problems and help when requested in the implementation of solutions (Greiner & Metzger, 1983, p.245). Consultants can fill a variety of roles depending on the demands of the situation (Chapman, 1998). Consultancy skills are further required when managers within an organisation know they have a problem or issue, but are uncertain as to how to deal with it (Blunsdon, 2002). The role of the consultant is therefore to provide a sense of control, which the client and organisation may feel they have lost due to the uncertainty of the situation (Blunsdon, 2002), assisting them in the relief of any anxieties from this uncertainty. An example of this would be the role of the consultant in a crisis situation, such as a hostage taking or barricade (as discussed in Chapter Six, this volume). Here, the situation can be fraught, stressful and initially chaotic (Hatcher et al., 1998), often a reflection of the perpetrator/s who have instigated the crisis situation. The role of the consultant here is to slow the processes down, along with the thought processes of key staff. The latter include the negotiators dealing with the perpetrator/s and members of the command structure charged with making key decisions with regard to its management. One of the key roles here can be not only to increase rational thinking for all involved, but also to offer the negotiators and command structure a sense of theoretical understanding as to its management, based on the wealth of knowledge a consultant has about crisis situations. More recently, the emphasis of consulting has changed from the consultant solving the organisation’s problems, to the building of the clients’ capacity for diagnosing situations on their own and thus managing challenges more effectively. In addition to the requirement to analyse clients’ problems and provide sound recommendations, consultants have become increasingly concerned with the demonstration of key skills in facilitating learning and change (Turner, 1988). Indeed, assisting the client and/ or organisation to learn is regarded as a key process in the consultancy role. As such, the consultant requires specific skills and knowledge, with a key focus on acquiring and sharing knowledge with others (Kakabadse et al., 2006). As in a crisis situation, a consultant may well encourage those in charge to reflect on the decisions made, both in terms of the short- and long-term impact and the potential reactions of key stakeholders. This would be done both during and after the incident. As such, the consultant would not necessarily look to inform those in charge as to the best course of action, but would encourage a good degree of reflection, maximising rational thought and decreasing any emotional reactions that may have an unhelpful impact on the decision-making process. Similarly, a consultant requested by a forensic service to assist in the development of its service strategy would need to ensure that a wide range of issues was considered (Sadler, 2001). For example, the consultant should encourage the service to consider the extent to which its strategy was based on facts as opposed to opinions. The consultant should encourage the forensic service to consider the opinions of those staff who would be expected to carry out such strategy initiatives. The consultant would
THE ROLE OF A CONSULTANT
5
further invite the service to consider the creative and unique nature of its strategy, as well as, and importantly, how its strategy fits the vision, mission, values and objectives of the wider organisation. The consultant would encourage the service to address how the proposed strategy outcomes could be assessed, and how the culture of the wider organisation may or may not support the strategic plan. Importantly, the consultant would encourage the forensic service to consider the potential views and responses of various key stakeholders, both within and outside of the service, within the wider organisation and those external to the organisation. Finally, the consultant would help to determine the service’s ability to undertake strategy analysis, evaluation and implementation independently, with particular emphasis as to how the strategy can be implemented.
The Consultant: Requirements of the Role The role of the consultant requires a great deal of skill and expertise. In particular, knowledge with regard to the client’s area/s of concern is critical. For example, it would be unhelpful for consultants to advise on crisis negotiation and crisis communication strategies if they had no detailed knowledge and credibility in this area. It is further important to acknowledge that a consultant in one area of expertise may not necessarily be helpful in other situations. Kakabadse et al. (2006) argue that experience and expertise in a particular area is important. For example, consultants’ advice may be considered inappropriate if they are being asked to assist in problems that may have arisen from a forensic rehabilitation service and they have limited knowledge with regard to the use of therapies with such a population. For example, the consultant may encourage the client to consider certain issues, whilst omitting further key areas of thinking due to a lack of knowledge in this area. As such, it is further helpful for the consultant to have knowledge as to how the organisation operates, its key issues and key focus (Kakabadse et al., 2006). If requested to be involved in a consultancy role within a forensic organisation, it is imperative that the consultant seeks a detailed understanding of how the particular organisation conducts its business. There are dangers in assuming similarities between forensic settings even when they are part of the same wider organisation. Focusing on their specific features has a range of benefits, from gaining a detailed view of the organisation as part of understanding the problem, to increasing the credibility of the consultant (Kakabadse et al., 2006). For example, it would be unhelpful for a consultant to assume that organisations in the criminal justice system have the same strategies and structures in place to manage a crisis situation. A further key competence of the consultant is the ability to listen and question the situation and problem (Kakabadse et al., 2006). A failure to listen effectively can lead to potentially identifying the presenting issues ineffectively. A particular strength here is the ability to separate factual information from that based on assumption. A useful approach is the ‘six-hat thinking system’, which is presented at the end of this chapter (De Bono, 1995). For example, a consultant may be required to explore what may be preventing forensic clients from engaging in therapy aimed to address offending issues. An early assumption may be that such clients are simply not motivated to
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engage in therapy, and that the issues rest clearly with the client. Such an assumption may further be supported by staff, but with little factual evidence. To regard such assumptions as fact can potentially omit other fundamental factors, such as context and environmental issues that may impact on such lack of engagement. These may include issues relating to the culture of the organisation, such as its difficulty in supporting the engagement of clients in therapy, or a larger organisational failure to accept and promote such therapies. Omission of such issues can lead to ill-considered and less than helpful solutions. This highlights the value of consultants maintaining objectivity (Kakabadse et al., 2006), and not focusing purely on what they feel the client may want to hear. As such, it is of further importance for clients to be comfortable in acknowledging the limitations of their knowledge, and when issues may benefit from further consideration by additional consultants with expertise in the area. This may arise, for example, if it becomes apparent that the person at the centre of a crisis situation is mentally disordered and this is outside the expertise of the original consultant. Self-awareness is another key competence of the consultant. An important requirement is the effective use of reflection. Reflective skills can be considered as crucial across the duration of a consultant’s career. When addressing a problem or issue, the consultant should consider a range of reflective questions, ones which can also be found as part of supervisory practice (Hawkins & Shohet, 2007). These can include a need for the consultant to note and monitor any bodily sensations, breathing, feelings, thoughts and actions, and to incorporate these into reflective notes that could aid their own supervision (Hawkins & Shohet, 2007). For example, one of the challenges for a consultant may be in the recognition of any personal barriers when asking exploratory questions. This may be a result of the culture of the organisation which is relatively resistant to its members exploring their practice, perhaps in part due to a ‘blame culture’ (Eyre et al., 2008). It is important for consultants to reflect on such barriers, and how they may inhibit their questioning and limit their approach. Time for reflection is of substantial importance here, with additional time to confront their own ways of working and approach to the problem (Hawkins & Shohet, 2007). Key questions for consultants, as part of their reflective practice, can include the drawing of attention to the content of their interaction with the client and others (Hawkins & Shohet, 2007). This can include how the client and others present themselves, what they discussed, what they seemed willing to explore, and how their presentation compared with previous presentations. Borders and Leddick (1987) argue as to the value of self-observation during an individual’s work. This includes the utilisation of key reflective questions such as: What was I hearing my client say and/or seeing my client do? What was I thinking and feeling about my observations? What were my alternatives to say or do at this point? How did I choose from among the alternatives? How did I intend to proceed with my selected response(s)? What did I actually do? What effects did my response have on my client? And how, then, would I evaluate the effectiveness of my response? The consultant must also maintain an awareness of the client’s experience. As noted earlier, this should include an awareness of the environment where the problem or issue is taking place without assuming equivalence across settings
THE ROLE OF A CONSULTANT
7
(Kakabadse et al., 2006). For example, it would be unhelpful for a consultant to assume that all prisons function in the same manner, and that their cultures are the same. Similarly, it would be unhelpful for a consultant to consider the problem or issues within a forensic setting without first attempting to understand how the forensic setting regards itself as an organisation, and how the current issue or problem may bring challenges to its wider objectives, strategy and focus. In particular, and as presented in Chapter Two, this volume, key awareness needs to be developed around the context in which the organisation operates, including current and predicted changes in the external environment that it can simply respond to, or have only limited influence over, such as government pressures or public influence.
Key Roles of the Consultant One of the key roles of the consultant is to promote organisational learning (Lindon, 1995; Kubr, 1996), helping the client and organisation to work through the problem and to learn from this. The consultant focuses on helping the client understand its problem, but, and importantly, not to be responsible for solving it (Lindon, 1995). For example, if it is felt that the organisation appears to have a difficulty with using new and innovative methods of treatment, despite a number of efforts to do so in the past, the consultant’s role here would be to work through the problem, exploring wider issues which may have been omitted. This is with a view to encouraging the client to see the actual problem, as opposed to the perceived problem. For example, difficulties in using new and innovative methods of treatment may not lie entirely with any individual, but may be more a result of an organisational culture characterised by fear of change, and that they may get this wrong and suffer negative consequences as a result. In addition, the structure may consist of heavily laden bureaucratic systems that may hinder the ability to bring about change quickly, and where momentum and motivation may be lost. Similarly, in a crisis situation, such as a hostage taking, the consultant will assist those with operational responsibility to consider a range of potential management options and consequences for the immediate and longer term, for those immediately involved as well as the wider organisation. This may be necessary to cut through unhelpful preoccupations with single issues (see Chapter Twelve, this volume). As such, the consultant’s role is very much that of a resource (Lindon, 1995; Kubr, 1996), with the client and/or organisation making use of the consultant’s experience and knowledge in the given area. For example, in the earlier example of barriers to a client engaging in therapy, the consultant may evoke their knowledge of motivational theory, and how the environment can assist or hinder this, as well as a great deal of knowledge in relation to organisational culture. The consultant’s role can further be that of process (Lindon, 1995; Kubr, 1996), helping the client and organisation to solve their problems by enhancing their awareness of the organisation itself, such as cultural and resource issues. The consultant as an agent of change is of further importance (Kakabadse et al., 2006), where the consultant transfers some of their skills to the client, with the consultant’s role evolving and changing over time. Responsivity to the needs of the
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client is important, with the offering of tailor-made solutions as opposed to efforts to identify an ‘off-the-shelf ’ solution. Indeed, this can be one of the main challenges to a consultant’s role. Dynamic, fluid and flexible thinking is a key factor in the consultant’s expertise, with an emphasis on the practical and sensitive application of knowledge as opposed to simply applying the same formula for each problem identified.
Process Consultation The process consultation model (Schein, 1988) is an important consideration in a forensic setting. Schein (1988) argues that this consultation model identifies the value of the consultant as the expert, with the consultant bringing an expertise or skill that may be lacking in the current environment. Such an approach is more directive, such as telling the client what has to be done to solve the problem. Some have argued against this expert role, arguing that it is more beneficial to regard the consultant as a coach, rather than an expert (Werr, Stjernberg & Docherty, 1997). An additional risk of the expert role is that, if not handled carefully, the consultant can be regarded as the individual who is able to solve the problem, and who is responsible if the agreed solution is not effective. In the role of crisis negotiation advisor, for example, the consultant brings expert knowledge about crisis situations, skill in analysis and the ability to facilitate the performance of others. However, executive decisions are ultimately the responsibility of those in charge of an incident. If it is presented that the advisor is indeed able to make such decisions, then the consequences of what may happen during such incidents may more clearly be directed towards themselves. With this can come a loss of objectivity and a blurring of roles. One of the strongest factors in the process consultation model is the view of the consultant as an alleviator of any distress created by the problem (Schein, 1988). In particular, the role here is to help the client to perceive and understand the problem, in order to assist them in solving and/or managing it. For example, in a situation where a forensic service requests assistance in a need to restructure, as directed by the organisation, a consultant can help the forensic service to consider this in more detail. For example, the consultant may encourage the forensic service to consider the potential reasons for a restructure. This may be achieved by exploring the wider organisation, the current environment that the organisation resides in, and which may have directed such change, as well as the role of key stakeholders. Exploration as to the reason and function of any anxieties need to be explored, as well as the generation of management strategies to deal with such change. This may include reframing the process of change as positive, regarding it as a learning experience and opportunity to develop.
Changing Roles of the Consultant One of the key considerations in the role of the consultant is the appreciation that the role may change over time and across the duration of the consultancy process.
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Initially, the consultant may be requested to identify and diagnose the problem. They may then progress to more of an educating role, where advice and training is offered. They may then move to an evaluative stage where the consultant learns from the client through their own process of evaluation (Kakabadse et al., 2006). For example, if the consultant is initially presented with a problem that forensic clients are not attending daily workshops as part of their rehabilitation, the consultant may then consider a range of issues. They may think about the barriers to entering the workshops, both from the viewpoint of the individual forensic client, but also from the wider organisation. The task of the consultant here is not to accept at face value the initial issue and believed problem, but to explore further. With the problem presented, it may be believed by the organisation that the failure for forensic clients to attend workshop activities may be a result of their lack of motivation, and the answer therefore may be motivational interviewing approaches with clients. Yet, in reality, it may be more complex, and cultural issues regarding the attitudes and routines of staff may actually be a stronger barrier to engaging in such activities. As such, the diagnosis of the problem would be more specific. This would then direct the advice and any training offered, as well as subsequent evaluation. Kakabadse et al. (2006) argue that there are a number of potential roles of the consultant. One of these roles can be that of the service provider. It is important that the consultant appreciates the difficulties that arise for the client and organisation, as a result of the problem presented. The role here is for the consultant to provide a service, transferring some of their relevant knowledge. It is important that, in order to transfer such knowledge, the level of knowledge held by the consultant must be more developed than that of the client. However, this service is about the provision of knowledge, not always about aiming to offer the solution. Ultimately, it is concerned with transferring some of the consultant’s skills to the client, to maximise their ability to solve the problem themselves. Assisting the client and organisation to solve the problem themselves is a key role of the consultant; it has a greater impact if the client and organisation take ownership of how the issue will be managed. Further, if the client is not given the responsibility to solve the problem, it is likely that the problems will reoccur and they will be unable to deal with them, again turning to the assistance of the consultant who may or may not be available (Kakabadse et al., 2006). For example, in a forensic organisation that has previously not considered its strategy for managing suicide and self-harm risk, a consultant may initially provide training to key staff. Training may include the current approaches to the management of such risk, as well as the potential difficulties if such approaches are not used. The consultant, once having provided this information, would then encourage staff to consider the implications of using such approaches, as opposed to the utilisation of alternative approaches. As reflected in this example, it is further important for the consultant to ensure that the autonomy and control of the client is maintained, by encouraging them to identify the solutions. If this sense of autonomy and control is not offered, the client is likely to go towards the easier solution of approaching the consultant, as opposed to developing their own skills to manage the difficulty. This may be likened to that of a doctor–patient relationship, where the doctor is the consultant, and the patient the client. If the doctor were to continually offer painkillers to manage pain as opposed to allowing patients to develop their own pain management
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strategies, the patient is likely to continually visit the doctor, as they can offer a quick solution that requires minimal thought, reflection and evaluation from the patient. In essence, the consultant can sometimes run the risk of being regarded as a ‘quick fix’, as opposed to a longer term approach. A related role of the consultant is that of a mentor (Kakabadse et al., 2006). Mentoring can be defined as a developmental relationship between a more experienced individual, the consultant, and a less experienced partner, the client, where the former guides the latter. A mentor must be an expert in the area presented, who is available on a regular basis, with a more formal interaction as opposed to informal (Mullins, 2005). It is important that there is a positive relationship between the mentor and client, and that the client is respectful of the consultant’s knowledge (Mullins, 2005). This is ultimately about the client learning and developing from the consultant, where the consultant’s knowledge and skills can be transferred. Another role is that of the consultant as a partner and support to the client (Kakabadse et al., 2006). This focuses on the consultant undertaking a supportive role, and where there is not necessarily the need for a hierarchical structure such as with the mentor–client relationship. This supportive role may be useful where the client presents with more detailed knowledge about the organisation than the consultant. As such, it may indeed be the client that shows a greater level of knowledge and understanding of the situation. It is therefore important here for the consultant to adopt more of a ‘team player’ approach, as opposed to a mentoring relationship, where both parties aim for equal status in the relationship.
Relationship Development The development of a two-way relationship is essential. Indeed Sadler (2001) argues this to be a key aspect of the consultancy relationship, and which can often be neglected. Sadler (2001) claims that, all too often, the consultant can focus on the contractual nature of the relationship with the client, as opposed to developing a clearer working relationship that enhances and encourages learning and reflection. Sadler (2001) further argues that the most effective form of consultant–client relationship is where there is reflection at the level of the consultant and an open discussion of relevant issues. Trust is a key aspect to the development of this two-way relationship (Kakabadse et al., 2006), and where such an openness can be developed. Kakabadse et al. (2006) also argue that this type of relationship is a core element of success for any consultancy work, with a need for both the client and consultant to work together in order to maximise success. Trust can be difficult to achieve, but is nonetheless crucial in a relationship-building process. Vecchi, Van Hasselt and Romano (2005) argue that there are key elements leading to the development of trust. Whilst a lot of their work focuses on the development of relationships in crisis situations, it is nonetheless applicable to the development of the trusting relationship between the client and consultant more generally. Vecchi et al. (2005) suggest that the use of active listening is a crucial element throughout, with the building of empathy towards the client’s situation as a means of developing rapport and consequent trust (Vecchi et al., 2005).
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Active listening involves a focus of the consultant on the client, with a clear indication that they are listening intently to the issue presented and the client’s interpretation of this. It includes the use of open-ended questions that generate discussion, as well as effective use of nonverbal behaviours to demonstrate interest. Active listening also involves the consultant repeating the issues presented, when appropriate, to determine that they have interpreted an issue correctly, with the use of emotional labelling of the situation, where the consultant identifies the emotions experienced by the client. For example, the consultant may listen for any emotional content in what is presented, and then indicate to the client the emotions accordingly, such as ‘It sounds like this is a very frustrating situation for all involved, and one which seems to have led some individuals to distract away from their main tasks’. This indicates to the client that the consultant is also paying attention to any emotional content presented. The use of silences can also be an effective strategy for the consultant, as part of active listening. Appropriate use of silences can encourage reflections from the client, and can be further used to emphasise a point made (Lanceley, 2003). For example, a pause before a comment can increase anticipation, such as ‘Let me see if I have got this right [pause], you think the issues are centrally around the culture of the organisation and how it views the necessity to learn’, whereas a pause after a comment can encourage reflection on the part of the client, such as ‘From what you have said, this seems to have frustrated staff [pause]. Tell me more about this’. It is important that the consultant considers such use of pauses effectively, as to overuse or misuse can lead to a degree of discomfort from the client, and can negatively impact on the very relationship that is being developed. Finally, the use of summaries as part of active listening can be helpful here. Summaries are a useful means to demonstrate active listening on the part of the consultant, as well as determining correct interpretation of the situation. Generally, a summary can open with an announcement, presentation of the key issues, checking for errors, and ending on an open question that generates further discussion. For example, a consultant may state: ‘So, let’s just see if I am hearing this right [announcement], there appears to be a general view among senior management that staff appear to find it difficult to accept new ideas, but it is not clear as to why this may be the case [summary], have I heard this correctly? [check for errors], okay, so where do you feel we should go from here? [open question]’. The demonstration of empathy on the path to developing trust can be a further key approach, which the consultant uses alongside active listening. Empathy can be defined as the ability to understand and share in another’s emotional state or context (Cohen & Strayer, 1996). As such, it requires the consultant to recognise the emotions the client brings to the presenting issue. The consultant needs to demonstrate perspective taking as part of this, to demonstrate a compassionate emotional response if needed, as well as some consideration as to how to assist in the reduction of any negative emotions presented. It is important to note that the demonstration of empathy is not to simply ‘feel sorry’ for the client situation, but to appreciate the brevity or the stress of the situation. Empathy on the part of the consultant can be shown in a number of ways, including a warm, genuine and sincere voice tone, with clear statements that demonstrate an appreciation of the current situation for the client and organisation. Ultimately, the effective use of active listening and clear demonstration
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of empathy in response to the situation should effectively lead to the development of rapport and trust, where the client feels effectively listened to and responded towards by the consultant. In further development of this trust, it is important for the consultant to encourage the client to express themselves, and to further ensure that it is the role of the client to make the decisions about any solutions presented (Kakabadse et al., 2006). To ensure that any decisions lie with the client is important not only in providing them with a sense of control over the issue, but to further ensure that the client has fully considered the nature of the solutions, as well as any consequences of any proposed solutions (Kakabadse et al., 2006). This is ultimately concerned with the consultant being regarded as a ‘trusted advisor’. As such, and as part of developing this trust, it is further key that the consultant is open and honest with regard to the issues discussed, and to encourage the same of the client, both with concerning the issues presented, as well as the assistance of the consultant (Kakabadse et al., 2006). Once trust is developed, its maintenance is a continuing priority. Therefore, it is vital that the consultant is shown to relay important messages and issues back to the client, as well as important decisions that need to be made by the client (Kakabadse et al., 2006). It is further important that the consultant follows through with any assistance offered, with clear and prompt explanations if such assistance cannot be completed. Trust, whilst taking time to develop, can be easy to lose (Kakabadse et al., 2006). The culture of the organisation is of importance for the consultant to consider as part of their relationship with the client (Kakabadse et al., 2006). The importance of culture is presented in more detail in Chapter Two, this volume. The culture of the organisation can drive how the client interacts with the consultant, the client’s interpretations of events, and what they choose to raise as substantial issues. For example, a forensic setting that may present with more of a ‘blaming culture’ as a result of previous enquiries into its practice, may look to identify individuals to blame, and may approach new ideas with trepidation. The culture of the organisation may further impact upon the type of support that the client seeks. For example, the culture may be as such that independent and creative thought is not encouraged, and so they may look to the consultant to offer substantial assistance with regard to this.
The Key is in the Problem Solving Ultimately, the role of the consultant is to assist the client in managing the issues and problems they face. There is a wide range of problem-solving tools and techniques that a consultant can utilise. One of the more useful techniques to develop creativity in managing the problem is Edward De Bono’s work on creative problem solving (De Bono, 1995). According to De Bono (1995), creativity is a very useful orientation in the management of a problem, though it can often be stifled by preconceptions and a view that as part of problem solving it is simply the generation of ideas. De Bono (1995) argued that this can often miss some of the easier solutions and management strategies by making judgements as to the solution or management too prematurely.
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De Bono (1995) also pointed out that, when attempting to generate solutions or management strategies for the problem or issue, there can be a tendency to choose a pattern of dealing with such problems and issues in the same manner. For example, and as previously identified, if a consultant is approached to assist in the development of a strategy to manage suicide or self-harm risk in a forensic population, the solution may be quickly reached that the issue is with the forensic client and a poor level of coping. As such, this may fail to identify the changing and varied function of harming behaviours, and a failure to explore the wider issues outside of the forensic client. This may lead to a decision that behavioural management and heightened observation of the forensic client is the solution. This limited view may be the result of a time when literature and management strategies focused on the forensic client as the originator of difficulties, as opposed to seeing the forensic client as part of a wider structure, such as part of the culture and social structure of the organisation (Dear, 2006). To omit consideration of this would equate to a failure to explore potentially important possibilities in the management of the difficulty. To report a need to explore the wider structure of the organisation when dealing with the problem can often appear logical and obvious to the client. De Bono (1995) argued that a truly valued proposed solution or management strategy will appear logical, valuable and creative to the client, even if not initially recognised. As such, it is important for the consultant to encourage the client to consider management strategies and solutions that previously would not have been identified, let alone considered in detail. The consultant needs to encourage the client to take time to develop such creative thinking, as opposed to quickly directing to a solution. De Bono (1995) referred to this as the need to develop lateral thought, and proposed the use of the ‘six-hat thinking system’ to encourage this and help the client slow their thinking and maximise creativity. The six-hat thinking system is a useful tool for the consultant. Here the consultant can, metaphorically, request that hats are worn, with each hat being of a different colour to signify a particular thought process. The consultant essentially requests that the client and organisation metaphorically ‘wear’ each of these hats at separate times, and not necessarily in any particular order, to generate creative solutions to the issue at hand. The consultant may not necessarily and explicitly identify this to the client, but might at the very least make use of this internally to guide the process. De Bono (1995) suggested that the ‘white hat’ is where the client is encouraged to focus on the facts of the problem, looking at asking questions and defining the problem. Ultimately this is about the client not jumping to conclusions or making premature decisions, but returning to the basics of the problem, to clearly identify the main issues, and to separate facts from opinions. This is most likely to be encouraged by the consultant early on in the relationship with the client. The ‘red hat’ is one where the client is encouraged to voice their feelings and emotions and to seek their intuition in regard to the problem. Raising intuition is an important part of the thinking process. In particular, the focus can be on developing initial reactions to problems and issues, before there has been substantial time to reflect and consider. The expression of relatively unfiltered intuition and emotions may maximise the identification of potential solutions and management strategies. The ‘black hat’ is about clear logic, where the
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client is encouraged to show clear judgement and caution when discussing the problem, and part of this includes the generation of solutions and/or management strategies. De Bono (1995) reported this process requires a substantial amount of time to be devoted to it. Here the client is encouraged by the consultant to identify why a suggested solution would not be effective, or is omitting key information. The ‘yellow hat’ is similar to the ‘black hat’ in that it follows logic, but is much more positive in relation to this. It focuses the client to consider why a particular solution or management strategy would be effective, and the benefits that it may provide. It may further be used to encourage the client to identify positives from the situation. For example, in regard to the problem where forensic clients appear unwilling to engage in therapy, the ‘yellow hat’ may encourage the client to regard this as a real opportunity to explore current procedures and processes, with a potential to promote change and enhance learning. The ‘green hat’ offers creativity, where the client is encouraged to look at a wide range of alternative solutions and suggestions, and to identify those which are interesting and provoke the most considerations. Finally, the ‘blue hat’ can be utilised. This is where the client is encouraged to review the discussions of the problem to date, and to identify if any particular thought processes need more consideration, such as ‘black-hat’ or ‘red-hat’ thinking. The ‘blue hat’ is ultimately about encouraging the client to reflect on the thought processes overall, and to allow time to consider the problem in detail and to have exhausted discussions with regard to the management of the problem. This ‘six-hat thinking system’ further assists in the view that consultancy is both a science and an art (Sadler, 2001), where the consultant is looking to achieve a balance between the emotional expression and beliefs in relation to the problem, as well as an effort to clearly diagnose and manage the problem. Sadler (2001) refers to this as the consultant as the artist on one level and the scientist on the other, with a view that the consultant is seeking a balance between the two. Too much of the consultant as artist allows for a good level of social interaction and reflection, but little management of the issues. In contrast, too much of the consultant as scientist can omit the need to reflect and step back. Sadler (2001) argues that the artist concept is where the consultant takes a less tangible approach, focusing on the emotions raised as part of the problem, as well as developing greater reflection in the client, maximising the opportunity for self-expression, focusing on intuition and the demonstration of empathy. The scientific approach is that where the boundaries of the problem or issue are clearly defined, theories in relation to the problem are utilised, there are efforts to focus on the more tangible aspects of the problem, and the external environment is carefully considered, with a definite effort to manage the problem. The ‘six-hat thinking’ system allows for the achievement of a clear balance between the consultant as artist and the consultant as scientist. In addition to the six-hat thinking system, a consultant can make further use of a wide array of techniques, to encourage the client or organisation to explore the wider issues. The more traditional approaches have been for a client or organisation to simply generate a list of possible reasons or management of problems, often referred to as ‘brain storming’. Yet, such methods can be restrictive for the client and organisation. They need to be very carefully managed if they are to be successful, though they may appear deceptively straightforward to utilise. For example, effective ‘brain
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storming’ should include an environment where small groups of five or six individuals work through the problem, away from interference and interruption (Open University, 2007). It should take place in a safe and supportive environment, allowing time for imagination and flexibility, where all ideas are charted up in sight of all, treating everyone as equal, and enabling them to feel comfortable to stop once creativity has ceased, yet to have more structure once all ideas have been generated (Open University, 2007). A variety of additional methods can be open to the consultant, in order to generate full consideration of the problem and proposed solutions and/or management. For example, the ‘pool method’ can be used (Open University, 2007). This is where each participant is asked by the consultant to write four ideas in relation to the issues, such as solutions to the problem, on a blank sheet of paper, and to place them in the centre of the room. Each individual then takes blank sheets of paper, writing four problems on each, until all ideas have been generated. The key to this strategy is that there is no discussion during this time. Once all ideas have been generated, each individual then takes a sheet of paper, ensuring they do not take one of their own. They are then encouraged to add or develop the ideas on this piece of paper, being careful not to simply repeat ideas that they may have previously generated. Once it is felt that this has been exhausted, the ideas can then be presented in small groups of three or four, discussed, summarised and then presented to the larger group. As part of this discussion, it is important for the consultant to encourage further analysis within the group by looking at the advantages, limitations, unique qualities and how each limitation may be overcome for each of the ideas (Hipple, 2005). As such, this can assist in prioritising and selecting ideas. Diagramming techniques, such as multiple-cause diagrams, can be a useful tool in identifying and exploring a problem (Open University, 2005). Here the consultant is able to pictorially represent the problem, and the many multiple causes that have led to it. This can be particularly useful when the problem appears initially complex. The format is designed to be easily understood, and focuses on the causes of the problem, as opposed to potentially distracting to other issues. This is fundamentally an arrow diagram, which starts with a definition of the main problem, and with multiple causes, which are then traced backwards. The key question the consultant asks throughout the diagram is ‘so what causes this event/issue?’. For example, the consultant may initially identify the main problem as ‘forensic clients’ failure to attend therapy‘. The question would then be asked, ‘so what causes this?’, and some key causes would be identified, such as clients do not wish to attend therapy, the culture is not supportive of therapy and other initiatives are prioritised over therapy. Each of these causes would then be explored, such as asking the question, ‘So what causes clients not to wish to attend therapy?’ The consultant would work backwards on this, until sufficient exploration and understanding of the problem has been developed. An example of a basic multiple-cause diagram, using the example of the challenges of getting forensic clients to engage in therapy, is presented in Figure 1.1. Such a task can be assisted by the consultant’s knowledge of theoretical frameworks and relevant literature (see, for example, Burrowes & Needs, 2009). Ultimately the role of the consultant is complex, dynamic and fluid. This requires a high level of skill from the consultant, as well as developed knowledge of the area
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Fearful of change No accountability for change
Comfort in the current culture
No sense of urgency for change
A belief that people cannot change e.g. ‘once an offender, always an offender’
Do not see the need for change
Feel they cannot change
Fearful of change Clients do not wish to attend therapy
Desire for ‘quick’ results
Feelings of retribution
Beliefs that punishment is better Culture is not supportive of therapy
Other initiatives are prioritised over therapy
Forensic clients’ failure to attend therapy Figure 1.1 Multiple-cause diagram
of concern presented by the client. The consultant’s ability to respond flexibly to a given situation, without a need to apply the same structure or formula to the problem, is a key consideration. The role of consultancy has many facets, not only the knowledge base and fundamental skills of the consultant, but their ability to develop an effective relationship with their client, whilst further encouraging the exploration of a wide range of areas and issues which may or may not be comfortable or familiar to the client. The use of flexible and adaptive problem-solving abilities is important, as well as a clear consideration that the role of the consultant can change many times throughout the duration of the consultancy work.
Chapter
Two
Key Stages and Factors in the Consultancy Process and Relationship: The Importance of Stakeholders, Organisational Boundaries, Culture and Their Management Carol A. Ireland
Consultancy involves a number of key stages and considerations concerning the wider organisation and external influences. This chapter will begin by exploring the key steps in the consultancy process, applicable to a forensic setting, looking at the generation of options and ensuring commitment from the client organisation. It will explore the initial steps in consultancy, and their importance within a forensic setting. This chapter will also identify the importance of effective stakeholder analysis, making reference to developing an effective understanding in respect of the key stakeholders, their value and interests, with clear links to forensic settings. Greater organisational boundary realisation in the forensic arena will be discussed, as well as a better awareness of an organisation’s culture, along with associated suggestions for analysis and exploration. The chapter will also explore pertinent strategies and their value in initiating change, if required, within a forensic organisation. The key challenges for a consultant when initiating such change are examined, with an exploration of some of the potential traps faced by a consultant when assisting in the clarification and management of an organisational issue in a forensic setting. Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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Key Stages in the Consultancy Process Argyris (1970) postulated a number of key stages in the consultancy process, emphasising the importance of obtaining valid and relevant information (including differentiating fact from opinion), of helping the client and/or organisation to consider a range of available options when considering management or resolution of the problem, as well as the need to ensure commitment from the organisation and its staff. The first steps to consultancy can be for the consultant to consider their role in relation to the client and/or organisation, and to be clear with both themselves and the client as to what they are being asked to do and their consequent role. This will reduce any ambiguity concerning the consultant’s role, and create an awareness of boundaries and limitations. For example, the consultant may be clear that their role is assisting the client in their creative problem solving around an issue, but not in deciding upon the solutions. Secondly, it is necessary to consider the culture of the target organisation or service and the implications of this. The importance of considering the culture is presented later in this chapter: it is also a key consideration in the context of managing challenges within the organisation. It is also important for the consultant to clearly define and diagnose the problem, allowing all relevant individuals to contribute openly as part of this process: if the consultant has been asked to explore what may be preventing forensic clients from entering therapy, failing to discuss issues with the forensic clients would be excluding a significant element of exploration. Additionally, it is important for the consultant to diagnose the problem with care, using a wide range of problem exploration tools which look to explore all potential explanations or potential later solutions to the problem. As part of diagnosing the problem, the consultant should encourage the client to engage in some selfdiagnosis, with the view that the initially reported problem may not indeed be the core issue. Both retaining an open mind and separating fact from assumption are important here. For example, a forensic service may feel that staffing issues within the service may be the result of a lack of qualified staff to undertake posts, while the reality may be that a poor recruitment process has failed to identify suitable applicants. Another key stage in the consultancy process is for the consultant to consider what their relationship is with the client, such as a provider of services, a mentor, a partnership or one of mutual dependence. To be further mindful of the dynamic nature of this relationship, a consultant may be initially requested to take on the role of providing a service, such as key skills and training, which may then develop over time into a relationship more akin to a partnership as the client and/or organisation begin to develop the necessary skills themselves. A forensic organisation may initially recruit trainers to provide training and skills enhancement around risk assessment, but this may then develop into a need for such trainers to develop the staff themselves to become trainers, and for such in-house trainers to develop their own expertise. A fundamental stage in the consultancy role is that of discussing potential solutions with the client. Such discussion of solutions should be collaborative in nature, looking at both the immediate, medium and longer term consequences. A consultant may discourage a client from adopting a short-term measure if there is a risk of more
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negative consequences in the longer term. For example, a client may choose to respond to the immediate needs and pressures in the service by undertaking more individual therapy with forensic clients. Whilst meeting a short-term need, these actions may lead to a longer term, negative impact on staff morale and retention, as staff struggle in the long term to cope with the more substantial workload. In the discussion of solutions, decision making should reside firmly with the client. This ensures that solutions are fully understood and considered by the client, as opposed to simply being accepted with little thought. A client taking responsibility for changes in therapy provision, may, for example, lead them to be more mindful of ethical considerations than would be the case if they simply accepted the solution of the consultant (see Chapter Three, this volume, for an expansion of these themes). Finally, a key stage in consultancy, and one which can sometimes be ignored, is that of the consultant requesting feedback from the client as to the value of their assistance. This helps to ensure that the relationship is a two-way process, and one in which the client plays an active and valuable role. It is helpful for the consultant to focus on the learning achieved by the client in regard to the problem or issue, and how the consultant may have been instrumental in delivering this.
Effective Psychology Consultants It has sometimes been argued that the work of the effective consultant is a developed art which can take many years to progress. Schein (2003) argues that the effective consultant is an individual who is able to build a relationship with the client, before moving on to the finer points of the problem. As such, the detailed issues of relationship building (see Chapter One, this volume) are paramount, in particular the development of trust. The effective consultant is an individual who is able to build such a relationship with the client that can then motivate the client to discuss pertinent aspects of the problem, and to feel safe and comfortable in doing so. An effective consultant is one who can work collaboratively with the client. This gives the client freedom of choice over decisions that are made when dealing with the problem, whilst enabling the consultant and client to continue to work together to manage or resolve the problem. For example, an effective consultant is an individual who can help the client to clarify causal factors surrounding a problem, encouraging the client to consider which issues are most pertinent to the problem without imposing their own construction. The consultant may encourage creative insight in the client by assisting them to generate all possible causes and to then focus on those that appear to have the strongest impact. This can make the client aware of the potential benefits and costs of different solutions and accept responsibility for any choices which are made. A particular strength in the effective psychology consultant is a confidence to not seek out surveys, questionnaires and psychometrics as part of analysing and exploring the problem (Schein, 2003). Such resources should not be used without consideration of their impact or to the exclusion of other approaches. It is important for the consultant to consider them only after a relationship with the client has been established, and only if relevant to the identified issues (Schein, 2003). Critically, the
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consultant needs to discuss measurement options with the client, once the issue has been defined, and to allow the client a collaborative role as part of this. This is not only useful for the client, as they ultimately own the problem, but the client is likely to have a much clearer understanding as to the culture of the organisation, which may impact upon the choice of measurement. For example, some forensic organisations may regard the use of questionnaires as quite impersonal, and a more qualitative approach may provide better detail and collaboration.
Stakeholder Analysis Stakeholders can be defined as ‘any group or individual who can affect or is affected by the achievement of the organisation’s objectives’ (Freeman, 1984). Hitt, Ireland and Hoskisson (2003) argue that stakeholders are those who should have ‘enforceable claims upon the firm’s performance’. Stakeholders can present with differing interests within the organisation, some being more invested than others. An organisation can often spend some considerable time attempting to balance the varying interests of such stakeholders. The power and legitimacy in relation to the organisation of such stakeholders may vary, as well as the level of urgency with which managers and personnel feel they should respond to them. As such, it is imperative that the consultant considers all key stakeholders when discussing and analysing the problem and issues presented, and in particular upon those whom any implementation plan proposed depends on support. This can also include consideration of the interests of the stakeholders in the ongoing exercise that the consultant has been asked to undertake. For example, one stakeholder group in the forensic organisation may have a clear view that they should be fully informed of any consultancy exercises if they are to give their support. Therefore, to not involve this group early in the process may potentially jeopardise the consultancy exercise as a whole. One of the first steps in this process can be to draw a stakeholder map, identifying key stakeholders. An example of this is detailed in Figure 2.1.
Carers (e.g. family members)
Commissioners (funders, government-led) Forensic Psychological Service
Service users (i.e. patients)
HM Prison Service (suppliers to the service) Staff
Other hospitals (suppliers to the service)
Taxpayers
Figure 2.1 Key stakeholders of a forensic psychological service
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Carers (e.g. family
Commissioners (funders, government-led) Interests: release government monies to the service. Needs: see value for money and an effective service, run in a timely fashion.
members) Interests: family members’ needs are being met effectively. Needs: effective treatment and management of treatment needs, no long waiting lists; immediate assistance.
HM Prison Service (suppliers to the service) Interests: ensure public protection. Needs: see a service that meets the risk needs of forensic clients, help to manage their risk
Forensic clients (i.e. patients) Interests: their needs are being met effectively and in a timely fashion, kept in secure services for minimal time needed. Needs: observe effective treatment and management of treatment needs, no long waiting lists, immediate assistance and support, a clear care pathway of treatment.
Psychological Services
Other hospitals (suppliers to the service) Interests: ensure safety and well-being of service user and public safety. Needs: see a service that meets the needs of the clients (manage risk and promote well-being). Taxpayers Interests: see monies being used effectively and efficiently, to protect the public from harm. Needs: feel public protection and risk from harm is managed appropriately.
Staff Interests: personal development is maintained and a clear job security. Needs: feel their job is secure and they are making a difference in assisting clients in their care.
Figure 2.2 Interests/needs of key stakeholders in relation to a forensic psychological service
Following on from this, it is also important for a consultant to consider the interests and needs of these key stakeholders in the organisation or service. Considering the same forensic psychological service indicated in Figure 2.1, the proposed interests of each of the above stakeholders are detailed, in brief, in Figure 2.2. Whilst the initial steps for the consultant are to identify the key stakeholders, their needs and interests, there is still a requirement to be mindful of further considerations. Winstanley, Sorabji and Dawson (1995) argued for the importance of considering stakeholders in terms of their power to define the goals, aims and purpose of the
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organisation, as well as their ability to determine how the service is offered by the allocation of the appropriate resources. Agle, Mitchell and Sonnenfeld (1999) highlighted the salience of a stakeholder’s claims, addressing the question of ‘who or what really counts’; while there can be a range of stakeholders who have varying interests in the organisation, it is important to consider these with regard to their power, legitimacy and urgency. Power refers to a stakeholder’s ability to have a direct impact upon the forensic service or organisation, with a strong ability to influence the decisions made: patients within a forensic service can potentially present with a strong and powerful presence. Legitimacy would refer to any legal or moral influence over the organisation, with urgency referring to the forensic service or organisation’s need to satisfy the stakeholders’ claims or to respond to their demands: within a forensic service, the staff can be considered a key stakeholder. As such, they could be considered to have a strong influence over the organisation, with clear legitimacy, where they can expect their claims over an organisation to be given priority and consequent urgency. By contrast, a separate forensic organisation may have an interest in the progress of another forensic organisation, but have little power, legitimacy or influence over it. Similarly, a government may be considered to possess clear power over a forensic service it manages, but has little urgent claim and minimal involvement; however, management still need to be aware of its presence. Consideration of the varied stakeholders may well lead the consultant to consider carefully the client with whom they are interacting. This would include whether the client is their only client, or are there several clients, and if so, what considerations need to be made when examining and addressing the issue or problem. Supporting a client in considering various options, without considering the wider stakeholders who also have a vested interest in the outcome, can potentially lead to difficulties when attempting to implement the suggested solution. For example, if the client is considering how to best meet the needs of recipients of services, it is important to also consider any proposed solutions in the light of the needs of staff who may be instrumental in implementing the proposed changes. If a proposed solution to meeting care needs is to change the attendance patterns of staff, such solutions could not be considered without engaging collaboratively with staff and their representative associations on the issue. When exploring such issues Cockman, Evans and Reynolds (1992) emphasised three considerations: those who know, those who care and those who can. ‘Those who know’ are likely to be individuals who are aware of the problem or issue at hand, or who may be able to locate the relevant resources. ‘Those who care’ include those who may be suffering or at a disadvantage as a result of the problem or issue. ‘Those who can’ include individuals or groupings that are in a position to do something about the problem or issue. An effective consultant needs to be mindful of and listen to all three groups.
Organisational Boundaries The boundaries of an organisation may be considered in terms of those which an organisation has direct influence over, some influence over, or can simply respond to. The internal organisational boundaries, such as staff and operational systems, can be
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regarded as those which an organisation has a direct influence over. The near environment, such as competitors, are those that the organisation has some but not total influence over. The far environment, such as environmental and political factors, are those which the organisation can simply respond to. For example, in a forensic setting the internal boundaries may be the staff that work there and their job expectations. The near environment may be their competitors, such as private prisons in relation to HM Prison Service. The far environment may be government legislation which a forensic service has no influence over, but is required to respond to, such as changes in the Mental Health Act. An effective consultant is able to examine and consider these factors, exploring the potential, immediate and future implications of such factors on the presenting problem or issue. To omit exploration of such factors may potentially omit key aspects, leading to the problem or issue being considered in isolation. In a government-funded forensic service, for example, a proposed solution to a problem involving increasing staffing and resources by bidding for additional monies may be impacted upon by a downturn in the country’s economy. This could lead to a greater risk of redundancies as opposed to increasing employment. It is important for the consultant to consider these issues when encouraging a client to consider possible solutions and their consequences, both within the immediate organisation and external to the organisation. Importantly, a forensic service may be able to exert control over factors that are internal within it, such as decisions relating to how therapeutic approaches are developed. It may have some influence over its nearer external environmental factors, such as the decision to choose which researcher to collaborate with regard to forensic research. Yet, its only choice in relation to external factors, such as government-led political or environmental decisions that consequently impact upon the focus of the forensic organisation or service direction, may be to respond or react. It is useful to analyse the near external factors the service has some influence over using Porter’s five forces, first published in 1980, and still in current use (Porter, 1980). This aims to explore the competitive environment of an organisation and how this may influence the organisation when dealing with issues, and concurrently how the organisation may choose to place itself against its competitors. Whilst originally designed with regard to competition, it has many more applications, such as increasing awareness as to how the industry may be changing, and how an organisation needs to best respond to change. The five forces are: new entrants; substitute products; customers; suppliers; and competitors. New entrants to an industry need to be analysed in order to determine the level of threat they may or may not pose. Substitute products are what the customer can use instead of the organisation’s product or service. Customers relate to their bargaining power to seek the best service or product, as well as their number and strength. Suppliers may limit the ability to gain supplies or services at a low cost, while competitors may achieve successful marketing, such as through the use of effective research. A simplified example of how this may be modified and applied to an NHS forensic service is presented in brief in Figure 2.3. Alongside this, the consultant should consider whether the forensic organisation or service is ‘fit for purpose’ and able to respond appropriately to the challenges, opportunities and risks posed by the far environmental factors, which in turn may have a further potential influence on the problem or issue raised. An effective
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New/Private hospitals developing and specialising – looking for a competitive edge (some profit, some value for money) Threat of new entrants
Prison (private/public), community Bargaining power of suppliers
Forensic psychological services NHS Limited competition within the industry (although increasing) Industry structure
Commissioners (want effective services and value for money) Bargaining power of customers
Community treatment, other hospitals offering out-patient forensic treatment. Also some charities offering treatment/services Threat of substitute products or services
Figure 2.3 Porter’s (1980) five forces relating to a forensic service
exploratory approach for the consultant here is the STEEP analysis (Mullins, 2005), which can help to identify far external environmental factors (including events or trends) that may impact upon the ability of the forensic organisation or service to reach its mission and vision, focusing on Sociological, Technological, Economic, Environmental and Political factors. For the purpose of this chapter, an example STEEP analysis will be presented in brief, and in relation to a forensic psychological service.
Proposed STEEP analysis relevant to a forensic psychological service Sociological factors
•
Individuals may have to work until 68 or 70 years of age. This will require management of an ageing staff resource. This may lead to a re-examination of
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• • •
25
issues of diversity and equality, including policy in relation to potential hazards such as all staff being required to restrain violent forensic clients. There could be a risk of redundancies in an unstable economy; leading to uncertainty and instability for staff and the organisation. There may be an increased desire for individuals to work flexible hours, and the need for the organisation to respond to this. Availability of a younger population may be in decline. Also, expensive university fees are now met largely by students. This may cause a reduction in psychology graduates, leading to future recruitment difficulties.
Technological factors
• • •
There may not be a much greater opportunity to recruit psychological staff from abroad (e.g. using the World Wide Web). The greater use of teleconferencing and emails may mean that professional groupings from abroad can be collaboratively involved in forensic therapy and service development. Some psychometric testing is now becoming computer based only. Therefore, there is a greater need for forensic services to be responsive to this.
Economic factors
• •
The further development of forensic services is likely to be dependent upon the monies received from the government. Limited economical flexibility may mean that development plans are on hold, leading to services not being offered and remaining staff being overworked to meet patient need. This may lead to potential staff ‘burn-out’ and consequent resignations. Consideration may be placed on more economical methods of communication with other organisations (e.g. teleconferencing as opposed to travelling to meetings).
Environmental factors
• • •
There may be a greater requirement to manage effectively/reduce waste products, and in collaboration with staff, e.g. recycling paper, storing all documentation electronically. There may be public audits of waste management, leading to monitoring and league tables. Stakeholders may require more service effectiveness regarding environmental factors e.g. effective use of available space.
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Political factors
• • •
Offender punishment approaches may be prioritised. This could lead to a decrease in the monies provided for rehabilitation, reducing the requirement for psychological staff. There may be a greater enforcement of Workplace Health and Safety Guidelines. Due to European requirements, it is important to ensure working hours and pay are kept within legislative requirements. For example, currently in the United Kingdom, an employee cannot be expected to work more than 48 hours in any seven-day period.
Culture The culture of an organisation can be considered as: ‘The way we do things around here’ (Deal & Kennedy, 1982). As such, it can be the social ‘glue’ that holds an organisation together (Smircich, 1983). Culture can be regarded as a set of beliefs, values, ideas, experiences and the processes by which they are interpreted (Bohannan, 1995), with an organisation acting on the basis of its beliefs (Korte & Chermack, 2007). Arguably, when an individual acts at work, they are often responding to the norms, beliefs and values of the organisation (Korte & Chermack, 2007). Consequently, and for a consultant to be effective, it is imperative that the culture of the organisation is taken in to consideration when exploring the presenting problem or issues. For example, the consultant may wish to consider whether the culture is one which is trusting and open, or one where there is an emphasis on blame. This is an important consideration, as it may assist the consultant in addressing the presenting issue. It may also explain the preferred management approach of the organisation to the problem, which may actually work to reduce the effective management of the presenting issue. For example, if the forensic service is one where staff feel they have little autonomy and control, then the consultant may need to consider how information is gathered, any potential motivations behind information received, and how best to engage staff in the process of analysing the problem to maximise the information received. The culture of an organisation can often be intangible and difficult to quantify, and as such a reliance by the consultant on the use of psychometrics may be unhelpful. There are many considerations relating to the culture of an organisation, and culture can become an important consideration when the organisation is required to change. If a forensic service is encouraged by the wider organisation to consider changes to its current practice, the service may present with hesitation as a result of anxieties about the unknown and a fear of change, which may originate from earlier occasions where the service has felt vulnerable and exposed. Whilst an organisation’s culture can be difficult to identify and quantify, there are a number of approaches to assist the consultant to consider the culture in more detail. The cultural web (Johnson & Scholes, 1992) provides such an approach for examining and looking at changing
KEY STAGES AND FACTORS IN CONSULTANCY
Stories
Rituals and routines
Symbols
PARADIGM
Control systems
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Power structures
Organisational structures
Figure 2.4 The cultural web (Johnson & Scholes, 1992)
an organisation’s culture. Use of the cultural web can play a key role in formulating any strategy towards managing a problem or issue, and to assist the organisation in managing change. The cultural web identifies six elements, all of which are interrelated, and assist in the make-up of the ‘paradigm’, which is fundamentally how the organisation defines itself, and the assumptions made about the organisation which are held in common and taken for granted within the organisation. These six elements are stories, rituals and routines, symbols, organisational structure, control systems and power structure. Each of these will be discussed in turn. A diagram as to how the cultural web is presented is detailed in Figure 2.4. The stories involve any past events or individuals which are discussed, both within and outside of the organisation. The stories that an organisation chooses to immortalise can offer a great deal of information to the consultant as to what the organisation values and perceives as appropriate behaviour. For example, a secure forensic service that may have undergone a major service review may choose to define itself by the issues that led to this review, such as any adverse incidents or near misses relating to inappropriate behaviours. Such stories may be used to legitimise certain behaviours, or certain stories may be based more in myth than fact, but nonetheless help to define the organisation. Often a consultant can explore these stories by examining what new members of staff may be told when they enquire as to the organisation, or what staff may seek to inform them of. The rituals and routines include the daily behaviours of individuals within the organisation. Such behaviours can include how individuals relate towards one another, such as referring to senior members of staff by their title as opposed to first names, or regular engagement in debriefing sessions at the end of therapy groups. The symbols of the organisation are how it defines itself to staff and those externally, such as the use of company logos and a formal dress code – the wearing of uniforms. The symbols represent the nature of the organisation, such as a preference for open plan offices and social communication as opposed to segregated teams.
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Symbolic Regards ALL as ‘fellow workers’
Organisational structures
(all working together – almost like a family, all in partnership)
Entrepreneurial, encourages innovation and autonomy. Staff retained through effective pay plan
Power structures
Control systems Financial reward for doing job well and bonuses for good services (e.g. meeting targets). Staff have to correct mistakes to the service (e.g. potential not to receive monetary bonus if they fail to correct mistakes)
Built on TRUST for all
PARADIGM: ‘The rehabilitation leaders’
Stories Stands by beliefs. ‘Loudest voice wins’
Routines and rituals
Figure 2.5 Applying the cultural web to a forensic organisation
The organisational structure includes the power structures within the organisation, as well as the key internal relationships which emphasise what is important in the organisation. For example, within a forensic service, psychiatry may be regarded as having a powerful influence over the organisation. The control systems emphasise the manner in which the organisation is controlled, such as financial and reward systems that focus upon the activities to which the organisation values as important. Power structures are the final essential element in the cultural web. Here the focus is on those individuals or managerial groupings that have the greatest influence over the decisions, operations and strategic direction of the organisation. Such individuals or managerial groupings are likely to be those who most strongly support the organisation’s existing key values and beliefs. The application of the cultural web to a forensic service is presented in Figure 2.5, with the larger circles depicting those felt to be key and powerful factors in the organisation’s culture. The use of the cultural web by a consultant can be an effective tool when determining the impact of an organisation’s culture on the presenting issues, whether the current issue requires a cultural shift, and how this may then take place. As such, it is important for the consultant to consider the organisational culture as it is at present,
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in what way the organisation would like the culture to change, why and how this should look. The consultant should then look to explore the differences between the two, along with the actual need to change all or only particular aspects of the culture. When considering issues around the stories of the organisation, the consultant may wish to consider those stories that individuals currently state about the organisation, what these stories tell the consultant about what the organisation believes in, and what staff discuss when they think of the history of the organisation. When exploring rituals and routines, the consultant may wish to explore the expectations of clients when they enter the forensic services, the expectations of staff, what rules are applied to solve a new problem, and the core beliefs the rituals and routines might represent. When exploring the use of symbols, the consultant may wish to explore any jargon/branding/labelling that may be used by the organisation, as well as the image it portrays to a variety of its key stakeholders. The organisational structure can include whether it is a formal or informal structure, bureaucratic or more fluid, or where there is a clear degree of hierarchy. When exploring the control systems, a consultant may wish to examine the processes or procedures which present with the most influence, if there is too much autonomy within the organisation or too much control of staff. Issues around power structures are of equal importance for the consultant, with a need to examine which individuals or professional groupings present with the most power and influence over the organisation, and how such power has been used.
Promoting Change in the Organisation Promoting change within an organisation can be a complex task, which requires a significant level of consideration. Changes in the organisation can be achieved superficially, where change is often met simply through compliance, with the motivation generally of an extrinsic and short-lived nature (Korte & Chermack, 2007). As an illustration, a forensic service may impose a radical change to the way its services are delivered, and may fail to involve and collaborate with staff in this respect. In such circumstances, staff may respond with apathy or frustration, feeling that a sense of autonomy and control over their choices have been lost. Preferably there should be a deeper change, where attempts may be made to modify and change the underlying core beliefs of an organisation and its members. Assisting in the modification of a culture as part of a revised strategic direction is invariably a difficult task, in which the consultant may meet with apathy or resistance if the process is not managed correctly: this can lead to inertia or at worst non-cooperation. When promoting change in an organisation, careful management is essential. Incremental change over a long period of time can be a helpful part of this. Kim and Mauborgne (2005) suggested that consideration of the change process should include scrutiny of the hurdles that may block change. They term this ‘tipping point leadership’. Within this approach significant investments in time and resources are not required, but rather a focus on key aspects that can begin the process of change more readily, such as key individuals who present with the most influence. This approach identifies four main barriers, or hurdles, to promoting change within an organisation:
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cognitive hurdles; resource hurdles; motivational hurdles; and political hurdles. In relation to the cognitive hurdle an organisation or service may struggle to see the value of change. This can be represented by the need for a forensic service to modify its rehabilitation methods in line with new approaches. In order to ‘tip’ this hurdle to promote and encourage change, it can be useful to allow individuals to see and experience the harsh reality of the situation for themselves, such as coming face to face with the worst problems. The key for tipping this hurdle is to encourage staff to see and experience the area of concern for themselves. For example, if the quality of the canteen food for forensic clients is believed to be of poor quality, and staff struggle to recognise this, then suggesting that staff eat from the clients’ canteen for a week can be a useful strategy. This may not necessarily be with regard to all staff, but key staff who present with a degree of influence. This may also be applied to a forensic ward or wing environment where staff may report dissatisfaction with the operational dayto-day running of the ward. Key staff spending a period of time in the environment and experiencing the difficulties first hand can again be a useful approach. Similarly, if the available therapy space is felt to be non-conducive to therapy, key staff may be encouraged to spend time in the therapy space to experience the difficulties first hand. Outside of forensic services this approach has been used: on American subways, where passengers have complained about the quality of the service, key staff were requested to spend approximately two days on the subway, to experience the difficulties for themselves. The second hurdle is that of resources. Here the focus is on achieving change with only a limited resource. This hurdle recognises that limited resources may constrain change. It further recognises that, in order to achieve change, too great a focus on ascertaining resources, which can be a lengthy process, can lose the momentum needed in the change process. This hurdle focuses on key resource issues that will bring about the most change, maximising resources, with the rationale of focusing on those areas most in need of change, and where the largest possible pay-offs are likely. For example, if a forensic service is experiencing a range of complaints about its service, it may focus on those complaints initially that can be resolved the quickest and reduce the number of complaints more rapidly. Kim and Mauborgne (2005) refer to this as identifying ‘hot spots’, ‘cold spots’ and ‘horse trading’. Hot spots are activities that have the least resource implication, but the highest potential for gain: when attempting to bring about change to the manner in which a service produces its assessment reports on forensic clients, the most cost-effective approach may be to seek the support of the head of this service, who has the power to implement change quickly. Cold spots refer to activities that have high resource implications, but a low potential for gain: if a forensic service is looking to implement a new therapeutic approach over an older, well-developed initiative, it may identify an approach which is costly to train therapists in, expensive to run, and has only a small number of forensic clients able to undertake and complete the therapy within a 12-month period. Horse trading refers to the combining of forces between organisations or services to maximise the output: the organisation may value the implementation of sex offender therapies, but the psychological service staff may have little in the way of therapists to cover the need. Nursing staff may have a requirement to deliver therapy, and as such, combining both nursing staff and psychological staff may meet this need.
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The motivational hurdle aims to motivate all staff as quickly and as effectively as possible into changing the area of importance. The importance of this is to consider methods by which this can be done rapidly and at low resource cost. Kim and Mauborgne (2005) refer to this as ‘kingpins’, ‘fishbowl management’ and ‘atomisation’. ‘Kingpins’ are those individuals who are key influencers within the organisation, and who may not necessarily be management: such individuals may be represented by the staff associations or staff who are greatly respected by their peers, and considered to be persuasive. The aim for the consultant is to identify such individuals, to focus on motivating them as to the importance of change, and to encourage them to then motivate their staff or peers. ‘Fishbowl management’ is considered the next stage in the process, where the work of this ‘kingpin’ is highlighted and placed in high profile, making them visible to others:, if a service is looking to develop its group therapies, but staff generally find this difficult, preferring a more individual approach, then identifying a ‘kingpin’ within the team, a respected and persuasive individual, is critical. It could then be advertised in a variety of ways, such as through newsletters and interactive presentations, where this individual actively promotes the use of group therapies. A key aspect in this ‘fishbowl’ approach is transparency to all. Atomisation relates to the manner in which the change is framed to the organisation. It can be important in such circumstances for staff to feel that change is attainable, such as the use of sub-goals. A need for a forensic service to change its focus on rehabilitation could be presented as potentially a innovative and creative approach, where the service could be seen to lead the way for other forensic services. As such, clear, manageable steps to achieve this goal could be identified. The final hurdle is the political one. Here the focus is on those key stakeholders who may have a vested interest in the proposed change, and who may be supportive of the change, or actually pose barriers to it. Indeed, the closer towards completing change an organisation gets, the fiercer the opposition to this may be. A suggested management approach for this is that the consultant, early on, needs to identify key political issues which stakeholders can relate to. Once this task has been completed, locating a key individual within the stakeholder grouping, who can be motivated to see the need for change, can be a helpful approach. It is important for such a key individual to be respected and assertive within their stakeholder group, and to present with a level of power and legitimacy within this. A further useful approach for a consultant is to identify early in the process those individuals who are likely to support the change. Using stakeholder salience, outlined earlier in this chapter, each of these key individuals can be mapped in terms of their level of power, legitimacy and urgency with which the organisation feels a need to respond. Once these individuals are identified, a consultant may then suggest the effective management of these stakeholders. For example, within a forensic service, it may be noted that a key member of staff, who is respected by others, may play a key role in quietly creating dissent within the team regarding a proposed change. If such an individual presents with power and influence within the team, then a focus on such an individual, to motivate them as to the need of change, and the clear justification for this, may be crucial. The four hurdles are useful considerations for the management of proposed change in an organisation, and ones which a consultant can make effective use of. Fundamentally, Kim and Mauborgne (2003) refer to these as breaking through the
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cognitive hurdle, sidestepping the resource hurdle, jumping the motivational hurdle and knocking over the political hurdle.
Traps in the Consultancy Process There are a wide range of traps within the consultancy process. Schein (2003) identifies a range of traps, the first of these being a difficulty with the consultant in regarding consultancy as a form of intervention (Schein, 2003). The trap here can be an assumption by the consultant that good intervention is based on good diagnosis, and that good diagnosis must always be scientifically valid (Schein, 2003). Whilst there can always be efforts to seek scientific validation, this is not always entirely possible when attempting to address a complex, fluid and dynamic problem within an organisation. One of the traps for the consultant here is a reliance on psychometric tools which are valid, standardised and reliable. Whilst not necessarily a problem in itself, there is the potential risk that a consultant may look for standardised measures whilst overlooking the potential impact of such measures from the client perspective. Similarly, the organisation may not be motivated to be open and honest with the consultant when completing such measures. It may, as a result, offload years of grievances, or inform the consultant as to what the organisation feels is in its own best interests. This may skew outcome psychometric data and lead to the wrong solution (Schein, 2003). Ultimately, the culture of the organisation may affect the information received. Further, the consultant may use such measures to gather information, but may not always be prepared for the responses received. For example, the questions asked by the consultant may be intended to start a dialogue, but may actually prompt disclosure of long-term difficulties and trigger conflicts that the consultant has not prepared for, in an organisation they may not have fully understood. The use of such measures may build a role for the consultant that they do not really wish to undertake, leading to client dependency. For example, the use of large numbers of psychometrics may lead a forensic service to regard the presenting problem as complex and hard to understand, leading to a preference for the consultant to always be called upon in times of uncertainty. Further examples of this trap, where a consultant assumes that good intervention should be based on good diagnosis, and that good diagnosis must be scientifically valid, could potentially be found in a variety of forensic settings. A psychologist may work in a local prison, and they are told by a senior manager (John Smith) in another prison, where the psychologist has never worked, that there is conflict within the psychology team. Further, that John Smith is of the view that it is due to professional differences, and that people do not seem to respect all disciplines of psychology (e.g. occupational, counselling, forensic). The psychologist has been asked as a consultant to speak to the psychology team, and to determine the nature of the conflict. As such, the psychologist talks to each member of John’s staff and asks them to identify the root of the conflict. There are a number of potential traps the psychologist as a consultant may encounter. Firstly, the consultant may be unclear as to who their client is. John Smith may well have approached the psychologist as the consult-
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ant, but the consultant’s client may also be the other staff and wider organisation. Further, the consultant may assume that John Smith’s assumptions are correct, and focus solely on conflict, asking the team about conflict, when indeed no conflict may exist, but simply a perception of conflict. The conflict or perceived conflict may be caused by issues other than John’s proposal, such as being more related to senior management issues. The consultant may fail to ask John for the evidence to support his assumptions, assuming his view to be correct. As a result, and ultimately, the consultant may look for evidence to support the hypothesis of conflict and its reasons, rather than refute it. The consultant may further assume that she understands the culture of the organisation, wrongly believing that cultures within prison establishments are identical. The consultant may also assume that the information received by staff is correct, when there may be a variety of motivations for such information provided. More senior management may wish to reinforce a perception of conflict by inviting a consultant to explore issues, with the implication that the need to utilise the skills of a consultant highlights that the issue is substantial and one which the organisation feels unable to manage on its own. As such, the consultant’s presence is largely symbolic as opposed to there being a real need for the organisation to seek guidance. The second trap for the consultant can be the assumption that the client is an individual rather than a set of interconnected individuals and groups who make up a cultural unit (Schein, 2003). As such, the consultant may wrongly assume that no one is affected by the problem other than the client, and may wrongly regard the problem as simple and straightforward. A failure to explore the broader view of the situation and context of the problem follows on to the next trap. Here, the client reports that they wish to change the culture of the organisation, and the consultant assumes that the client knows what the culture is and what it does. Worse still, the consultant assumes that they know what the culture is and what it does. Culture, as previously discussed, is a powerful and complex area, which can be very challenging to understand and change. Making efforts to change the culture may not solve or manage the problem. If it is felt important to change or modify the culture, then all key stakeholders need to be involved as part of this. One of the most substantial potential traps for the consultant is an assumption that they have and should use a standard method of working based on sound theory and past history of success. Whilst as consultant they may use a framework of how to work through the issues presented, this is only a framework. Improvisation and a dynamic approach are key factors to success, with the view that previous methods of working through the issues may not necessarily apply from one situation to the next. As such, a consultant needs to be flexible. A consultant may fall into the trap of assuming that as a previous method worked well, it may work equally well in the current situation. Whilst there is the potential this may be the case, equally it may not. As such, it is further important for the consultant to consider the need to address each problem with an open mind in regard to the presenting issues and proposed methods of analysis and later management. For illustration, a consultant may have worked previously in a forensic service where members responded particularly well to working with diagrams, illustrations and a very flexible approach to exploring the problem.
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Such an approach may not fit all organisations, with some preferring a greater sense of structure and clear planning. This chapter has highlighted the complexity for the consultant when considering the presenting issue or problem, with some suggestions as to how to manage a range of areas, both the environmental influences and challenges within the organisation itself. It is not possible to fully explore all potential factors and influences to a problem or issue, and neither is it possible to explore all possible methods by which to assist the consultant in this process. Nonetheless, it is ultimately important for the consultant to be continually aware of their own direct or indirect influence on the presenting issue or problem, as well as the greater influences within and external to the organisation.
Chapter
Three
Theoretically Driven Training and Consultancy: From Design to Evaluation David Vickers, Eliza Morgan and Alice Moore
This chapter will begin by exploring the linkage between training and consultancy before briefly examining the historical context of training and some of the terminology used in human resource development (HRD) before moving on to consider whether training can ever be strategic. Consideration of key areas of learning theory from three perspectives – behavioural, cognitive and social – will then follow. These perspectives are important considerations when developing training as part of forensic practice. The chapter will then focus upon the relationship between these theoretical models of learning and their application in a forensic training setting. In particular we will consider the theoretical underpinnings that may inform the development of training interventions. How individuals may engage in surface, strategic and deep learning and how the organisation may support the learning and development of its staff will be significant aspects of this theoretical examination. The cycle of training interventions that encompasses the assessment of organisational, job and individual training needs, through the planning of successful training interventions, their delivering and evaluation will be given brief consideration. However, this will be explored in more detail in Chapter Eleven of this volume where the training cycle is related to a specific practical forensic example. Training interventions are only part of a consultant’s armoury. However, the theoretical underpinnings of training are at worst neglected or at best known only anecdotally (e.g. conditioning theory is about dogs, bells and saliva!). Instead we have Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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‘one-size-fits-all’ or ‘off-the-shelf ’ provision which fails to identify and tackle the real underlying individual or organisational needs. Sturdy (2002, p.130) conducted research into the role of customer service consultants, and claims that training is a ‘largely neglected part of the process through which … knowledge is disseminated and produced’. He argues that this process of diffusion is far from linear in nature. Knowledge recipients have a view on the knowledge being received, trainers put their own interpretation on the knowledge, the process of delivery itself impacts on the knowledge as do the politics and interpersonal relationships surrounding the training intervention. Consultants need a greater awareness of the theoretical underpinnings of training and development if they are to identify, design and deliver effective training interventions. It is with trepidation that we approach writing a theoretical chapter on training given that there is a general lack of theoretical consensus and critical depth in the area. As Robertson (1990, p.117) points out this is ‘because of commercial pressures, inadequate research funding and a lack of detailed scientific research, the training and development field is still replete with examples of faddish and poorly conceptualised training techniques’. To understand this problem we will first consider the historical context of training and then the economic and strategic arguments for and against training. Finally, an exploration of the theoretical concepts that inform training and development will be explored in more detail.
The Historic Context of Training In the UK training predates the industrial revolution with timeserving qualification for craftsmen enshrined in law in the 1563 Statute of Artificers (CIPD, 2007a). However, large-scale training of the British workforce began as the industrial revolution brought with it larger workforces. For this predominantly low-skilled manufacturing workforce to operate effectively, employers engaged in training to enhance productivity. Beyond this basic training was a system of apprenticeship where an experienced craftsman trained young employees on the job. However, training for these employees tended to cease after the time-served apprenticeship period ended. Another major change in training occurred post World War II (1945). The combination of technological advancement, the professionalisation of management and increased central government intervention in order to increase productivity and hence international trade led to greater sophistication of training techniques and increased use of the term ‘development’. Over the past six decades, training and development techniques have continued to grow in sophistication. As the UK economy has moved away from manufacturing and to a service base, different skills and knowledge have been required of the workforce. The increasing professionalism of management has resulted in many managers attaining degrees or professional qualifications and it is not uncommon for non-managerial staff to be educated to a similar level. Government interventions have been partly responsible for changes in training and development and have largely been driven by a need to improve productivity and the balance of payments (i.e. UK export profit minus import cost) through international competitiveness. There is no intention to debate the wide range of government
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schemes, policies, agencies and initiatives for which the reader is referred elsewhere (see Harrison, 2005; Grugulis, 2006; CIPD, 2007a; Reid, Barrington & Brown, 2007). The general trends of government intervention have been in the areas of enforcement, financial incentives and encouragement by agencies or through accreditation schemes. Governments in the period from 1960 to 1980 attempted enforcement through such mechanisms as industry training boards. Here there were enforced levies on training and minimum-training standards required of employers. From the 1970s until the 1990s employers tended to be encouraged to train and were occasionally given financial incentives in the form of grants or part-funded youth labour. Since the 1980s governments have attempted to encourage employers through agencies (e.g. Regional Economic Development Agencies and Scottish Enterprise) or through government-backed accreditation schemes (e.g. Investors in People). Agencies have offered funding for business development in socially and economically deprived areas or for expansion. However, these funds have often had conditions attached to them. Accreditation schemes have tended to set a basic standard for businesses to achieve and at worst result in plaques on the wall and logos on letterheads. For example, such a criticism has been levelled at Investors in People (see www. investorsinpeople.co.uk for further explanation of IiP). Successive governments, regardless of their political position, have sought to improve the human capital of the UK in order that the country remains competitive against other OECD (Organisation for Economic Cooperation and Development) countries. Consultants conducting training need to ensure they maintain an up-to-date knowledge of the latest initiatives as there may be funds or other support available to their client which could reduce the financial burden on them or allow for a larger training intervention to be undertaken. The latest of the government’s interventions is the Leitch report (2006), which recommended a ‘pledge’ by employers to train employees to gain basic skills, as well as an additional extension to the ‘Train to Gain’ initiative which enables employers to use a skills broker to find affordable training and some funding towards it. However, the Chartered Institute of Personnel and Development (CIPD) (2008, p.4) found that only 39% of employers felt their learning and development activity had been influenced by the Leitch report. Government initiatives such as these (e.g. Leitch, IiP) tend to be either hindered by lack of employer take up or applied mechanistically in order to receive funding or a plaque on the wall.
Training, Learning and Development The terms training, learning and development are often used interchangeably. Before using these terms in the remainder of this chapter it is of use to define them further. Reid et al. (1992, p.7) suggest, ‘education gives the general basis for living, and that training modifies and directs one’s abilities towards a particular activity or activities’ (italics added for emphasis). What this suggests is that education systems provide a set of guiding principles whereas training is about taking such guiding principles along with an individual’s skills and abilities and focusing them in a specific direction. This view may well hold relatively true if we are talking about education at the
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primary and secondary level; however, when we are talking about adult learners at further education colleges or at university, there are a whole new set of dynamics at play. At the tertiary level hopefully education is drawing on cognitive and social abilities and goes beyond the rote learning of much of behavioural learning in early education. In essence adult learners need to go beyond memorising towards understanding and the ability to demonstrate. For example, if forensic professionals are trained with regard to awareness around suicide in forensic populations, their learning needs to extend from simply repeating key learning points to an active application of learning. This would include clear evidence of application into the day-to-day environment. Rather than giving a ‘general basis for living’ adults should be able to determine how they want to live and to critically assess why others live the way they do. To be fair to Reid et al. (1992) their definition of learning is perhaps more akin to what we outline as the purpose of tertiary education. Reid et al. (1992, p.7) argue that learning is ‘achieved by creating conditions in which the necessary attitudes, skill and knowledge can be effectively acquired by a learner who, as a result, becomes relatively confident of his or her abilities to apply them’. The classic definition of training was provided by the now defunct Manpower Services Commission (MSC, 1981) who described training as a ‘planned process to modify attitude, knowledge or skill behaviour through learning experience to achieve effective performance in an activity or range of activities. Its purpose in the work situation is to develop the abilities of the individual and to satisfy the current and future needs of the organisation’. Buckley and Caple (2000) later adapted this by suggesting that training was to enable individuals to ‘perform adequately a given task or job’. Training therefore is a planned, targeted activity, which focuses on a specific vocational skill or topic that is primarily for the benefit of the organisation through an improvement in the performance of human capital. However, unlike other forms of capital – humans can leave the organisation and take their new-found skills with them at a time of their own choosing. All of these terms have now been superseded, at least within the Chartered Institute of Personnel and Development, by the phrase ‘learning and development’ and training professionals in the UK have now repositioned themselves as ‘Human Resource Developers’. ‘Learning and development’ aims to denote ‘an organisational process to aid the development of knowledge and the achievement of organisational and individual goals. It involves the collaborative stimulation and facilitation of learning and development processes, initiatives and relationships in ways that respect and build on human diversity in the workplace’ (Harrison, 2005). Employee development is more of a macro process of organising training and learning. It ‘involves the planning and management of people’s learning … with the aim of making the learning process more effective, increasingly efficient, properly directed and therefore useful’ (Reid et al., 1992, p.7). Training therefore appears to be targeted at a specific organisational requirement whereas education and learning are much broader concepts and consequently much harder to define. We will shortly consider definitions and theories of learning; however, before we do so we will consider whether the repositioning of trainers as human resource development professionals and the resurrection of human capital theory and performance management has had any strategic impact.
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Do Training, Learning and Development Add Value to the Organisation? Practitioners contest the value that training, learning and development add to an organisation. It is debatable whether Human Resource Development (HRD) and training can ever be strategic. Whilst most employers and employees view the concept of training positively, the focus of UK businesses tends to be cost driven. Grugulis (2006) identifies a consensus of positive survey results that report favourable attitudes towards training and development from government, employers and individuals (Elias, McKnight & Kinshott, 1999; CEML, 2002; DfES, 2004a, 2004b). Yet during recession, training and funding for part-time study tend to be among the earliest of cost reductions. This indicates reactivity rules the day rather than a longer term strategic view of training. However, even during healthier economic times the UK tends to train staff much less than many other OECD countries. For example, the Work Foundation found that on average an employee in the UK spends 99.5 hours (around 13 days) a year on training. This is some 35 hours (around five days) below the OECD average (Westwood, 2001). The CIPD (2008) found that the average number of training days was much less, varying from between five and six days dependent on organisation size. Westwood (2001, p.7) suggests that ‘[UK] firms have a persistent low skills mindset. Under-investment and under-participation in workforce development is the primary cause of low productivity’. The Workplace Employment Relations Survey (WERS) (Kersley et al., 2004) shows an increase in employers offering off-job training from 73% in 1998 to 84% in 2004. However, the WERS survey also shows that 23% of employees are dissatisfied with the quality of their job training. Perhaps this dissatisfaction is justified if training is what Westwood (2001, p.10) calls ‘McJob’ training – that is, preparing employees for low-skill work and high productivity. This is perhaps consistent with the point Grugulis (2006, p.5) makes, in that the Labour Force Survey (2005) suggests that there is a tendency towards shorter courses: ‘Clearly, duration is not a proxy for quality, but it is unlikely that fundamental changes to the skills base can be achieved when programmes are short’. Whilst many would argue that training is essential to the maintenance of an effective organisation, the development of a training profession and training for individuals, the short-term view of training tends to imply that training is at best operational rather than strategic. This view is supported by several authors (Keep & Mayhew, 1999; Wensley, 1999) who argue that training is a long way down the strategic pecking order after decisions have been made on products, marketing and sales, and organisation and job design. For example, forensic organisations are not immune to decisions to allow only mandatory training at times of financial pressure. There is a tendency to assume that training is a worthwhile route for a business to take and that there will be a return on investment. However, this is too simple an economic model. There is a range of strategic issues that make the decision to spend on training a much more complex one. Firstly, it may well be possible to demonstrate a return is possible on a training investment but there are demands from elsewhere for the capital resources which may generate a better return. For example, investment in new technology may mean that the organisation can reduce labour costs as well as improve productivity. Secondly, the UK economy comprises predominantly of
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SMEs (small and medium sized enterprises). The Department for Business Enterprise and Regulatory Reform (2008) estimated that of the 4.7 million businesses in the UK at the start of 2007, 99.3% were small businesses (with fewer than 50 employees) and they provided 47.5% of the UK private sector employment and 37.4% of turnover. SMEs are more likely to go out of business and the perception is they are less likely to train their staff. However, the CIPD (2008) have found that SMEs actually train as much as other organisations and tend to spend more per head on employee training. This would suggest that vocational and operational training is the order of the day and such targeted training is key to the survival of SMEs. There is probably less focus on education and development from a longer term strategic perspective. Thirdly, many UK organisations compete on cost and as such they are less likely to spend on training. Indeed some organisations would prefer to recruit staff who their competitors have already trained as the additional salary cost required to attract them may well be cheaper than a long period of internal training for less experienced staff. Not to mention the turnover damage (and competitive advantage) caused to the competitor! Finally, in many business sectors, jobs are very tightly controlled and have little room for error or discretion. As such, these jobs require little training or skill development. This fits the idea of the ‘McJob’ referred to above. HRD professionals are keen to establish a link between organisational effectiveness and training. However, as discussed in Chapter Eleven, this volume, in practice the measurement of the financial returns of investment in relation to training is very difficult to justify and arguably it is not always desirable. However, the HR profession as a whole and HRD professionals as a subset of this group have continued to attempt to prove the bottom-line link of their contribution. This has been through a series of studies of HR and performance along with the resurrection of human capital theory. There are many publications related to the two debates: there is inadequate scope to fully review them in the current context and instead the key themes will be covered. The link between HR and performance probably began in the United States (e.g. Huselid, 1995; Delaney & Huselid, 1996; Delery & Doty, 1996; Huselid & Becker 1996) with attempts to identify specific HR practices or ‘bundles’ (McDuffie, 1995) of practices that positively impact on bottom-line performance. Purcell et al. (2000, p.31) suggest that they are trying to find the ‘connecting rods between people and performance’. In the UK this research has attracted considerable funding from the HR profession (CIPD) (see for example Purcell et al., 2003). The most prolific UK author in this area is Guest who has conducted considerable empirical research (Guest, 1997, 1999, 2001, 2002; Guest & Peccei, 1994, Guest et al., 2000; Guest et al., 2003) although his latest research (Guest & Conway, 2007) has worryingly suggested that many HR practices have either a neutral or even negative effect on well-being and productivity. In all this research, training is always seen as a fundamental practice in the ‘bundles’ that are said to improve performance. However, the economic argument is clearly very difficult to prove (see for example Guest & Conway, 2007) as there are often too many other variables that may be causing bottom-line success or failure. An attempt to measure the contribution of HRD practice is through human capital theory. Originally this was strong in the 1960s but has been ‘rediscovered’ and appears to be gaining in popularity. The human resource (i.e. employees) is basically
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said to be like any other resource which can be directed towards the achievement of specific targets and as such is also measurable. Human capital theory follows on logically from measuring HR’s link to bottom-line performance. In the UK the Kingsmill report (2003) emphasised the importance of reporting human capital but recognised that organisations would need to develop their own measures specific to their sector or their business. As a result of Kingsmill’s recommendations, from 2005, as part of Company Law Review, it became compulsory for organisations to report on human capital within their operating and financial review. This is designed to give investors better information to make more informed investment decisions. As an IRS (Industrial Relations Services) study (2004, p.2) has suggested, ‘human capital management should do for HR what accountancy does for the finance function’. There have been many recent developments in human capital theory in the UK (see for example, Scarborough & Elias, 2002; Scarborough, 2003; CIPD, 2003, 2007b; IiP, 2008). To measure human capital the CIPD (2003) urges the use of quantitative and qualitative data. On the quantitative aspect the CIPD (2007b, p.8) states, ‘Good practice would be an organisation that says the reason that we invest this much in training is because in the long term we expect growth to be x, which will need y and z type skills. Without these skills, we will not be able to achieve or sustain these levels of growth’. However, the CIPD (2007b) is also keen for the quality of training to be measured. Investors in People (IiP) have also funded research into human capital measurement and its link to HR bundles. With particular relevance to training they argue that ‘the organisation needs to evaluate development in a systematic way’ and to focus ‘on the long-term development of its managers’ (CIPD, 2007b, p.4). The performance/bottom-line debate and the developments in human capital theory are important to highlight because they demonstrate the pressure that HRD professionals and consultants are under to demonstrate the bottom-line impact of training interventions. These debates are predominantly about the tangible outputs and as such there is an implicit tendency to move towards vocational and skills-based training as they focus on output. The whole idea of process and broad learning tends to be drowned out by the noise in these debates. What in principle is wrong with intangible development? Just because it is not possible to measure the bottom-line effect of such learning does not mean it does not have one. Human capital theory is somewhat simplistic in that humans by their very nature are sometimes random, spontaneous and creative and do things that the official organisation does not want, does not know happens or later thinks is a good idea. The notion of learning that is outside the official socialisation processes of the organisation is not addressed by either of these debates, but may be explored through the social perspective of learning. This is one of three perspectives that form the theoretical underpinning for the development of effective training interventions.
How Organisations Can Support the Learning and Development of Staff There are a number of ways in which the organisation can support the learning of staff. Typically these include appraisal, continuous development, action learning,
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coaching and mentoring and the facilitation of an organisation-wide learning culture. Performance and development appraisals can allow employees to get feedback and should encourage at least an annual discussion of individual learning and development with the immediate manager. This may involve discussion of formal training but also issues of competence development. Personal development or continuous development is usually required by professional bodies but is increasingly encouraged by employers. Here individuals are encouraged to reflect upon their contribution (both output and process) and determine what they might do differently or develop next time they are faced with the same or a similar task. This concept builds upon learning styles and learning loops which we discuss in the next section about the training cycle. Action learning (Revans, 1980, 1983) is based on learning that is rooted in real problem solving, where lasting behavioural change is likely to result. For action learning to be effective, Revans identified the need for a work-based project which is required to be of significant importance to the future success of the business, and will provide an effective opportunity for management development. Margerison (1991, cited in Mumford & Gold, 2004, p.14) believes action learning results in participants learning ‘about themselves, about their job, about team members, and most of all about how to improve things and make changes’. Action learning can be delivered through a learning set consisting of a group of five or more people working together. L =P+Q Learning = Programmed knowledge ( i.e. knowledge in current usage ) + Questioning insight ( usually provided by a facilitator or a learning set ) Coaching is defined as ‘improving the performance of someone who is already competent rather than establishing competence in the first place’ (Torrington et al., 1994, cited in Beardwell, Holden & Claydon, 2004, p.381). Quite often line managers undertake the role of coach and provide a subordinate with an opportunity to develop. To effectively implement a coaching role, the coach and the recipient are required to identify a task, and the coach needs to facilitate initial ‘induction’. This induction would consist of instruction and work shadowing prior to the recipient taking over the day-to-day responsibility. Good rapport needs to be established between the two individuals with regular opportunities to discuss and gain feedback from the coach. Mentoring is similar to coaching in many ways but learning here can be broader and also more personal rather than purely vocational in orientation. Clutterbuck (1991, p.12) describes a mentor as a ‘role model … a guide, a tutor, a coach and a confidant’. Given these role functions it is not usually appropriate for the mentor to be the immediate line manager. For example, one of the authors managed a mentoring scheme for junior managers in a large multinational organisation which involved mentors from different business units who were two or three levels higher up the management chain. Another of the authors has acted as an external mentor for senior managers in a completely different organisation than their own. Finally, consideration of facilitating an organisation-wide learning culture is relevant. This is commonly called a ‘learning organisation’ (Senge, 1990; Pedler,
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Burgoyne & Boydell, 1991). This concept draws together many of the ideas discussed in this chapter. Organisational efficiency and bottom-line performance are combined with the need for personal development of individuals and the most widely accepted elements of behavioural, cognitive, social and adult learning theory. Such a culture is hard to achieve as it requires a great deal of trust and an acceptance that the organisation cannot maximise its development without supporting and facilitating the learning and development of its greatest asset – that is its people. Such a culture of trust and encouragement is very difficult to create and perhaps harder to sustain given changes in the economic circumstances of a business. Arguably such cultures are perhaps easier to sustain in enlightened SMEs or across networks of SMEs. Whether an organisation engages in these forms of support is valuable for a consultant to know, as such an understanding may enhance the transfer of learning from a training intervention to the organisational setting.
Theoretical Underpinnings – Three Perspectives on Learning The complexity of learning theory will not be fully addressed in this chapter, rather the focus will be on establishing the fundamental basis of each of the three perspectives. In essence the approaches to training prior to the 1970s can be viewed as being linked to a behavioural perspective that is focused on conditioning. With the exception of neo-behaviourists (see, for example, Honey & Mumford, 1986) the growing sophistication of training techniques post 1970s may be linked to the cognitive perspective and more recently the social perspective. Traditionally cognitive or academic learning is given a ‘lofty’ (Smargorinsky, Cook & Johnson, 2003, p.1400) position in relation to practice. However, it can be contended that practice learning is equally important and it is the combination of practical application of theoretical concepts that maximises learning. An understanding of the theoretical and practical processes by which people learn is crucial to the design and delivery of training. Learning theory is a complex area and in the current context an overview of the three key perspectives is given – behavioural, cognitive and social. Morgan, Vickers and Moore (Chapter Eleven this volume) make reference to these perspectives when discussing the design and delivery of training.
The behavioural perspective Whilst recognising the contribution of the behavioural perspective to theoretical development it is of interest here because of its link between the behavioural approach and conditioning utilised in early training interventions. This perspective has tended to be used commonly in education because of its apparent ‘scientificity’ – i.e. it purports to be scientific. The behavioural perspective also appears to be highly functional because it is measurable and links to tangible outputs rather than less tangible concepts such as attitudes or knowledge. This output-based measurability is popular with organisations in a climate of performance management and human capital reporting (also see Dale, Chapter Nine this volume).
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Figure 3.1 Pavlov in his laboratory with his team
There are several key theorists whose work underpins the behavioural perspective – most notably and historically, Pavlov, Thorndike, Watson and Skinner. Here we will discuss the ideas of conditioning and spontaneous behaviour. Conditioning basically involves rewarding to encourage positive behaviours or punishing to discourage negative behaviours. The terms operant conditioning and classical conditioning are widely used in the behaviourist literature. Operant conditioning is associated with the work of B.F. Skinner and refers to a situation where the individual is free to discover what response any given behaviour will cause. Classical conditioning is associated with Pavlov (Figure 3.1) and refers to a situation where an unconditional response (salivation) is not elicited from unconditioned stimulus (food) but from conditioned stimulus (sound of a bell) (see Pavlov, 1955; Skinner, 1953; Thorndike, 1966). In a classroom sense a student might learn to like a subject because they unconsciously associate it with a lecturer they admire or the pleasant atmosphere they were in at that time.
The cognitive perspective The key contributions of the cognitive perspective to the theoretical underpinning of training interventions in a forensic setting are a recognition of the stages of development and the interaction between scientific and spontaneous development. The key theorists from the cognitive learning perspective are Piaget and Vygotsky who both contributed greatly to child psychology (see Piaget, 1950; Vygotsky, 1986, 1987). Here we will focus on the stages of development and scientific/spontaneous development. Piaget’s work involved many studies of small groups of children and his main contribution was an insight into the maturation process and how it affected the various stages of cognitive development. Sutherland (1999) argues that Piaget’s ideas are also applicable to adult development. Two of Piaget’s (1950) ideas that are useful here in the current context are assimilation and accommodation. Assimilation is the process
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by which the individual takes material into his or her own mind from the external environment. This means that accommodation has to be made where an individual needs to make a change to their senses in order to deal with the new information. According to Sutherland (1999) where assimilation is dominant over accommodation it results in play activity that is detached from situational reality. In adult learning this might take the form of role-playing a situation on a vocational course that is realistic, such as crisis (hostage) negotiation training. Where accommodation dominates over assimilation the result is imitation. In adult learning this is best explained by the example of students who copy notes from a whiteboard without any understanding. Such imitation can arguably hold limited value in a forensic setting where application of learning to a range of differing situations is paramount. Vygotsky (1986, p.51) found that Piaget’s theory missed ‘reality and the relations between a child and reality’. In principle Vygotsky developed two key theories. First, he found that the developmental process lagged behind the learning process. Second, he argued that it is not possible to draw inferences independently from what people do. Instead we need to try to see an individual’s potential rather than their achievements. From these two hypotheses Vygotsky developed the idea of the zone of proximal development. Rather than testing a child by an independent test to identify their ‘level’, a child’s level of problem solving with the guidance of adults or more experienced children is assessed to test what level they can reach. This level may be beyond their current cognition. This means that a child can imitate others, but Vygotsky argued that it is not possible for the child to imitate that which is not proximal to its level of cognition. To encourage this kind of learning appropriate support systems need to be in place. Transferring these ideas to an adult learning setting would involve methods such as supportive team working, action learning, coaching, self-directed learning and mentoring. Vygotsky (1987) suggested that as well as the ‘scientific’ or cognitive concept there was a ‘spontaneous’ concept. The scientific concept is academic and generally involves formal systematic instruction. This kind of learning tends to be highly intellectual and transferable as it is not context specific. The spontaneous concept is where individuals make generalisations from informal, practical and day-to-day social settings. This learning tends to be contextual according to Vygotsky. Learning is maximised where there is interplay between the scientific and the spontaneous. For example, the ‘spontaneous’ may take place where training is focused upon motivational theory and consequent engagement of forensic clients, but has further application to the wider organisation, such how to then motivate staff. Cognitive learning is perhaps most simply defined by Jones (1984, p.55) who argues that cognitive learning is a mental activity. Robertson (1990, p.117) argues that the ongoing debate within the psychology of learning is the extent to which learning is individual (cognitive, personality etc.) or situational (behavioural, rewards, punishment etc.). However, in addition to these psychological arguments there is also the sociological or social perspective of learning. The historical context of psychology and forensic psychology mirrors that of the evolution of learning theory. Towl and Crighton (1996, p.3) suggest that there have been ‘inherent tensions’ between psychology and sociology. In the area of criminal and delinquent behaviour they argue that psychologists tended to locate the causes
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of criminality in the individual and sociologists to locate the same causes in the effects of social inequalities – with both disciplines slow to accept and address the other. In learning theory psychologists have generally tended to be associated with the behavioural and cognitive perspectives and sociologists with the social perspective.
The social perspective Historically the focus of learning theory has been on the individual and as such learning has traditionally been seen as psychological rather than sociological. Organisational learning tends to be the dominant theme of social learning. In this section an overview of the social perspective is given, a fuller description of organisational learning can be found elsewhere (e.g. Argyris & Schön, 1978; Astley & Van de Ven, 1983; Shrivastava, 1983; Fiol & Lyles, 1985; Huber, 1991; Dodgson, 1993; Nicolini & Meznar, 1995; Easterby-Smith, 1997; Easterby-Smith & Araujo, 1999). The three generic themes associated with the social perspective within the current context are the issues of social relations, social purposes/power relations and social construction. There is a social relations curriculum where students learn from peers and social interactions with teachers and tutors. Lave and Wenger (1991) argue that this is a ‘learning curriculum’, which is based on situated and practice-based learning. This is different to a ‘teaching curriculum’ that is based more on traditional, formal and taught study. However, Gherardi, Nicolini and Odella (1998) prefer to use the term the ‘situated curriculum’. This situated curriculum ‘is embedded in general habits of traditions of the community’ (Gherardi et al., 1998, p.281). People become so used to the situated curriculum in their community that it ‘renders itself invisible’ (Gherardi et al., 1998, p.281) or at least is hard to describe (see for example Orr, 1996; Gherardi et al., 1998). As such we take some of our learning for granted. Learning or education is sometimes used to achieve social purposes. Fuhrer (1996, p.181) argues that learning is more than just a process within individuals (i.e. cognitive), but also the settings and the person-setting process are part of the learning process. Usually such social purpose type learning advances the cause or interests of a particular group and may have consequences for power relations for other groups. Much of our social learning is, however, unofficial or noncanonical (Brown & Duguid, 1996). We learn how to do things and how to circumvent official processes to make them work ‘properly’. So we do not just accept the canonical/official view at face value and it is not our only source of information and learning. The issue of power relations is important in social learning. Here we are concerned with who has the power to speak, determine allocation of resources and action and how that came to be (see Foucault, 1977). The official or canonical view that the organisation likes to portray may not be how it is in practice. As several studies have found (Dalton, 1959; Stewart, 1967; Vickers, 2005, 2008) senior managers set strategy and direction but it may well be adapted to fit, reinterpreted or even ignored lower down the organisation. This issue of power relations or organisational politics has a major impact on learning as it determines who is allowed to learn, what they are allowed to know and how they are allowed to use that knowledge. If you are not given access to certain parts of an
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organisation you will undoubtedly be denied learning opportunities and certainly denied a voice. Social construction is where learning is focused on meanings and the significance of process rather than knowledge accumulation against externally imposed targets. Benson (1977) argues that people continually construct their social world through interactions, which in turn develop into social patterns and eventually become established institutional arrangements. These arrangements become modified or changed through a continuation of social interaction. The processes are not always wholly rational or purposeful. This irrationality runs counter to some of the views of management scientists and cognitivists. Socially constructed learning is described by Berger and Luckmann (1966) as a process of socialisation, which involves newcomers internalising the subjective meanings of others, and secondary socialisation, that involves the internalisation of institutional norms, language, myths, rituals and physical objects that sustain and maintain the culture (see also Chapter Thirteen this volume). A simple example of the three social learning themes (relations, process and construction) is where we may not like a particular teacher/instructor or our peers tell us it is not ‘cool’ to learn something.
Learning Theory Applied in the Training Setting Training professionals are like many other professions in that they use a range of techniques which are seen to be ‘good practice’. Underpinning these are the behavioural, cognitive or social theoretical perspectives. However, these underpinning theoretical concepts are either taken for granted by the more enlightened members of the training profession or they are just accepted and applied by the ‘(un)thinking performer’ (parenthesis ours, CIPD, 2002, p.9). It is important for consultants designing training interventions in a forensic setting to understand how these three perspectives (behavioural, cognitive and social) converge in practice and in particular how these theories apply specifically to adult learners and the different levels of learning with which they may engage.
Adult learners As the needs of the workforce change in today’s society, more adults are attending courses in further and higher education either as first-time students or as returning students needing additional skills or knowledge. Sometimes this involves tangible learning of new practical skills such as specific software packages. At other times learning may be less tangible such as studying for a Masters level qualification where learning may be difficult to define and yet may be life changing. Many employers fund and focus on the tangible learning opportunities but are less inclined to do so with the intangible ones. This is partly due to the current political obsession for measuring outputs in modern-day organisations and demonstrating learning objectives have
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been met. However, the process of learning should not be forgotten or reduced to a simple metric that blindly tests ‘value for money’. We have discussed the three basic learning perspectives (behavioural, cognitive, social) but obviously learning is much more complex than these three themes. However, by drawing together different strands of the three perspectives there are some general assumptions that can be made about adult learners.
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Adult learners usually learn better if they are able to participate in a relatively democratic environment. Adult learners must see some relevance in what they are taught/learning. Adult learners are more able to draw upon their own life experiences and they are usually keen to discuss their experiences and fit new learning into their existing model or to test that model’s validity and currency. Adult learners may need more time to learn because of this but it does not mean they are slow. Indeed adults expect to be treated as adults rather than to be patronised or feel ‘talked down to’ by a so-called expert – however well meaning this may be. Typically, adult learners may have conflicting priorities and responsibilities that can make learning more difficult (e.g. child care, careers, transport problems, social engagements etc.). However, one of the biggest barriers to learning is where the organisation has instructed the individual to attend, failed to explain the relevance of the training or failed to identify individual training needs and readiness.
Levels of learning Downs (1987) argues that there are three levels of learning – memorising, understanding and doing (MUD). Learners can decide whether they memorise facts, understand concepts, or do physical skills. The trainer can introduce all three into learning experiences. Downs (1987) found that her MUD method was in direct opposition of what most trainers do. There tends to be a focus on outcomes rather than on process. As such, trainers need to encourage independent and active learning by using case studies, role-plays, reflection on process and analysing key steps in tasks and problemsolving activities. This encourages all three steps of the MUD process to be used. In adult learning in particular it is important that training is more than memorising. For learning to ‘stick’ (i.e. to be fully processed and comprehended) then adults need to evaluate concepts internally and test them against their own experiences (understand) and to apply them (do). The ideas of memorising and understanding are not really new. Marton and Säljö (1976a, 1976b) identified three different approaches to learning – a surface approach, a deep approach and a strategic approach. These approaches have since been developed and validated by others (e.g. Entwhistle, 1981; Biggs, 1987, 1993; Ramsden, 1992). The surface approach is concerned with memorising facts and following routine procedures rather than understanding concepts, origins and issues/limitations. As the word ‘surface’ suggests, the attitude of the learner is about skimming the surface and uncritically accepting what is said in lectures and written in books. The outcome
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is more important – namely to pass the course and get the qualification – rather than to find a deeper understanding and a reflection on process and the bigger picture. Such learners tend to use the set books and readings for a course and aim to memorise the key facts. The deep approach goes beyond memorising to understanding course materials. Learners here try to satisfy their intellectual curiosity and examine all models and readings from a critical perspective. They try to understand concepts by putting them into their own words and looking to see how they fit with their own experiences. The strategic approach involves an assessment of how much effort is required to achieve the grade they aspire to. If a learner aims to get a bare pass it is all about working out the minimum effort required to pass. However, higher aspirations usually mean learners work out how to organise themselves to maximise their efficiency. If a learner is allowed by an instructor to operate at a surface level and get good marks they will do so. An instructor who demands a deeper level of learning will be able to encourage a strategic learner to learn more deeply.
Training Interventions The theoretical background discussed in this chapter is valuable for a consultant engaging in the design and delivery of training interventions within a forensic setting. Understanding the current debates in the HRD professions outlined in this chapter will provide consultants not experienced in this field with the language with which to engage with members of the HR and HRD professions with whom they may be contracting for work. The summary provided of different perspectives on learning and the impact that these may have on the training setting provide a theoretical underpinning for the effective provision of training interventions within a forensic setting. To provide effective training interventions there are a number of stages that the consultant should consider as shown in Figure 3.2.
Contracting
Evaluating
Delivering
Figure 3.2 Consultancy training cycle
Identifying
Designing
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This staged approach to training interventions reflects Buckley and Caple’s (2000, p.5) definition of training as a ‘planned and systematic effort to modify or develop knowledge/skill/attitude through learning experience’. Though a systematic approach may not immediately indicate the complexity of providing training interventions for an organisation (for example a consultant may contract with the organisation to meet a particular need and then through the identification stage realise that the need has not been properly identified and may have to re-address the contracting stage with the client), it provides a clear framework for consultants engaged in the provision of training interventions. The model provided in Figure 3.2 is a variation of what is commonly referred to as the ‘training cycle’ and is represented by different authors with different stages. Bee and Bee (2003) refer to it as the ‘learning wheel’ which has the stages of identifying the business needs, identifying the learning needs, specifying these learning needs, translating these needs into action, planning the learning and then evaluating it. Harrison (2005) provides an eight-stage learning model of establishing needs, agreeing on learning objectives for the training intervention, identifying the profile of the potential delegates, agreeing on the delivery of the learning intervention, selecting the delegates, finalising the design, delivering the intervention and monitoring and evaluating the event. In these and other models there are variations of emphasis; however, they are driven by a process approach to the provision of learning interventions which include the stages identified in Figure 3.2, with the exception of the contracting stage. When engaged in the provision of training interventions as a consultant this critical stage establishes an agreement between consultant and client that will guide each of the subsequent stages of the training intervention. Each of the stages in Figure 3.2 is discussed further in Chapter Eleven, which provides practical guidance to those engaging in the provision of training interventions within a forensic setting. There is usually a tendency for consultants to forget the theoretical underpinnings of learning and development when diagnosing training requirements in a practical setting. It is important, however, that consultants refer to the theoretical basis for learning and development when considering practical design and development of training interventions. The theoretical perspectives explored here and their specific relationship to forensic consulting and training practice are explored in Chapter Eleven.
Chapter
Four
Ethical Considerations in the Consultancy and Advisory Process Susan Cooper and Martin Fisher
Introduction Psychologists working in forensic settings are often asked to act in an advisory and consultancy capacity. Examples include staff recruitment, promoting organisational change, managing crisis situations, organisational research and considering the needs of individual forensic clients. There is a requirement to conduct such work effectively so that ethical and good practice guidelines are adhered to. The way in which such work is conducted has implications not only for the reputation of the individual psychologist but also for the organisation and the profession as a whole. Applying ethical standards, practices and principles in an advisory and consultancy role can often present a range of issues and dilemmas for the psychologist. This chapter will endeavour to outline some of the key roles of the psychologist acting in a consultancy and advisory capacity, and the ethical and professional issues related to these roles. Examples relevant to a forensic setting, such as ethical issues when considering client and organisational risk will be presented to encourage reflection on practice. These issues will be considered with reference to the BPS Code of Ethics and Conduct (2006), as an illustration, as well as other key texts within the area of professional and organisational ethics (e.g. Koocher & Keith-Spiegel, 1998). There will also be a consideration of how ethical principles might be applied across the broad consultancy context (cited from Ireland, Chapter Two, this volume). It will conclude with a summary of the main points that should be considered when acting in a consultancy and advisory role. Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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Ethical Codes Under its Royal Charter the British Psychological Society (BPS) is required to maintain a Code of Ethics and Conduct. First produced in 1985, this Code has subsequently evolved to its present form which came into application in 2006 (BPS, 1997, 2000, 2006), although at the time of writing it is under revision due to regulation now being undertaken for psychologists by the Health Professions Council. The Code provides a shared understanding of appropriate practice and professional standards and applies to all members. In the most recent edition, there is a greater focus on supporting the process of ethical decision making. As such, rather than directing psychologists in terms of how to behave, the revised code encourages psychologists to reflect on their decision-making processes in considering the ethical aspects of the choices which they make in practice. It is based on the four principles of respect, competence, responsibility and integrity (BPS, 2006). Psychologists must respect their clients and be sensitive to the dynamics of perceived authority or influence over them. They must endeavour to maintain high standards of competence in their professional work, and work within the recognised limits of their knowledge, skill, training, education and experience. It is also directed that psychologists value their responsibilities to clients and avoid harm to others. Psychologists should also maintain integrity in their interactions with others, and seek to promote integrity. It is important for psychologists to be extremely aware of their code of conduct and ethics, both of the British Psychological Code and of the Health Professions Council. If there is a breach of ethics, ignorance of such ethics does not abdicate responsibility. In addition, if the psychologist is supervising a psychologist in training, the psychologist is likely to be responsible for their work and the consequences of this. Even if the supervisee is qualified, but is following advice from supervision, the responsibility also lies with the chartered psychologist. There are several ways in which a psychologist can breach ethical codes. Koocher and Keith-Spiegel (1998) group a number of themes underlying alleged misconduct by psychologists into the following five major categories:
• • • • •
Exploitation (taking advantage of consumers by abusing a position of trust, expertise or authority). Insensitivity (harming others because of a lack of regard for the needs, feelings, rights or welfare of others). Incompetence (when psychologists are not fully capable of providing the services being rendered for reasons ranging from inadequate training or inexperience). Irresponsibility (includes attempts to blame others for mistakes or poor or unprofessional work). Abandonment (when psychologists fail to follow through with their duties or responsibilities).
It is essential that psychologists conduct their work in an ethical manner. The work of psychologists in secure settings clearly has direct implications for the lives of clients, colleagues and the wider general public. For example, when a psychologist conducts an assessment of risk of reoffending and recommends a client for release from an institution into the community, it is important that this decision is both ethical
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and defendable. In this instance, the assessment of risk should be grounded in the psychological literature and take all relevant information into account, using a structured risk assessment tool if appropriate. It is important for psychologists to be aware of the potential public and political attention to this type of decision making. Ethical codes have an important role in deterring unethical behaviour from psychologists. This is because colleagues and clients have the right to complain to the BPS if it is felt that a psychologist has breached the Society’s Code of Ethics and Conduct. The BPS then investigates complaints in its current capacity as the regulatory body for psychologists in the UK. Yet it is important to note that there are some changes to be made following the Health Profession Council’s formalising of its own procedures in the management of ethical practice amongst its psychology members, of which chartered psychologists are now part. Nonetheless, the Health Professions Council at the time of writing has no plans to regulate non-chartered psychologists, such as psychologists in training. Within the BPS, and at the time of writing, if there has been a breach of the code of conduct, a psychologist can be reprimanded, dismissed from the Society, required to change behaviour or attend relevant additional training or supervision. It is important for psychologists to recognise that the details of disciplinary hearings are published and in the public domain. Through this process ethical codes instil in the general public a trust in the profession, whilst appropriately protecting and supporting practitioners, and emphasising ethical practice. It is important to note that ethical complaints are not appropriate when another professional simply disagrees with another psychologist’s professional opinion, or a client is dissatisfied with a psychologist’s opinion about him or her, providing the Code of Ethics and Conduct has been followed. Complaints about psychologists can come from a range of stakeholders, such as clients, psychologists, colleagues, and other professionals and organisations. If a complaint is made to the BPS, the BPS will consider the individual’s circumstances, the explanation given by the psychologist of how the decision was reached, as well as the foreseeable consequences of that decision, in judging whether there has been any professional misconduct (BPS, 2006). Thus the emphasis is on how the individual psychologist reaches a decision. For example if, in keeping with ethical codes, a psychologist decides to disclose sensitive information from their assessment of the client and the client later self-harms as a result of the feedback received, the decision-making process would be of importance. In this instance, the psychologist should consider a range of issues, including whether the client has a history of self-harming behaviour and triggers to this behaviour, and the client’s wishes, presentation and mental state prior to the feedback.
Working within Organisations Psychologists may understand their own ethical codes and principles but do not operate in a vacuum when working in forensic settings. Newell (2002) points out how the culture or climate of an organisation can influence the behaviour of employees. It is therefore important that psychologists do not compromise their own ethical standards because of any negative culture in an organisation; it is the psychologist’s role to support the organisation and challenge any inappropriate conduct in order to
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provide the best service to the client. If the culture or practice of an organisation is inconsistent with the psychologist’s own ethical practice, then the psychologist may wish to consider ways to influence the organisation. For example, if trying to implement a treatment programme, promoting a positive and motivational attitude towards client engagement can be critical in ensuring the client remains in the programme. This can be particularly important when working with sensitive client groups such as clients convicted of sexual offences (see Ward, 2007).
Conducting Assessments with Forensic Clients Applied psychologists in forensic settings are often required to provide a consultation on a client or assess a client for a number of purposes. Most commonly this may involve the assessment of a client’s risk of reoffending, but also other types of assessment may include risk of suicide or self-injury, learning disability, personality disorder and progress following a programme of treatment. When conducting assessments, psychologists need to carefully define the relationships with clients in relation to confidentiality, responsibility and other critical ethical issues (Koocher & KeithSpiegel, 1998). In effect without contractual clarity the psychologist cannot demonstrate that their practice and underlying decision-making processes are wholly defendable, fair and open to the client. For example, it is important that clients consent to an assessment and understand the potential consequences of the assessment. One area of ethical consideration may be the use of psychological tools and measures as part of assessments. When assessing clients, there is a range of available measures commonly used, including behaviour rating scales (completed by staff or family members), structured interviews and psychometric tests. A psychometric test is described as a standardised procedure to measure a particular skill, aptitude, knowledge or personality characteristic. Typically, tests are made of a number of individual items and the examinee’s responses are aggregated and presented on a numerical scale. Psychologists need to consider whether the available tests are reliable, valid and appropriate to the questions raised in the situation. The validity of a test is decided by the extent to which it measures what it is designed to measure. A psychologist needs to consider the following types of validity and reliability:
• • • • • •
Content validity (how well the item content of the test represents the behavioural domain to be measured). Criterion-related validity (ability of a test to predict behaviour in specific situations). Construct validity (measures the relationship between a test score and the relevant theoretical construct or trait). Internal consistency (the extent to which different parts of the test correlate with one another). Test–retest reliability (the extent to which the scores are similar when the same participant repeats the test after an interval period). Inter-rater reliability (the extent to which different raters obtain the same scores on a test).
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Some terms on psychometric tests can be transparent and make it easier for respondents to adopt a socially desirable response style. For example, they may respond in a manner which presents them with minimal future risk as they feel this is closely linked to their progression through the forensic system. As such, the validity of tests can be potentially compromised. Some psychometric tests include items for detecting deception, such as the Millon Clinical Multiaxial Inventory (Millon et al., 1994). In keeping with the principle of informed consent, clients should be forewarned about what the test is measuring. Yet this principle does not apply to all measures. For example, Gudjonnson’s Suggestibility Scales (1997) and the Paulhus Deception Scale (PDS, 1998) involve not forewarning the forensic client as to what the tool is measuring. Indeed, to do so would undermine the very validity of the test. Psychologists need to carefully consider these issues before using such tests. This is not to say that such tests are inappropriate, as this is not the case, but there is a requirement of careful and justified consideration. Psychologists not only need to consider whether the available tests are reliable, valid and appropriate to the questions raised in the situation, but also their own level of competence to use such tests, both in administration and analysis. Before using a test, the psychologist must be familiar with any test materials used and the test’s psychometric properties, including the standard error of the mean (SEM). The difference between a person’s actual score and the highest or lowest hypothetical score is known as the SEM, which is an unbiased estimate of expected error in the sample estimate of a population mean. As such, a psychologist is expected to attend to the literature and review the validity and reliability associated with the test to evaluate how robust the test is. Similarly, the psychologist will need to consider how applicable the test is to the individual client; the closer the individual fits the population and situation of those described in the test validation studies (i.e. the ‘norm’), the greater the confidence can be expressed in the applicability of the test to the individual being tested. Tests used in forensic settings should generally be validated using a forensic population, unless there is a clear rationale otherwise. For example, if undertaking a cognitive assessment, it may well be important to compare an individual’s performance to the general population. It can be argued that to not do so may render the test scores of limited value and understanding. In addition, there may be some further benefit to also compare their performance to forensic peers. Ultimately, the importance of the scores should focus on ensuring that the value of the test’s results for the individual are maximised, and in line with the initial reasons for conducting the test in the first instance. In accordance with these principles, the psychologist needs to be aware of the limitations of any tests used and acknowledge any limitations in any written or verbal report, thereby not overstating the findings from a test or tool. This is not with a view of an overly critical evaluation, but to make the reader aware that all tests present with limitations. When interpreting and presenting information from psychological assessments it is also important to acknowledge the impact that individual factors may have on test scores. Such individual factors might include the cooperation, motivation, mental alertness and concentration ability of the client, whether or not the client presents with depression, anxiety, language and/or reading problems, or is currently on medication. All such factors, including attempts by clients to present
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themselves in an overly positive (i.e. socially desirable) or overly negative (i.e. selfdeprecating) manner, can potentially impact on the validity of test scores. Heilbrun (1992) has suggested that response style should be explicitly assessed and the results of the test interpreted within the context of an individual’s response style. As previously mentioned, although some psychometric tests make an effort to account for such response biases, the majority of tests do not, leaving the interpretation of such responses down to the clinical judgement of the assessor. To avoid some of the problems associated with this area, an important precaution when incorporating such tools is to base interpretation and opinions on more than one psychometric test score, and to interpret the measures with relation to other salient pieces of information, and not in isolation.
Acting within Areas of Competence It is paramount that psychologists work within their areas of competence. In order to remain competent, psychologists should keep abreast of developments in theory, research and practice within their areas of competence. Koocher and Keith-Spiegel (1998) also refer to the ongoing development of a psychologist’s repertoire of competence over their career span and the need to ensure that further learning takes place. In recognition of an awareness of areas of knowledge deficit it is incumbent on the psychologist to determine their continuing professional development needs and to take appropriate action. As stated in the Code of Ethics and Conduct (2006) a psychologist should ‘engage in additional areas of professional activity only after obtaining the knowledge, skill, training, education, and experience necessary for competent functioning’. The psychologist’s level of knowledge in respect of their practice can be challenged frequently in secure settings, perhaps reflecting a wider cultural shift where service users have become more litigious and articulate in asking questions of health professionals. Clients within forensic settings can be a diverse population. It is not unusual for forensic clients to present with a range of mental health needs, such as personality disorder or cognitive difficulties. For example, in a study by the Social Exclusion Unit (2002), 70% of prisoners reported high levels of mental health problems. When faced with such a population with varying needs, psychologists may be asked to provide an opinion on a range of issues, perhaps in areas where they do not have adequate training or expertise. The duty is on the psychologist to ensure that their level of competence and expertise is adequate to address the presenting client needs. For example, if a client with dementia is referred for assessment on their condition, a psychologist with no experience in this area should not offer an opinion, but refer to an appropriately experienced psychologist.
Communicating Psychological Knowledge It is essential for the psychologist to obtain the consent of the client for their involvement in the assessment process. Upon meeting the client, the psychologist will need
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to communicate the nature of informed consent. Obtaining consent can be a lengthy process and needs to take into account the abilities and circumstances of the client. For example, there are several elements which are necessary for acceptable consent to participate in assessment. Psychologists are ethically bound to inform participants of the nature and purpose of the assessment, who will be informed of the outcome of the assessment, whether there will be a report and who this will be circulated to, how the information will be used, and the nature of confidentiality. In addition, the client must possess the requisite capacity to give consent and be made aware of the benefits and implications involved within the process to which they are or are not consenting. Clients with cognitive impairment or mental illness may have difficulty providing consent so extra measures can be put in place to facilitate the communication. Examples of good practice when obtaining informed consent includes the provision of information leaflets and allowing clients time to consider whether or not they wish to be involved. The latter point is particularly important and usually entails spending one session providing information and obtaining consent in a later session. It is also essential that the choice be voluntary and not coerced. This is particularly relevant in secure settings where psychological assessment or treatments are deemed by the system to be a prerequisite to being considered for progress towards release (see ‘Working in Groups with Clients’ below). In such cases the client may perceive they have no choice but to consent if they are to be considered for release. For example, it can be commonplace in the Prison Service for offenders to complete offending behaviour programmes before they can be considered for release on supervised licence by the Parole Board. Some medium secure services will not consider accepting clients from higher secure services unless they have undertaken a range of psychological assessments and therapies. Psychologists are often required to report psychological information in written form. For example, following assessment and treatment, psychologists are required to report the main findings in a report read by the client and professionals of different disciplines, including members of the criminal justice system and legal representatives. It is essential that psychological information is communicated accurately and effectively to avoid misunderstanding. This is particularly important given that psychological reports often deal with personal and sensitive information, and the recommendations in the report can have significant implications for the client. Weiner (1999) outlines a number of good practice guidelines for report writing. The importance of writers stating their qualifications and experience, then detailing documentary evidence and other sources of information is highlighted. Descriptions of test findings should avoid jargon and explain the meaning of technical terms. Weiner (1999) also advises psychologists not to include illustrative test responses in their reports since individual test items are meaningless on their own, for example, ‘Mr X endorsed the item “I feel angry”’. The use of relative statements as opposed to absolute statements is advised, for example, ‘Mr J demonstrates impulsivity, particularly when in a state of heightened emotion’ rather than ‘Mr J is impulsive’. As assessment tools are imperfect and could produce false-negative findings, applied psychologists should avoid writing statements that rule out events. The fact that conditions (such as a personality disorder) or events (such as having abused a child) are not suggested by the data does not eliminate the possibility of their existing.
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Overall, Weiner (1999) advises that reports should be clear, relevant, informative and defensible. It is also important to distinguish between facts and opinions. A report is more defensible if it includes evidence to support opinions. There should be a clear explanation of arguments to enable the reader or audience to understand the basis of opinions and conclusions. The rationale for conclusions will then be clear. Conclusions should be stated as opinions if they reflect a professional opinion. It would be misleading to the reader to present a psychological opinion as a fact. Connected to this, when reporting the findings from a risk assessment, it is important to communicate that such assessments cannot determine absolute levels of risk, predict whether someone is ‘safe’ or whether an individual will reoffend (Litwack & Schlesinger, 1999). Instead, risk assessments could be considered ‘a combination of an estimate of the probability of a target behaviour occurring with a consideration of the consequences of such occurrences’ (Towl & Crighton, 1996, p.55). More recently, rather than categorise offenders as low, medium or high risk there is an emphasis on communicating risk in a more meaningful way. Identifying situations where risk would be elevated through scenario planning is recommended (for example, the HCR20, Webster et al., 1997). It is also useful to decision makers if the psychologist includes a risk management strategy in their report. This allows the focus of risk assessment to be more about risk prevention than risk prediction. Finally, the psychologist should consider the effect on their professional relationship with their client when reporting on a client’s progress. Clinical experience suggests the effects of such reporting on therapeutic relationships can be detrimental – there may be anger engendered in the client and trust may be compromised. It may therefore be advisable that a professional other than the psychologists engaged in therapy is responsible for producing assessments of the client’s risk, thus reducing the likelihood of the client remaining in therapy. It could also be argued that a psychologist removed from direct therapy with the client would be more objective.
Conducting Assessments with Staff Psychologists are sometimes required to administer psychological tests to potential employees or existing staff if they apply for a particular job or internal promotion. For example, in some secure settings, potential therapists on offence-focused treatment programmes may be requested to undertake psychological testing. The psychologist may use interview, observation and psychometric tests to assess an individual’s attitudes to forensic clients or how they might potentially cope with the challenging role. A potential issue here could relate to confidentiality. For example, what if during the assessment process for therapists on a sex offender treatment therapy a potential therapist discloses their own history of sexual abuse? The psychologist may need to decide whether to share this information with colleagues and whether this would potentially preclude the individual from being a therapist on this particular programme. The psychologist may wish to consider the therapist’s attitude to their own history of abuse, whether it has been disclosed to the individual’s family and/or their motivation for applying to work as a therapist with sex offenders. This is certainly not to say that such individuals would not be suitable, but clarity in setting
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client expectations and agreement to boundaries of confidentiality need to be established at the engagement stage through the process of informed consent (Koocher & Keith-Spiegel, 1998).
Independent Practice Psychologists are now being used more often as independent experts and are asked directly to provide their expertise to the courts (Cooke, 1990). Ireland (see Chapter Seven, this volume) covers this area in depth, but there are overriding ethical aspects to this work. A psychologist may be called by a court to provide a report and/or expert testimony in an area relating to psychology. In specific guidelines for psychologists acting as expert witnesses, the BPS (2007) note that an expert is a person who, through a specific course of study or experience, is able to furnish the court or tribunal with scientific or technical knowledge. An expert witness presents facts and is someone qualified by relevant study and experience to draw conclusions and form an opinion. The expectation to give an opinion makes the expert witness unique. The past decades have demonstrated that psychology can assist with decision making in this arena. A psychologist may be called to provide a report and/or expert testimony in an area relating to psychology in a quasi-court setting, such as a parole hearing or mental health review tribunal. Adhering to ethical codes is essential because poor evidence or testimony can potentially lead to miscarriages of justice. Expertise and competence are important considerations. Being an expert means being familiar with the literature, techniques and issues involved in the area of expertise. The BPS guidelines stipulate that a psychologist is responsible for ensuring that he or she is competent and expert in offering an opinion. Criteria for competence include qualifications, number of years post-doctoral/post-qualification experience, academic/scientific publications and current clinical experience. Psychologists should not offer opinions outside their areas of expertise; they should refer clients to the BPS’s directory of chartered psychologists. The ability to be objective in this work is essential. An expert witness should be impartial and there to aid fact finders. Wrightsman (1991) notes that because psychology aims for objectivity and accuracy in its procedure, an expert witness hired by one side has a responsibility to report all other conclusions, whether they are in favour of the side instructing them or not. This is certainly an expectation of the court. Hess and Weiner (1999) note that psychologists should establish the degree to which the legal representative wants to answer a question or is a ‘hired gun’ (Singer & Nievod, 1987), which is someone who ‘mouths the words’ that will benefit the client. This practice can erode the psychologist’s reputation and result in legal or ethical action against the psychologist, as well as being professionally unfulfilling. Wrightsman (1991) points out that psychologists may potentially sympathise with the side that employs them (this may be unconscious), which could result in a filtering of this information. The easiest approach to overcome this is to identify counter-arguments and incorporate these into the assessment. In addition, the psychologist should not change their opinion on the advice of non-psychologists without appropriate grounds based on newly submitted evidence (BPS, 2007).
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The psychologist needs to consider confidentiality issues when giving evidence in court. When the psychologist is placed under oath, no privilege of confidentiality exists so it should not be offered in the first place. A lack of divulgence may place the psychologist in contempt of court. Prior to court, the psychologist should maintain confidentiality of information and report only to those instructing them. Any peripheral discussion with colleagues should only take place where confidentiality can be ensured. Discussion with other experts should take place with permission of those instructing the psychologist (BPS, 2007). The psychologist also needs to consider the disclosure of psychometric tests. Most psychological tests are not available to the general public because to do so might undermine the validity of the test concerned. When writing a court report, a detailed description of a particular test and its procedure (e.g. the measurement of suggestibility) may invalidate a test and so this information should be confidential. As such, it is important for psychologists to make legal authorities aware of the sources of conflict between professional standards and legal issues. Conflicts of interest are an important consideration. For example, it could potentially be considered a conflict of interest for a psychologist working for HM Prison Service to then conduct assessments of prisoners as an independent expert. For example, their arrival at a parole hearing as an independent expert, whilst also being employed by the Prison Service, could potentially be regarding a failing to present an unbiased and entirely independent view. Further, if a psychologist acts as an independent expert witness whilst also working for the Health Service there is the potential for a conflict of interest to similarly arise. For example, if a psychologist prepares a report for court and the same forensic client is placed in the institution where the psychologist works, the client may raise concerns about the psychologist’s independence, and there may be confusion over the role of the psychologist. The psychologist may be perceived as part of the legal system rather than part of a therapy team.
Advertising Consultancy Services When considering the services an independent psychologist is able to offer (such as medico-legal work) a clear area for thought is in the field of the advertising of services to potential clients. This will apply irrespective of an individual’s area of expertise. However, in the forensic context, additional thought needs to be given as clients will often be in a vulnerable position (defendant, offender, patient, service user) or subject to scrutiny of procurement/engagement protocol (for example, governmental agency, mental health service provider). As such the psychologist proffering services needs to consider ethical aspects of service/product description (Koocher & Keith-Spiegel, 1998). The use of client testimony, reference to professional standing and assertions of competence, need to be handled ethically and with due caution. Whilst testimonials may appear to have a high level of face validity in encouraging potential clients to engage the services of the psychologist, the true predictive validity may vary greatly. As Koocher and Keith-Spiegel (1998) note, the professional relationship between psychologist and client cannot assuredly be consistently efficacious.
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Consequently the ability of the psychologist to market their services requires careful consideration in terms of the BPS Code of Ethics and Conduct (2006). In particular they should ‘be honest and accurate in advertising their professional services and products, in order to avoid encouraging unrealistic expectations or otherwise misleading the public’ (p.20). A good example of this need for clarity is in the use of adjectival titles, reference to professional qualifications and affiliations. Where a psychologist is seeking to engage with a client in a consultative relationship then the psychologist should only use the credentials which are relevant to the relationship: this is analogous to an ‘appeal to an inappropriate authority’ in making an assertion of nutritional value such as ‘brand x is a better food because Albert Einstein ate it’; Albert Einstein was an eminent physicist, not a nutritionist, and this would represent a false endorsement. So, psychologists should seek only to present the credentials relevant to the client’s situation, being clear and transparent about their credentials and competence: in the expert witness situation the Civil Practice Guidelines are clear in the requirement for a curriculum vitae as an integral component of the professional/expert report (Bond et al., 2007; Ireland, Chapter Seven, this volume).
Clinical Supervision of Others Perhaps one of the most commonly recognised roles for a psychologist is to provide supervision to other staff. This can include colleagues from their own and other professions such as assistant psychologists, trainee psychologists, nurses, social workers, psychiatrists and prison officers. Supervision can be rewarding and provides the opportunity for both parties to learn and improve clinical practice. It is about providing the opportunity for an honest reflection on practice. Supervision is a feedback process, to provide guidance when the supervisee is confused or unsure, offer alternative views and perspectives and stimulate freshness and curiosity (Carroll, 1999). Supervision should be both validating and challenging. The same ethical principles apply to supervising colleagues as working with clients. Supervisees are entitled to the same privacy, respect and dignity as clients. For example, the same principles of confidentiality and informed consent apply so that all parties are aware of any limitations in confidentiality. In order to meaningfully conduct supervision there should be an open and trusting relationship between supervisee and supervisor. An area for a potential breach of ethical practice in the supervisory relationship is a failure to adequately communicate the supervisor’s expectations about the supervisee’s role and role performance (Koocher & KeithSpiegel, 1998). If the nature of supervision is not carefully defined from the outset there may be potential confusion or resentment from the supervisee when the supervisor provides constructive feedback, or when it appears issues have been discussed outside of supervision and without prior agreement. If the supervisor would like to discuss the content of supervision with their own supervisor or the supervisee’s line manager, this should be made explicit from the outset or discussed in supervision prior to the discussion. This means the nature of the supervision relationship, including the limits of confidentiality, needs to be clearly defined and agreed during early
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supervision sessions, perhaps by agreeing a supervision ‘contract’ or statement of purpose. A common task for a trainee psychologist is to complete an assessment of a client, which will require the trainee to produce an assessment report. This is an appropriate task for a trainee, if under the supervision of a chartered psychologist. In forensic settings assessments of forensic clients are required by the Parole Board (in the Prison Service) or a mental health review tribunal (in the Health Service). Depending on the level of competence and experience of the trainee, the trainee’s work should be effectively supervised from the start of the process as there is the potential for ethical issues to emerge. The supervisor may wish to observe the supervisee in session with the client in order to give feedback. Ethical issues should be explored such as whether the trainee is competent to complete the report, whether the there are any training needs and whether the deadline is realistic. It would be unhelpful for a new trainee to be given complex, difficult and contentious cases. Completing such a report may risk the trainee’s attendance at court too early in their career. It is also important to consider whether the client is receiving the best possible assessment and treatment. The supervisee can be professionally and emotionally vulnerable in the supervision relationship (Koocher & Keith-Spiegel, 1998). Acting as a supervisor is a position which places the supervising psychologist in a position of power over the supervisee. If the supervisor has concerns about the ethical practice of the supervisee this can be addressed in supervision and it is within the role of the supervisor to challenge, guide and educate. Within this dynamic it becomes more difficult, however, if the supervisee has concerns about the ethical conduct of the supervisor. A range of examples might be if the supervisor does not keep appointments, takes the credit for the work of the supervisee, or gives the supervisee cases which are too complex. Unless the supervisor and supervisee have a contract where feedback to the supervisor is welcomed, the supervisee may struggle to express their concerns and may need to discuss these concerns with the supervisor’s own supervisor or manager. Again, this scenario can be initially addressed by supervisor and supervisee agreeing the principle and process of mutual feedback in the supervision contract. In many services, the supervisor is also the line manager for the supervisee. This duality of role is more likely to present difficulties for the supervisee than the supervisor. It can be difficult for the supervisee to openly and fully engage in the supervision relationship if there is an awareness that the supervisor will at a later date be completing an appraisal or evaluation, providing a letter of reference, or even making decisions about promotion or career development. There is a risk that this situation can leave the supervisee feeling inhibited and unwilling to appear to lack knowledge or expertise during supervision. It is important to note that supervision should continue throughout a psychologist’s entire career. In some organisations, the supervision of chartered psychologists can be deemed less important and it can be challenging for psychologists who are head of a service to access supervision from a more senior psychologist. In such instances it may be necessary to arrange a supervisor who is external to the organisation or organise some type of peer supervision with psychologists in a similar situation.
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Relationships with Clients and Other Professionals Relationships with clients in forensic settings need to have clear boundaries in order to remain professional and protect both the psychologist and client. Boundaries can be particularly relevant when working with personality disordered offenders where the patients often have major difficulties with relationships and may even attempt to manipulate staff in order to try to ensure their needs are met. An obvious breach of ethical code is to have a sexual relationship with a client. However, a breach of boundaries within the relationship need not be so extreme. Buying or accepting gifts from forensic clients in secure settings might not only breach the rules of security but may also reflect a difficulty maintaining the relationship as purely professional. Such acts can be riddled with difficulties as this can give misleading messages to the client (suggesting the relationship is a friendship or ‘special’ in some way). This can ultimately mislead and have a negative impact on the client. In such cases it is important to remember that, even though forensic clients may have caused harm to others, they are still a vulnerable group by virtue of their incarceration, any difficulties they may have and their position of power in comparison to staff working in institutions. Such breaches can be prevented by providing appropriate supervision and training to staff working in forensic settings. One further area worthy of reference is the situation where a romantic or intimate attraction arises between the psychologist and supervisee (or client). The BPS Code of Ethics and Conduct (2006) is very clear in this respect, and states that psychologists should ‘refrain from engaging in any form of sexual or romantic relationship with persons to whom they are providing professional services’ (p.21). Moreover Koocher and Keith-Spiegel (1998) observe that professional relationships with supervisees, employees (and corporate clients) carry the same ethical duties as those with clients in therapy.
Multidisciplinary Teams Historically psychologists often functioned as a discrete professional group within a service. However, increasingly psychologists in forensic settings work as part of multidisciplinary teams in order to develop, manage and deliver forensic services (Needs & Capelin, 2004). This team can include criminal justice workers, prison staff, nurses, psychiatrists and managers. This multidisciplinary structure can enable coordinated and effective delivery of services. In addition, with an increasing number of staff from wider disciplines undertaking specialist training to deliver therapy, this role is no longer unique to psychologists. Other disciplines can undertake duties traditionally associated with psychologists such as assessment and delivering psychological interventions. Several ethical issues emerge for psychologists working in such multidisciplinary teams. Different professions have different ethical codes, which can lead to differences in opinion or different ways of working which have to be resolved in a way that is suitable to each discipline and in the best interests of the client. For example, a
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colleague may refer a client with a history of arson for ‘offence-focused work’, perhaps with a time frame for this work to be completed. The psychologist might consider further assessment and formulation work necessary prior to this type of offencefocused work. The psychologists might have concerns about the client’s level of understanding and wish to conduct a cognitive assessment or prefer to conduct further assessment of the functions of fire-setting, with concerns that direct, offencefocused work could destabilise the client. The psychologist would need to communicate their viewpoint to the team, with a clear rationale for this viewpoint and why they consider such an intervention to be unethical and inappropriate. It is noteworthy that as psychologists integrate into wider teams, psychologists may even receive clinical and/or management supervision from non-psychologists. In such situations it is important that the psychologist communicates the nature of their ethical codes when necessary. For example, non-psychologist managers may be less aware of the needs of psychologists; consequently psychologists need to communicate the importance of commitment to continuing professional development to ensure that their needs in terms of sustaining developing practice do not go unmet. To practise areas of psychology without the necessary training could attract an ethical complaint. Koocher and Keith-Spiegel (1998) also refer to the ongoing development of a psychologist’s repertoire of competence over their career span and the need to ensure that adequate further learning takes place. The training needs of psychologists will change over the course of their career; for example, newly qualified psychologists often require specific training in using assessment tools or practising a particular form of therapy whereas more senior and consultant grade psychologists might benefit from leadership or management training. In a culture where training can be perceived as over and above the requirement of the role, it may be that psychologists in a consultancy or advisory role need to promote the importance of having an adequately trained workforce. Engaging in assessment of therapeutic work without the necessary training could be potentially harmful to clients.
Training Others Training others is an area where psychologists in forensic settings can contribute to services and enhance the knowledge and practice of other professionals. An important consideration is how much responsibility the psychologist delivering training has for how the trainees apply the learning from the training. A possible scenario is that a participant is trained in a risk assessment or personality tool but uses the tool incorrectly and makes inappropriate recommendations for a client. Because of the potential consequences, it is important that psychologists do not simply provide training to other professionals but include a method for evaluating each trainee’s performance with follow up if required. In the case of training a professional to use a structured risk assessment tool, it would be appropriate to ask each participant to complete and submit anonymised case studies following the training session to demonstrate appropriate application of the risk assessment tool. Nonetheless, this can still present with challenges as to how the trainee may use the tool in the future. Ultimately, there needs to be a discussion as to the aims, goals and limitations of the training.
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Whilst it is often seen as a ‘right’, access to training or development as part of a specialist role has its own ethical considerations. The psychologist assessing for relevance, need and likely outcome from training needs to be mindful that within the Code of Ethics and Conduct, they must be clear about who the primary client is – the organising authority of the training, the training recipient or the client group who will be attended to by the trained person. Debates surrounding training of staff/ colleagues require resolution, much the same as in other areas of practice, in spite of the apparent innocuous nature of such activities at first inspection. It is important to remember that, in working for a public body such as the Health or Prison Service, funds must be spent responsibly. People should ensure if they are sent on training, this will benefit the organisation and, more importantly, service users. It is important to consider how learning from even the most high-quality training may not be transferred to practice. The internal validity (the extent training changes behaviour) and external validity (the extent training is generalised to the work setting) can be compromised because of peer group influences and inadequate line management support (which can hinder opportunities to practise and develop). This area of practice is expanded upon by Vickers, Morgan and Moore (Chapter Three, this volume).
Working in Groups with Clients In the past 15 years, particularly following the work of Andrews and Bonta (2003), which has been a cornerstone in the move towards the international roll out of cognitive behavioural programmes, and the development of the risk–need–responsivity model, there has been a surge in the delivery of cognitive behavioural therapy to clients in a range of forensic services. Whilst facets of the interventions have been subjected to careful scrutiny and audit by bodies, such as the Correctional Services Accreditation Panel (CSAP) and the National Institute for Clinical Excellence (NICE) in England and Wales and the Risk Management Authority (RMA) in Scotland, consideration in respect of the ethical aspects of such activities has received less attention in the organisational implementation aspects of the role of the psychologist. This may be partly due to a focus on the intervention content as opposed to the process of treatment from an ethical perspective. The BPS Code of Ethics and Conduct (2006) refers to a client as ‘any person or persons with whom a psychologist interacts with on a professional basis. For example, a client may be an individual … a couple, a family group, an educational institution, or a private or public organisation, including the Court … [the psychologist] may have several clients at a time including, for example, those receiving, commissioning and evaluating the professional activity’ (p.5). In the context of advising organisations on the provision of group activities the psychologist needs to be mindful of achieving an ethical balance between the various stakeholders on which the intervention will impact: the organisation, the individual participant, the public (including participants when they leave the institution) and the staff facilitating the intervention. A critical consideration in an institutional setting is the extent to which the client can be considered to be in a position to seek alternative treatment if they do not see
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the provision on offer to be of benefit to them (Koocher & Keith-Spiegel, 1998). In seeking to advise on the implementation of group work activities, recognition of the vulnerability of participant clients is at the centre of any ethical decision-making process. Moreover the psychologist needs to be clear about their own ethical stance in respect of this issue before agreeing to engage in a consultation involving working with clients in groups. When pathways to a successful return to community living as a free member of society are increasingly prescriptive (Home Office v. Walker and James, 2008), the emphasis on access to organised psychological interventions has increased, potentially increasing the vulnerability of clients and the importance of gaining informed consent. Considerations around the extent to which the client feels coerced into psychological interventions by motivations to gain ultimate release are highly pertinent here. This can be particularly relevant in the services developed for offenders considered to meet the criteria for a specific offending behaviour programme. Clients identified as suitable for assessment for this programme but who are refusing to engage in such a process may find themselves unable to progress through the system. It is important to also consider whether the organisational culture present in the institution’s operations will compromise the degree to which informed consent is effectively threatened. Current cultures driven by the need to achieve set targets in addressing unhelpful behaviours in clients can at times seem to undermine the ability of the client to engage with interventions through a motivation to change, rather than satisfy a set of criteria linked to a desired outcome. A culture of compliance over choice might be seen as an example of this. The psychologist, acting as a consultant to implementing such activities in an institution, needs to consider such factors. Farquharson (2004) and Haigh (2004) both note the importance of engaging with management and staff groups in implementing psychological therapies within institutional settings. The psychologist needs to consider, as Farquharson (2004) argues, that safety for all, consistency, reliability of social structure and predictability are all key elements of an effective, therapy-supportive, leadership style. In effect, informed consent for psychological treatments is best supported where the client feels safe in choosing not to engage until they are ready and that they will not be disadvantaged in their period of incarceration/custody/institutional care by not consenting to treatment. These issues can often be complicated by institutional policy, legislation applying to institutional clients, clients’ mental state and their interface with the staff dynamics. An example of this would be the development of treatment programmes in secure settings. Some treatment programmes can relate to highly sensitive material, such as the Sex Offender Treatment Programme or Dialectical Behaviour Therapy (a treatment programme designed for patients with borderline personality disorder), and can be easily undermined if not supported by staff in the institution. For example, it would be detrimental to clients if staff in the secure setting were to appear unsupportive of these initiatives. In the UK, significant work has been undertaken by the Correctional Services Accreditation Panel to address these issues in prisons through the use of audit practices whereby ideal operating conditions for treatment programmes are documented and specified and each site is examined annually for its level of adherence. Prisons falling below 80% overall compliance will be reviewed as to their ‘fitness’ to continue with the treatment (CSAP, 2007). Whilst processes such as this can serve
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to provide an organisational level of reassurance, the psychologist acting in the role of consultant to provision should place ethical considerations foremost irrespective of organisational policy, disengaging and documenting shortcomings where the risk to assuring ethical procedures and decision making is in doubt (BPS, 2006, para. 3.2, p.17). In order to have a supportive and ‘healthy’ forensic setting in which residents are cared for, it is important that staff are looked after and perceive this to be meaningful (Newell, 2002). It is commonplace for individuals working with forensic clients, for example those convicted of sexual offences or with complex personality disorder, to receive counselling to protect against the psychological damage that can result from this work.
Conclusions This chapter has sought to illustrate a range of some, but not all, ethical considerations when acting in a consultancy and advisory capacity across a sample of roles in forensic settings. A number of key points emerge. When working directly with forensic clients, it is paramount that the client understands and gives informed consent to any assessments or interventions. Equally important is the selection of appropriate tests, assessments and organisational tools (e.g. the use of psychometric tests validated on a forensic population). Any opinion should be based on the test results with the appropriate qualifying statements, including the limitations of the testing. Whilst psychologists can be particularly vigilant when working with clients, particularly in an increasingly litigious culture, psychologists need to ensure they maintain professional and ethical standards in all other domains of their work. Specific roles undertaken by psychologists will present their own ethical issues, such as the role of an expert witness where objectivity and competence are key issues. Any potential conflicts of interest also need to be considered. When advertising psychological services, the psychologist needs to consider ethical aspects of service and product description and advertise without deception. The roles of clinical supervisor can be well accepted in forensic settings. Supervisors can take a number of steps to ensure the success of this relationship in an ethical manner, including ensuring supervision is structured and regular and a supervision ‘contract’ is agreed from the outset which clearly states each person’s role and responsibilities, as well as any limits to confidentiality. The supervisor needs to demonstrate the same ethical principles with a supervisee as with a client, and communicate in an ethical and skilled manner. Finally, when offering treatment in forensic settings it is important not to ignore the influence of the wider setting. Psychologists often have an important role in overseeing the delivery of therapy in such settings. Clearly this chapter has only covered a small range of the potential areas where ethical considerations might impact on the actions of psychologists consulting and advising in forensic settings. It can be the case that these aspects may be neglected at times in some psychologists’ everyday thinking, and only attended to at times of reflection on practice. It is intended that the foregoing discussion and review encourages the reader to pursue what is a central tenet of practice in a clearer way, referring to their own circumstances and practice issues.
Part
II
Consultancy and Advising from a Practical Perspective
Chapter
Five
The Application of Cognitive Interview Techniques as Part of an Investigation Andy Griffiths and Becky Milne
Modern police investigations in Britain rightly place great emphasis on witness evidence, as a result of miscarriages of justice associated with false confessions. However, the fallibility of human memory demands that witnesses are interviewed appropriately in order to prevent fresh miscarriages caused by unreliable witness evidence. A significant body of laboratory research has shown that the cognitive interview (CI) and enhanced cognitive interview (ECI), which were developed to improve police interviews with witnesses, are superior to the standard police interview in obtaining reliable information from victims and witnesses. However, as well as understanding the cognitive interview and enhanced cognitive interview models, any consultant seeking to advise investigators about the real-world application of these techniques also needs an understanding of the broader issues, both historic and contemporary, that impact on their successful use within a real-life investigation. This chapter, therefore, aims to place the use of cognitive interview techniques within the context of a modern police investigation. The chapter opens by describing the research evaluations of police witness interviewing that identified inherent problems with the natural interview techniques of both American and British police officers, and how these techniques detrimentally affected the information provided by witnesses. The chapter then summarises the components of both the original CI and the ECI models that were developed to counteract these deficiencies, before discussing the research that has been conducted to evaluate the effectiveness of the techniques. In particular, the Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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discussion focuses on the applied research that has been conducted, as this has particular relevance to the application of the techniques in the field. The chapter then switches focus to describe the structured approach to the management of witness interviewing within the context of a major crime investigation in England and Wales. The chapter concludes by offering some practical advice for consultants to consider when becoming involved in police investigations.
The Importance of Witnesses The assertion that witnesses are central to the solving of crime (Stewart, 1985) is unequivocally accepted by stakeholders across all areas of criminal justice, as evidenced when reading academic literature, government policy or police training manuals. For example, published research from the United States and the UK shows that police officers in both countries agree that witnesses most often produce the crucial leads in cases (Kebbell & Milne, 1998; Sanders, 1986). Furthermore, in the UK where, due to miscarriages of justice associated with false confessions (see Gudjonsson, 2003), prosecution witness evidence is viewed as more important than a suspect’s confession (Wolchover & Heaton-Armstrong, 1996), the government recently invested £36 million in the ‘no witness, no justice’ programme (Criminal Justice Service, 2004). This programme was initiated after identifying that 15% of all ineffective trials in 2002/03 were the result of prosecution witnesses refusing or failing to give evidence. Finally, the Murder Investigation Manual (ACPO, 2006), which determines best practice for the most serious investigations in England and Wales, explicitly states that ‘the success of any homicide investigation depends largely on the accuracy and detail of the material obtained from witnesses’ (p.198). Balanced against this belief in the importance of witness information is the longstanding contention that witness memory is fallible (Munsterburg, 1908). Indeed, the latest advice offered to the criminal justice system by the British Psychological Society (Conway & Holmes, 2008, p.2) emphasises that:
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Memory is a constructive process that is prone to error and is easily influenced by the recall environment, including police interviews. Memory is a record of a person’s experiences of events and not a record of the events themselves. Memories should not be compared to a visual or audio recording. Memories for experienced events are always incomplete. Any witness account will include forgotten details and gaps. An account that does not feature gaps or omissions is highly unusual. Recall of any number of specific details is not a guarantee of accuracy and independent corroboration should always be sought. The content of memory comes from witnesses’ comprehension of the experience, both conscious and unconscious. This content can be modified by the process of recall. Memory can be confabulated. People can remember events that they have not experienced through a blend of different, but similar events.
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Memories for traumatic experiences, childhood events, memory in younger children, older people and vulnerable people all have special features.
Incorrect witness evidence can in itself lead to miscarriages of justice, just as in the case of poor confession evidence (Huff, Ratner & Saragin, 1986; Savage & Milne, 2007). Crucially, research in the area of memory has also shown that poor questioning can exacerbate its inherent unreliability (Conway & Holmes, 2008; Loftus & Zanni, 1975; Mello & Fisher, 1996). However, until comparatively recently police officers were not routinely trained to interview witnesses and attempting to determine the quality of real-life police interviews with witnesses has proved difficult and as a result there have been very few examinations of real-life witness interviewing. The main reason for the lack of field research in this area is that, historically, the focus of attention has been on suspect interviewing due to miscarriages of justice associated with unreliable confessions (e.g. Baldwin, 1993; Gudjonsson, 1992; Irving, 1980; Mortimer, 1994; Moston & Engleberg, 1993; Moston, Stephenson & Williamson, 1990). On a more practical level another reason has been the fact that very few adult witness interviews are recorded allowing for them to be examined in the first place. However, this is changing in England and Wales due to the implementation of new legislation, policy and procedures opening up the doors of the witness interview room to the researcher (e.g. Youth Justice and Criminal Evidence Act, 1999). Unfortunately, of the research studies that have been undertaken, all have revealed poor interviewer performance. One of the earliest published examinations of real-life police witness interview techniques was conducted among robbery squad detectives in the United States (Fisher, Geiselman & Raymond, 1987). This study revealed that the officers did not construct the interviews in a way that maximised the recall potential of the witnesses, and a number of basic problems were identified in the technique of the officers (Milne & Bull, 1999). Questions about possible offenders were often asked in a stilted formulaic way as dictated by the format of the official report that would be required, rather than in a way that assisted accurate recall. Witnesses were often interrupted and questions often had negative phraseology or were misleading. A separate study conducted in the UK around the same time (George, 1991) found remarkably similar deficiencies among British police officers. A further study of witness interviews conducted in the UK (McLean, 1992) predicted (based on a previous study of interviews with suspects within the same force) that the officers would use a high proportion of leading and closed questions, would monopolise the talking time, and would distort the witness’ accounts. Indeed, 66% of the questions asked were inappropriate, a higher proportion than found in the parallel study examining interviews with suspects (McLean, 1992). McLean, himself a police officer, concluded that there was ‘a much greater willingness by the police officer to encourage a suspect to talk freely than a witness’ (1992, p.28). A more recent national evaluation of police interviewing in the UK (Clarke & Milne, 2001), conducted after the implementation of a national interview training programme, also found a poor skill level in the witness interviews that they examined, and similar to McLean, highlighted that the interviews with suspects were of a higher standard. In the witness interviews very few officers made the effort to develop rapport with the interviewees and the interviews
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were police led. However, the high proportion of leading questions seen in other studies did not feature to the same extent. Even before the published research was conducted, police officers and lawyers realised that witness interview techniques could be improved and the original CI was developed by US psychologists Ed Geiselman and Ron Fisher as a result of requests from legal professionals, including police officers (Memon, 2006). The CI and the ECI, which came about as a result of further research, will now be described.
The Cognitive Interview The CI is based upon two theoretical principles of memory. The first of these is the multicomponent view of a memory trace (Tulving, 1991), which states that memory is a network of associations. Thus, a memory trace may be accessed via several paths, using different retrieval cues. Accordingly, if memory is not recovered via one type of retrieval cue then it may be accessed by another (Tulving, 1974). The second theoretical principle is the encoding specificity principle which states that memory is context dependent and thus, effective retrieval is facilitated by the feature overlap of the retrieval cue itself and both the information and the context of the encoded input trace (Tulving & Thomson, 1973). The original cognitive interview comprised four individual mnemonics (Clifford & Memon, 1999; Dando & Milne, 2009; Fisher & Geiselman, 1992; Köhnken, Milne, Memon & Bull, 1999; Milne & Bull, 1999) designed to enhance memory retrieval of witnesses and victims of crime. These will now be described. The first of the CI mnemonics is context reinstatement and is thought by some to be the most important part of the cognitive interview (e.g. Clifford & Memon, 1999; Davis, McMahon & Greenwood, 2004). This instruction asks the witness to mentally reconstruct both the physical and personal features of the witnessed event. This would include the physical description of the scene and the sensory features such as what the interviewee could hear or smell. The theory behind this technique is that any aspect (physical, environmental and personal, feelings at the time) of the witnessed event that has been encoded into memory can potentially serve as a retrieval cue which could in itself help to access memory and thus in turn improve recall of the witnessed event (Memon & Bull, 1991). The task of mentally recreating the context is not easy (Memon, 2006) and the interviewer assists the interviewee by giving a context reinstatement instruction. This consists of a number of linked instructions delivered with a pause between each, thereby allowing the witness to recreate the context as required. For example, the following instruction could be given to a witness who reported seeing a man run from her neighbour’s house as she left to go shopping: Close your eyes. Think back to that day. Picture the house in your head. Get a clear, clear picture of that house in your mind. Think about all the objects that were there on that day. Think about all the colours you remember seeing. Think about all the sounds that you can remember hearing. Think about how you were feeling. Think about what you
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were going to do. Then, when you are ready and you have a clear picture in your mind, tell me everything you remember in your own time and in your own pace. You have as long as you want.
The context reinstatement instruction can take some time to deliver, as a pause should be taken between each mini-segment, allowing the interviewee an opportunity to rebuild the image or feeling. Milne (2004) also recommends that the statements are given in the past tense (as opposed to the present) and that the interviewee may find it helpful to look at the floor or close their eyes to assist concentration if they feel comfortable doing this. This helps to focus the retrieval process and aims to stop any distractions or diverting the interviewee’s attention away from the task in hand: memory retrieval. Even an interviewer’s gaze could detract from the retrieval process. The second mnemonic is an instruction to the witness to report everything, including the smallest details, even details the interviewee thinks are not important, even partial information, also information that the interviewee is not sure about, or information that the interviewee believes the interviewer to already know. Everything that pops into the interviewee’s mind needs to be reported so that all the information known to the interviewee is given to the interviewer. There are several reasons why this instruction is very important to the interview process. Firstly, an event is represented in memory at several different levels ranging from the general to the very detailed and unless specifically prompted witnesses tend to report from the general (Milne & Bull, 1999). Secondly, from an early age children learn how to interact with each other following social rules (Shepherd, 2007). One such rule is the ‘maxim of quantity’ (Grice, 1975) where it is considered rude to dominate a conversation by doing the majority of the talking; and where turn taking in conversation is the norm. Thus, this instruction starts to give permission to the interviewee to break this basic communication rule. Furthermore, due to social stereotypes (often developed from the television: Milne & Scott, 2005) witnesses often believe that the police interviewer will do most of the talking within a police interview as they see them as an authority figure who should dominate the situation, whereas the reverse should be true – the interviewee has all the necessary information, thus should dominate the talking time. Therefore an explicit instruction for the interviewee to tell the interviewer everything can help to start to indicate what will be expected and alleviate the anxiety felt at breaking these conversational rules. Also, some interviewees will edit their narrative based on elements they consider to be too trivial to mention (Memon, 2006) or assume that they know the type of information that will be of interest to the police and therefore only report this information. These decisions are influenced by a number of factors including previous experience of the police and assumptions about the interviewer’s knowledge of the witnessed event (Milne & Bull, 1999). The report everything instruction encourages interviewees to report as much detail as possible, even if they only remember part of the information (Köhnken et al., 1999). An example of this instruction is; I was not present at the car park this morning so I need you to tell me everything that you can remember, even the things that appear trivial, unimportant or that you cannot
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recall completely. Even the smallest pieces of information may help the investigation. Everything that pops into mind you just let me know, even if you think we already know them. Please take your time and tell me everything you remember.
The third mnemonic is to ask the witness to recall the incident from a variety of different personal perspectives (i.e. different people present at the incident). (Please note that this instruction is sometimes erroneously represented as asking the interviewee to imagine being a bird circling above the incident, which it definitely is not!) This instruction arose from research by Anderson and Pichert (1978) who asked two groups of participants to remember a detailed story from different personal perspectives: house buyer and burglar. After a delay the participants were asked to write down all they could remember about the story. Once they had said they could not remember anything further, the participants were asked to change perspectives and attempt to recall the story from the altered perspective. It was found that the participants did recall further detail from the ‘new’ perspective. Gilbert and Fisher (2006) also found that interviewees recalled further accurate information about a video of a bank robbery when asked to recall it seen from the perspectives of the police officer and offender. This instruction asks the witness to place themselves in the shoes of another person at the incident. For example, ‘I am going to ask you to try something else for me. This may help you recall other information but please do not guess. What I want you to do is think about another person that was there. Think about where s/ he was and isolate everything that you can remember about them, as if they were in a spotlight’ (Dando & Milne, in press). The use of the change perspective instruction has given rise to several concerns, particularly that it could confuse a witness or lead to speculation by a witness (Fisher & Geiselman, 1992; Kebbell & Wagstaff, 1996). It is important therefore that witnesses must be told not to guess when using this instruction and to report only what they have actually experienced. The final mnemonic that constituted the original cognitive interview is the change the temporal order of recall instruction, which is an instruction to the witness to make numerous retrieval attempts from different starting points in their account (e.g. reverse order recall). For example: I would like you to try something that can sometimes help people remember extra information. I would like you to tell me about the event but this time backwards. Let’s start with the last thing that you can remember happening. Now go back to what happened just before that, and now just before that (and so on until the start).
The rationale for this instruction is based on the constructive nature of memory (Milne & Bull, 1999). When asked to recall an event, most witnesses will be influenced by a number of factors including prior knowledge (e.g. of the physical location or the type of incident), plus scripts (i.e. what they may expect to happen in a particular situation, e.g. what typically happens on a Friday night). In addition, most witnesses when asked to give a free recall will do so in a relatively forward order, with some jumping about in time (Memon, 2006). In doing this the witness will use scripts and report information consistent with the script. The change order instruction
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causes the interviewee to examine the memory in a different way and can result in additional information being reported which is not contained within the script. The instruction can ‘deactivate’ the sequential retrieval cue and prompt the retrieval of more script inconsistent details generating fewer errors associated with script associated assumptions (Ginet & Py, 2001). Research (Geiselman & Callot, 1990) has found that this technique is more effective than numerous recall attempts from the beginning of an account. Also, the additional information gained in this way can distinguish the witnessed event from other, similar, events (e.g. in repeat domestic and family violence scenarios). This is particularly relevant where the incident witnessed occurred within the usual routine of the witness. For example, the witness seeing a seemingly innocuous incident while walking a regular route to work that that he/she only realises is significant as a result of a later press appeal. After developing the original CI the originators (Fisher et al., 1987) subsequently identified that police officers conducting real-life interviews neglected to use elements of interpersonal communication that were important. For example, they noted that the order of questioning was haphazard and poor question types predominated the interview (see Clarke & Milne, 2001 for more on problems with real-life police interviews with witnesses). Therefore, they developed the enhanced cognitive interview or ECI (Fisher & Geiselman, 1992), so called because it is even more effective than the original CI and includes the psychology of communication as well as the original mnemonic strategies outlined previously (Clifford & Memon, 1999). The ECI provides a structure where each phase contributes to the success of the whole interview (Geiselman & Fisher, 1997). The summary of the nine phases of the enhanced cognitive interview illustrated in Figure 5.1 and described below is taken from a training manual (Milne, 2004) that forms the basis of the model taught to police officers in England and Wales at the time of writing. It is important to note that ECI training should emphasise that the CI/ECI techniques are akin to being tools on a belt, and good cognitive interviewers should know which tools to use at what stage in the interview and moreover should realise that some techniques may not be appropriate in some circumstances and with some individuals. Cognitive interviewing is not an all-or-nothing approach; instead good cognitive interviewers should create a recipe of strategies dependent on interviewee, situation and time. (See also Fisher & Geiselman, 1992 and Milne & Bull, 1999 for a more detailed description of the ECI; see also Achieving Best Evidence, Chapter 4, Home Office, 2007.) Phase 1 – Greet and rapport. The opening phase of the interview determines how successful the interview will be. Interviewers should introduce themselves by name (not too formally) and personalise the interview. Posing neutral questions not associated with the witnessed event that can be answered positively can reduce anxieties felt by the interviewee. The use of open questions at this point can also encourage the interviewee to give elaborate responses of the type that will benefit the later stages of the interview (teach them to talk). Rapport is particularly important where the information to be discussed is very personal. Showing empathy through active listening and non-verbal behaviour is also important both at this stage and throughout the interview.
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Phase 1: Rapport Greet and personalise the interview Phase 2: Explain the aims of the interview Focused retrieval/report everything/transfer control Phase 3: Initiate a free report Context reinstatement/open-ended question/pauses and no interruptions Phase 4: Questioning Report everything/interview compatible questioning Phase 5: Varied and extensive retrieval Change the temporal order/change perspectives/focus on all senses Phase 6: Investigatively important questions Cover key issues required by investigation Phase 7: Summary Use interviewee’s words/inform interviewee it is okay to alter or add information Phase 8: Closure Gradual return to neutral topics/thank interviewee/invite questions/provide contact/demographic information Phase 9: Evaluation Evaluate information obtained/evaluate interviewer performance
Figure 5.1 The nine stages of the enhanced cognitive interview (adapted from Milne, 2004)
Phase 2 – Interview aims. Focused retrieval and transfer the control of the interview to the interviewee. Memory recall at the most detailed level requires intense concentration and thus it needs to be conducted in an environment where there is peace and quiet. Therefore, interviewers should attempt to create an atmosphere where this is possible and explicitly tell the interviewee that they have unlimited time. It is at this point that the interviewee needs to be encouraged to report everything that they have witnessed. In addition many witnesses will expect the interviewer to control the interview, in line with either their previous experience of the police or perceptions. The interviewer in a cognitive interview is not there to control events but instead to facilitate the recall of the witness; it is the interviewee’s interview and not the interviewer’s. The interviewer must thus overtly pass control of the interview to the interviewee. Phase 3 – Initiating the free report. This phase employs the context reinstatement instruction as described above. Sometimes it is useful to get the interviewee to use a sketch plan at this stage in the interview to help initiate the context of the event as this strategy has been found to be as effective as using the mental reinstatement of context version as described earlier (Dando, Wilcock & Milne, 2009). After the
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interviewee has successfully recreated the context the interviewer should prompt an uninterrupted free report of the witness’s event. Phase 4 – Questioning. This is the area of the interview where the interviewer asks questions based upon the free report given by the interviewee, and the interviewer should structure the questioning in the order that the interviewee remembered the event (witness-compatible questioning), not in the interviewer’s own predetermined order. It is important at this stage to repeat the ‘report everything’ instruction and to emphasise that it is acceptable for the interviewee to say if they do not know the answer to a particular question. Equally the interviewee must say if a particular question is unclear. In this phase mini-context reinstatement is also used to assist the interviewee to create a mental image of the more specific details of the event, at a particular point in time, for example, a weapon seen in the offender’s hand, or a physical peculiarity. It is important within this phase to use open questions to initiate a further free recall of a specific segment of the event before probing or using specific closed questions. ‘Topic hopping’ should also be avoided; instead each subject area should be exhausted before moving onto another. Phase 5 – Varied and extensive retrieval. This is the phase (and sometimes earlier) where varied retrieval strategies such as reverse order recall and the change perspective instruction can be used if applicable. It should be noted that asking the witness to perform multiple recalls in this way, could be construed negatively by the witness, and care should be taken to explain the reason for attempting these methods. The use of each of the five different senses can also be used as further retrieval prompts, dependent on the nature of the event. For example, in an arson case smell may be highly important. Phase 6 – Investigatively important questions. This phase is an example of pragmatic adaptation of the theory underpinning the cognitive interview in order to accommodate the needs of a real-life investigation. At some point in the interview it may be necessary to introduce information that the interviewee has not yet mentioned but that is deemed important to the investigation. Therefore, the information given to the interviewee may be leading and the resultant information of less evidential value. Interviewers have had explained to them the drawbacks of using leading questions and are taught how to manage their appropriate use in the interview. Phase 7 – Summary. At the conclusion of the interview the interviewer should summarise the interviewee’s account using the interviewee’s words to check their own recall for accuracy. It should be made clear that it is acceptable for the interviewee to add information at this point in line with their being ‘in control’. It is to be noted that interviewers should be warned against using too much summarising within an interview with a witness/victim as it can have many detrimental effects. Such practice can be seen to contradict the transfer control ethos of a cognitive interview; it can unnecessarily lengthen the interview process for the interviewee; it can detract an interviewee away from the retrieval process and hinder focused retrieval. Even more worryingly, if the interviewer has any prior knowledge of the crime itself, summaries could lead to the interviewer introducing this information into the summary and thus has the potential to contaminate the interviewee’s account of
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events (see Conway & Holmes, 2008). This is why summaries in most interview witness/victim interview protocols are left to the end of the interview. Phase 8 – Closure. It is important that the interview concludes in a positive mood. The interviewer should gradually return to neutral topics and provide information about what will happen after the interview, taking care to answer any questions the interviewee may have. This is the appropriate time to gather demographic information that the (police) interviewer will need for official documentation as these questions generally require short focused answers. Phase 9 – Evaluation. The evaluation phase of the interview should take two forms: firstly, assessment of the information obtained; and secondly, evaluation of the interviewer’s performance. Objective and candid reflection on the interviewer’s performance is vital for continual professional development.
Evaluations of the cognitive interview Including the initial evaluation studies conducted by Geiselman, Fisher and colleagues the effectiveness of the cognitive interview and enhanced cognitive interview has been examined in over 65 laboratory tests (Fisher, Brennan & McCauley, 2006; Köhnken et al., 1999). These have included research examining the effectiveness of the cognitive interview with vulnerable groups such as the elderly (Mello & Fisher, 1996), and adults with mild learning disability (Milne, Clare & Bull, 1999). Studies have also made comparisons between the cognitive interview and more simplistic techniques such as straightforward repeated recalls (Campos & Alonso-Quecuty, 1999). The full extent of this research will not be covered in detail here (but see Dando & Milne, in press; Hollin, van Koppen & Penrod, 1999; Milne & Bull, 1999 and 2nd edition in prep.). Nevertheless, not one experiment has been reported where the cognitive interview has produced less information than a comparison interview (Köhnken et al., 1999). The evidence from laboratory-based research is convincing in demonstrating the effectiveness of cognitive interview techniques. However, when seeking to apply the techniques to real-life interviews and investigations it is relevant to note that these positive results generally arise from a restricted standard research paradigm (Brock, Fisher & Cutler, 1999; Griffiths, 2008) Firstly, the participants involved are willing undergraduate students who will probably have prior information about the technique through literature and peer knowledge. By way of contrast, the motivation and knowledge of both police officers and witnesses in real-life cases is much more variable. Secondly, the participants either see a brief staged event (e.g. puppet show) or watch a film clip (e.g. blood donor session) before being interviewed using the cognitive interview, as one of a number of conditions, following a short time delay. Certain studies (e.g. Geiselman et al., 1984) have used more realistic ‘violent’ events loaned for research purposes from police departments but these still portray simulated incidents with little emotional involvement for the participants. Furthermore, it is also acknowledged (Köhnken et al., 1999) that very few studies have applied a time delay of more than seven days and that it is difficult to measure the effectiveness of the technique beyond this period. This factor is particularly relevant to real life as it is
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quite usual in major crime enquiries to locate and interview witnesses considerably longer than one week after the incident. Finally, as well as the nature of the events used and the relatively brief time delay, a further feature affecting the ecological validity of the published laboratory studies on cognitive interview techniques is the duration of the events for which participants have been interviewed; a point emphasised when watching one of the original training films. This film depicts an American investigator applying the cognitive interview with a witness who has seen a car drive away from a bank robbery; the witnessed event therefore lasting only a few seconds. The interviewer then goes through the complete cognitive interview process, using various recall strategies including reverse order recall. Due to the brevity of the incident the whole procedure is completed quickly and is portrayed positively. This simplistic representation of a stereotypical crime scenario involving a fairly neutral event for the witness contradicts sharply with the highly stressful experience of some witnesses in real-life cases who experience lengthy ordeals (often lasting hours or even days) involving numerous factors (e.g. multiple offenders or repeated incidents). This is an important point when considering the effectiveness of cognitive interview techniques in real life because it is acknowledged that the differences in the ‘emotional valence of an experience’ affect the accuracy of memory (Shepherd et al., 1999), and that traumatic memories are fundamentally different, being more memorable than everyday events. In contrast to the large number of published laboratory studies conducted into the effectiveness of the cognitive interview, very few field studies have been published (Memon, 2006). The first published study (Fisher, Geiselman & Amador, 1989) reported a detailed evaluation of witness interviews conducted by US detectives. In the initial phase, tape recordings of real-life interviews conducted by the officers using their usual techniques were collected and evaluated. Half of the officers then underwent a cognitive interview training programme. This consisted of four 60-minute training sessions, before conducting a further real-life interview and receiving feedback. All the officers then continued to interview real-life witnesses using either the cognitive interview or their usual techniques. A two-tiered evaluation was then conducted. This compared the number of facts elicited by the trained detectives before training to after training, and the number of facts elicited by trained detectives compared to untrained detectives (Clifford & Memon, 1999). The detectives who had been trained increased the amount of information that they obtained by 47% after training when compared with their own performance before training. After training the trained group also obtained 63% more information than the untrained detectives (Fisher, Brennan & McCauley, 2006). A second published study was conducted by George (1991) in England. George evaluated real-life witness interviews conducted by a group of police officers before and after training. The officers were randomly assigned to one of four groups. One group of officers received two days of training in the cognitive interview; another received seven days of training in conversation management (see Shepherd, 2007 for a full description), a third group received seven days of training in the cognitive interview and conversation management. The fourth group acted as a no-training control group (Clifford & Memon, 1999). Before training all the officers demonstrated a common schema for interviewing witnesses. This consisted of using closed questions,
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frequently interrupting the witness and directing the witness; George (1991) described this approach as the ‘standard’ police interview. After training, the group that had received cognitive interview training showed a large increase in their use of open questions, which resulted in a 55% increase in the amount of information provided by the interviewee (George, 1991). The positive training effect on the group that had received conversation management training was not significant and the group that had received both conversation management and cognitive interview training actually showed no improvement at all (Clifford & Memon, 1999). Indeed, there seemed to be a negative interaction effect of training both models together (Clarke, 2005). Both studies, however, suggested that cognitive interviewing would improve the interviewing of witnesses. More recently a third field study was conducted as part of a broader evaluation of an advanced interview training programme for detectives (Griffiths, 2008). The study examined the performance of 35 detectives who had qualified as advanced interviewers having received three days of enhanced cognitive interview training as a supplement to three weeks of ‘suspect training’ in how to interview suspects of serious crime (tier 3 training; Griffiths & Milne, 2006). Only lengthy interviews (average 1 hour and 20 minutes) with victims and witnesses of the most serious crimes, such as murder and rape, were used and a range of variables that focused on interviewer performance in each of the nine phases of the ECI were analysed. Contrary to the hypothesis, despite the amount of interview training these officers had received, the results of this study showed that the officers did not make full use of the cognitive interview techniques. Following initial use of the context reinstatement instruction the officers reverted to a pattern of directing the witnesses to areas of perceived crime relevance and asked a series of probing questions to elicit an account. While the officers did use predominantly appropriate questions types (Griffiths & Milne, 2006) the control exercised throughout the interviews was not in keeping with the ethos of the cognitive interview principles or model as taught and outlined in the literature. In one example a lengthy free recall from a paramedic who had arrived at the scene of a murder was followed by a series of questions about his training and qualifications that seemed to be asked as part of completing the criminal justice statement that would be required as part of the trial process, rather than a witness-orientated approach to obtain the most reliable account. The mental focus of the witness on the traumatic incident that he had witnessed was totally broken by this illogical switch in subject matter. Furthermore, the officer had told the witness that this was ‘his’ interview but then started to dictate the subject matter and sequencing of the interview along their own terms. Overall the participants in the study did not perform as skilfully in the witness interviews as they had in the suspect interviews and seemed less able to utilise the components of the cognitive interview even though they had received extensive training. It also appeared that the officers deliberately omitted elements such as recalling in different temporal orders, recall from different perspectives, rapport (worryingly) and the appropriate use of summary. The findings of this most recent study (Griffiths, 2008) corroborate other research (Clifford & George, 1996; Longford, 1996; Kebbell & Milne, 1998; Kebbell, Milne & Wagstaff, 1999; Clarke & Milne, 2001; Dando, Wilcock & Milne, 2008) which suggests that, in practice, police officers either do not use, or only use certain parts of the
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cognitive interview despite its proven success as an interview tool. For example, Longford (1996) found that although officers perceived the cognitive interview to be useful they did not always use it in practice. Kebbell et al. (1999) surveyed 96 experienced officers trained in the cognitive interview and found a consensus that certain elements were perceived to be more useful than others and were thought to be used more frequently. These were establish rapport, report everything, encourage concentration, witness compatible questioning and mental reinstatement of context. Other elements, specifically, different temporal orders, change perspectives and transfer control were rated as less useful and were thought to also be used less frequently. Nevertheless, officers noted that the cognitive interview produced better quality of evidence as well as a better relationship with the interviewee, particularly when the investigation lasted some months. The answers from the officers in this study are somewhat contradictory in that they rated witness compatible questioning as important and yet deemed it unimportant to transfer control of the interview to the interviewee, giving rise to a concern over their overall understanding of the model. Similarly Dando et al.’s (2008) survey of police officers with less than two years’ experience found that these officers also reported using certain components (e.g. rapport building, free recall and report everything) more often than others (e.g. mental reinstatement, witness compatible questioning). Looking across the studies described above it is apparent that there is no consistency concerning which elements were valued by operational officers and/or which were performed well (what people say they do and what they actually do are not one and the same). Establishing rapport was deemed important by the respondents in both the Kebbell et al. (1999) and Dando et al. (2008) research but the rapport component of the technique was performed poorly in the interviews observed by Griffiths (2008). Witness compatible questioning was also noted to be important and frequently used by the officers in the Kebbell et al. (1999) survey, however, these instructions were not thought to be as frequently used by the respondents in Dando et al. (2008) research and were found to be poorly performed by Griffiths (2008). As part of a follow up to his initial study Griffiths (2008) conducted in-depth interviews with officers to investigate their interview strategies. Certain officers stated that they deliberately retained control of the interview process even when they acknowledged that the interviewees were cooperative as they felt they knew what information was required in relation to the crime under investigation. The conclusion to be drawn from real-world research into the use of the cognitive interview is that officers appear unconvinced about the real-world applicability of the cognitive interview in its full form. This view may have emanated from a misunderstanding that all elements of the model have to be employed, in order, on each occasion (rather than a tool-belt approach as mentioned earlier) and may also be a comment on the quality of some of the training, described by some as ‘formalistic and inflexible’ (Shepherd & Milne, 2006), while Clarke & Milne (2001) also noted that the majority of time on British police interview courses was spent on ‘suspect training’. In 2001 the standard interview training course for police officers in England and Wales was the five-day PEACE training course covering both witness and suspect interviews. The course included both theory sessions and practice interviews with feedback for officers. Clarke and Milne noted that suspect interview training element
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was allocated the majority of time on these courses (three days) including double the amount of practice time (two days) compared to the witness interview training element. What is also clear is that the evolutionary pattern established by the development of the original CI into the ECI through ongoing research is continuing. This is as much due to environmental and investigative real-life factors as it is to the development of psychological knowledge and understanding. In the UK the police service, in an effort to deliver increased public satisfaction in the face of rising demands, is developing into a more professional service with greater numbers of specialised departments. This means that it is usual for frontline patrol officers (i.e. those arriving first at an incident), to be young in service and relatively inexperienced. In addition, changes in government policy have introduced extra police officers in the form of non-sworn officers, known as community support officers, to undertake high visibility patrol activities. These ‘officers’ are also highly likely to be the first people to encounter witnesses to serious incidents. The first contact with a witness is very important in determining the quality of their information and it is accepted that delay and postevent information have the potential to compromise the completeness and accuracy of recall (e.g. Anderson, 1983; Gabbert, Memon & Allan, 2003; Tuckey & Brewer, 2003), and that an early recall opportunity may reduce the amount of forgetting (Brock, Fisher & Cutler, 1999; McCauley & Fisher, 1995). Two very recent developments have sought to tackle this situation. Firstly, Gabbert, Hope and Fisher (2008) have developed a self-administered interview tool (SAI) that acknowledges the resource pressures on police officers faced at the scene of an incident with multiple witnesses and an insufficient number of trained and experienced personnel to conduct all the necessary interviews quickly. Early indications from laboratory-based studies suggest that the SAI is a simple and efficient method of collecting high-quality recall and produces more information than a simple free recall instruction. This is an important finding because the SAI lacks the social interaction that in part led to the development of the enhanced cognitive interview from the original cognitive interview. A second study by the same research team incorporated a seven-day delay between the witnessed event and the witness interview but included an interim SAI for one group of participants. The group who had completed the SAI outperformed participants in the other conditions. Field trials of the SAI are underway. Secondly, research into inexperienced officers’ perceptions of their own witness interview performance by Dando et al. (2008) identified that these officers felt ill equipped through both skills and available time to conduct a full cognitive interview as recommended in their training. The same authors as a result developed a modified, simplified and shortened cognitive interview which was evaluated by using a second group of inexperienced frontline officers. The modified model was found to be no less effective than the enhanced cognitive interview and was considerably quicker to apply leading Dando, Wilcock and Milne (2009) to recommend its use for timepressured situations. Davis, McMahon and Greenwood (2004) had previously suggested a shortened but not less complex, cognitive interview for precisely this situation. However, they still incorporated the mental reinstatement of context instruction which, in a frontline situation, may be impossible to use as it needs a quiet space and
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time to be most effective. Usefully, Davis et al. (2004) replaced the change order and change perspectives instructions (which officers often perceive to be less useful) with additional free recall attempts using a standard interview as a control condition. The results suggested that a shortened version was significantly better than the standard interview and could substantially reduce interviewing time but still produce reliable information. In summary this section of the chapter demonstrates that there is convincing evidence of the forensic effectiveness of the cognitive interview techniques when utilised with a willing witness who has witnessed a fairly short episode. However, the evidence concerning the practical effectiveness of the cognitive interview in more complicated situations is less convincing. This is due to the numerous extraneous variables involved, including the type of situation, characteristics of the witness, length of the incident, training and experience of the interviewer, and the quality of the application of the techniques, to name but a few. Overall, it is important to recognise that the laboratory environment can never fully replicate the real-life factors associated with experiencing sometimes both lengthy and traumatic events, nor can real-life incidents guarantee compliant interviewees. Such factors are critical in determining the practical application of cognitive interview techniques in real-life investigations. Furthermore, it is far more likely that a consultant will be involved in the later stages of a complex or serious investigation rather than the initial stages of a routine incident and so these considerations are particularly relevant. The penultimate section of the chapter will therefore explain the management of witnesses within a modern investigation according to the Murder Investigation Manual (ACPO, 2006).
Management of Witnesses within the Structure of Modern Police Investigations Modern-day police investigations in England and Wales are highly structured. This is a result of identified mistakes in the past, for example the Stephen Lawrence enquiry (Macpherson, 1999; and see Jones, Grieve & Milne, 2008) where serious flaws within the initial investigation left the crime unsolved and confidence in the police adversely affected. Now all crime investigations follow the principles of the Murder Investigation Manual (MIM; ACPO, 2006) but the level of resources and structure dedicated to one crime will vary according to its seriousness and complexity. Crimes such as serious sexual assault will generally use fewer resources than a murder but will still be investigated by detectives. The MIM details the methods to be followed in every area of an investigation (e.g. house-to-house enquiries, interview or crime scene management) to the structure of an investigation and also includes how to work with other agencies (e.g. prison and immigration services). The head of such an investigation, called the senior investigation officer (SIO), will not be a subject expert in all areas of an investigation but will take overall responsibility for the whole process, managing the resources and using subject experts for advice. For example, where a murder investigation has been commenced but a body has not been found a police search advisor (POLSA) will be employed to identify likely deposition sites and will coordinate the search of these sites. The identification of these sites may include consultation with
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other experts, for example, on tides where it is suspected the body was dropped into seawater. In the same way murder enquiries will involve an interview advisor. This individual will be trained to tier 5 of the national competency levels of interviewing and will be equipped to manage interview teams allocated to interview both witnesses and suspects in a major enquiry (see Griffiths & Milne, 2006 for a full description of the interview tiers used in the UK). However, although the interview advisor is a police officer trained to a certain level in law, procedure and interview technique he/ she is not an expert in memory or trauma. Therefore, they will seek outside help where necessity dictates. Also, the original one-week PEACE course has now evolved to a tiered competency approach that aims to equip officers with the skills appropriate to their role. Tier 1 is an introduction to interviewing for new police officers; tier 2 is a supplement to the base level and is aimed at officers dealing with everyday crime such as theft and assault (and is similar to the original PEACE course). Tier 3 is an advanced level designed to train officers to deal with serious and complex crime. Officers are selected for this level of training and there are separate disciplines for witness and suspect interviewing. Tier 4 is for general supervisory officers and trains them how to quality assure interviews conducted by other officers while tier 5 refers to the role of interview advisor in serious and complex crime. This is where the role of the consultant can arise. Although it is customary for consultants to be asked to advise regarding particular witnesses in a case it is important that they have an understanding of the overall witness management process in a criminal case. Consultants used in such cases must be very clear about their role in the investigation and this will be to advise in relation to particular aspects of individual interviews and not to solve the case or offer advice except on specific areas requested. Witness management encompasses the identification of witnesses and how to handle both initial contact and the subsequent interview. The SIO of an enquiry will develop a ‘witness identification strategy’. This will be a proactive approach to identify and locate people who have information of value to the enquiry. This facet of the investigation confirms the important difference between the success of the enhanced cognitive interview in a laboratory setting and real life. Witnesses identified by the SIO’s strategy may be unwilling to be involved in the enquiry. This could be for a number of reasons ranging from involvement in the crime itself to reluctance to attend court through fear of being traumatised by the experience. Therefore, the interview of each witness, particularly those believed to hold information central to the case, will need to be planned carefully. Identification of the appropriate interviewer (at which tier they should be trained: tier 1–3) will form part of this planning as will which model of interviewing is likely to be used (including which techniques – ‘the recipe’), and what interview strategies may be effective. There are other considerations. Witnesses at the scene of a crime may themselves require forensic examination. This may entail seizure of their clothes or vehicles. In order for crime scene examiners to do this properly questions will have to be asked of the witness. For example, where a witness sees an injured person by the side of the road and takes them to hospital the location in which the person sat in the car will be of critical importance and the witness will have to be asked direct questions about this. These processes all have the potential to contaminate the memory of the witness and need to be considered when developing an interview strategy. For example, if the
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crime scene examiner discloses that a number of people were being sought in relation to the attack the witness could then repeat that in interview despite not knowing it for themselves. However, if the interviewer accepts this as ‘new’ information it risks becoming a significant part of the investigation even when it is false. However, it is impossible to prioritise the interview process over the forensic process and such matters must be countered by effective interview processes. The MIM makes it clear (ACPO, 2006, p.201) that initial questioning of a witness must be brief and the more detailed account should be taken in a formal interview. However, it must also be noted that discrepancies between that initial account and the more formal interview must be clarified. Too often this does not happen and lawyers assessing the case are left with contradictory accounts from key witnesses that can make them nervous about calling the witness at court. The MIM lists the following as issues that should be considered when deciding on a fast track interview:
• • • • • • •
forensic and medical examination of the witness; witness protection issues; crime scene examination; identifying and preventing the contamination or disposal of other evidence; identifying and interviewing other witnesses; arresting alleged offender(s); and preventing further offences (ACPO, 2006, p.201).
In addition witnesses should also be assessed to establish whether they are at risk of any form of intimidation. This can range from life-threatening intimidation to simple fear of the court system. A proportionate response should be prepared but the SIO must ensure that assistance offered to mitigate intimidation is not construed as an inducement in return for the witness’ testimony. The SIO using the witness interview advisor must also categorise all witnesses coming into the enquiry and those who are vulnerable, or intimidated should be identified as soon as possible as this will have an effect on the interview process and applications for special measures at court. Dealing with vulnerable or intimidated witnesses is a complete discipline of its own and is beyond the scope of this chapter. (Further information on the interviewing of vulnerable or intimidated witnesses can be found in Achieving Best Evidence in Criminal Proceedings: Guidance for Vulnerable or Intimidated Witnesses, Including Children, Home Office, 2007). The category of witness that this chapter has focused upon is the significant or key witness. A significant witness is one who ‘may have been, or claim to have been, an eye witness or a witness to the immediate event in some other way; or those who stand in a particular relationship to the victim or have a central position in the enquiry’ (ACPO, 2006, p.204). Interviews with significant witnesses should be visually recorded, unless the witness objects. In these situations audio recording should be used although a witness may still object to this process. Significant witnesses will give their evidence in person in court and are not allowed access to the special measures allowed for vulnerable or intimidated witnesses. The purpose and benefits of recording these interviews is
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multifaceted as recording interviews: (i) helps the interviewer to obtain the most full and faithful account from an interviewee, as it allows all the communication and cognitive interview mnemonic tools to be utilised; (ii) is more victim and witness focused as it is quicker and allows the interviewer to focus on the interviewee rather than on the note-taking process; and (iii) demonstrates the interview process is transparent to name just a few benefits (for more on problems with handwritten statement taking see Milne & Shaw, 1999; Milne & Bull, 2006). There are two further types of witness defined by the MIM (ACPO, 2006). These are:
• •
Reluctant witness – unwilling to become involved in the investigative process. This could be due to adverse experiences of the police or criminal justice system, and/or concern about the response of the community where they live. This may lead to deceptive behaviour in order to remain outside the enquiry. Hostile witness – reasons for hostility might include relationship to the offender including appearing in court as a defence witness. These witnesses may choose to remain silent or may provide false information to support the offender’s account. Hostile witness interviews should be recorded on video, unless they object.
Police officers may not automatically consider the use of cognitive interview techniques with reluctant or hostile witnesses. Rather the temptation for the police is to use a conversation management style of interview (Milne & Bull, 1999; Shepherd, 2007) with a hostile witness, i.e. the style of interview that would be used for a suspect where the interviewer directs the flow of the interview using more closed than open questions. This is because their training associates cognitive techniques with compliant or cooperative interviewees and conversation management techniques with resistant suspects. However, cognitive interview techniques have already been identified as useful with interviewees who tell lies. In general terms Vrij (2008) states that an information-gathering approach is superior to an accusatory approach when used for lie detection purposes on the basis that the former produces longer answers and therefore the opportunity to compare the witness’ account with other known facts is greater. Furthermore, longer statements usually reveal more non-verbal cues to deception than shorter statements. Hernandez-Fernaud and Alonso-Quecuty (1997) found that participants who were interviewed using the CI provided more detailed accounts than a control group interviewed using a standard interview. As a result, they hypothesised that CI techniques are more cognitively demanding as they require the interviewee to approach the account from different perspectives and in different temporal orders, compared to simple requests to repeat the account. As a result it is more difficult for the interviewee who is not telling the truth as they have to consider two narratives, the original narrative and the false narrative. Hernandez-Fernaud and Alonso-Quecuty (1997) concluded that the cognitive interview has greater capacity to distinguish between truthful accounts and lies, as might be told by a hostile or reluctant witness. More
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specifically, certain parts of the cognitive interview have provided evidence that they assist in identifying untruthful statements. Vrij et al. (2008) found that when mock suspects told lies but were required to report their account in reverse order, not only did their accounts contain more non-verbal indications that they were lying but observers also made more accurate identifications of those lies when compared to chronological lying accounts (for more on this see Vrij, 2008; Vrij et al., 2008). Having categorised all witnesses, the SIO and interview advisor will need then to develop a strategy for dealing with the interview process. This will include selection and briefing of interview teams. All interviews should have clear aims and objectives. The MIM gives advice on the content of an interviewer briefing and suggests that the following should be examined:
• • • • • • • •
the category of the witness; the objectives of the interview; the nature of the incident; the legal points to prove; known descriptions of the offenders; any physical exhibits to be identified; any relevant antecedent history of the witness; and location of the interview (ACPO, 2006, p.210).
The MIM also recommends an interview debrief where the information obtained, how the account fits with other evidence, whether any further interviews are needed are all considered. Again the consultant needs to establish at what point they are getting involved.
Pointers for Consultants So, what advice can the authors of this chapter offer to a consultant asked to contribute to an investigation? Firstly it is a fact of life that a consultant is most often approached only after problems are identified or experienced within an enquiry (as detailed in Ireland, Chapter Two, this volume) This is perfectly logical, as the investment that the police have made in the skills of their staff means that they are well equipped to deal with the most commonly encountered situations. It is the unusual that will cause the police to seek outside assistance. This may be after a review of the investigation has been conducted, or when a particularly problematic witness has been identified and the advice sought may be only in relation to that one witness. However, as can be seen from the preceding paragraphs a more holistic understanding of the investigation is important when providing advice. This understanding extends beyond information about the particular witness to the set up of the investigation, the skills and knowledge of the staff employed on the investigation, requesting a briefing on the state of the investigation – all of which may provide key information in advising about one particular interview. Therefore, the first task for a consultant in this position is to ask some questions of their own. Examples are:
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• • • • • • • • • •
How long has the enquiry been under way? What is the set up of the investigation? Is there an accredited interview advisor appointed? Is there an overall witness and/or suspect interview strategy? Are there dedicated witness interview officers, what is their level of training? Is there an identified suspect? What is their relationship to the witness? How much information has been released to the media? Have other significant witness interviews been recorded? How many times has the witness been interviewed already? By whom? And how have these interviews been recorded? Has the witness been involved with the police before and in what capacity?
The consultant then needs to establish a single point of contact within the investigation and an agreed protocol for advice, including exactly which interviews the consultant will advise upon. If this is not agreed then ‘mission drift’ can occur and ad hoc advice be requested by members of the enquiry team on subjects beyond the original request or the direct expertise of the consultant. This is particularly likely if the initial advice that the consultant gives is well received, and is most problematic where the legal status of the interviews is beyond the subject area of the consultant. For example, a witness expert advising on a suspect interview that is subject to the PACE codes of practice about which they have no expert knowledge. The consultant also needs to establish communication protocols. Will the consultant brief the interview team directly or compose a written briefing based on agreed source material (e.g. documents, interview recordings)? Will the consultant monitor the interview and give advice in situ? A time frame for the advice also needs to be agreed and adhered to by both parties. The establishment of these protocols gives greater relevance to the expert advice about a particular witness that a consultant can offer. Therefore, in summary the advice to consultants invited to advise investigations is to ask as much as possible before giving their own advice.
Conclusion This chapter has touched on the theory of memory, explained the background to the cognitive interview, described the research that validates it as a technique, and has outlined the potential difficulties in applying these techniques to complicated real-life situations. The chapter has also outlined the set up of a modern-day major crime investigation into which a consultant would need to give their advice. Discussion of these issues has shown that witness evidence remains a cornerstone of the criminal justice system and that research into both memory and reliable retrieval techniques continues. With the continued scrutiny on the accuracy of human memory and the suggestion that courts need memory experts to explain inclusions and omissions in witness memory for key events (Conway & Holmes, 2008), the retrieval techniques employed by investigators must be as proficient and professional as possible. The role of the consultant in achieving this goal in difficult cases is crucial and this chapter has aimed to give practical advice to people taking on that task.
Chapter
Six
Acting as the Consultant Advisor in a Crisis Situation Martin Fisher and Carol A. Ireland
During the last quarter of the twentieth century developments in the management of crisis situations led to the increasing involvement of specialists in a consultancy role. This chapter focuses on various aspects of that role, from the historical perspective, through models of negotiation strategy and the consultancy role therein. It will also consider the ethical aspects of the role and what contributions can be made to the acquisition of skills in the field of crisis negotiation. A crisis situation can regarded as such where an individual or individuals are maintaining a situation, to the detriment of others, along a continuum of instrumental or expressive need. At the instrumental end, an individual (or individuals) maintains a crisis situation due to specifically considered goals: it is likely to be rational, where substantive demands are made and where there is the potential for leverage. At the expressive end, the situation will be more related to a need for emotional ventilation; there is a relative absence of clearly considered goals and substantive demands (Vecchi, Van Hasselt & Romano, 2005). Fundamentally a crisis situation is a method of attempting to manage a problem or issue, and a crisis is more likely to be the expressive end of the continuum. Crisis situations can include hostage taking, barricades and rooftop protests. Hostage taking involves the perpetrator seeking to achieve a set of outcomes which they may feel they cannot gain legitimately or immediately, and which the authorities are in principle able to provide. The taking of hostages and bargaining with their lives or safety may give the perpetrator significant leverage to achieve their goal (Lanceley, 1999; Fisher, 2008). The hostage may be considered the guarantor of a trade-off, Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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predominantly a currency of exchange in an attempt by the perpetrators to strengthen their bargaining position (Faure, 2003). In the latter part of the 1960s and in the early 1970s, a series of high-profile incidents around the world and in the United States in particular, caused the New York Police Department to review its handling of such incidents. Subsequently, other US states and European authorities followed suit, for example in the UK (Scotland Yard) and in the Netherlands (Hatcher et al., 1998). Previous approaches had resolved situations but only at significant cost either financially and politically, or in terms of loss of life. In the ‘hard’ approach (‘going in’), where the authorities choose not to negotiate, but to take a more physical approach, there can be major risks for all involved. In the Attica Prison incident in September 1971, a minor incident escalated into a situation where prisoners took control of part of the prison, holding 40 guards as hostages. The resulting ‘rescue plan’ involved a military-style intervention and led to the deaths of 31 prisoners and nine guards in the gunfire.1 Such an approach clearly presents risks to hostages, perpetrators and others involved, chaos and panic can be maximised, and if it goes wrong, it tends to go wrong badly. Experience showed that use of the ‘soft approach’, where the authorities effectively ‘give in’ to the demands of the perpetrators, had different risks. Such an approach demonstrated that precipitating a crisis situation such as a hostage taking can be an effective strategy. It heightens the risk that perpetrators may begin to increase their demands, or take more hostages. Others, too, can come to view hostage taking as a viable and productive option. Forty years ago Brazil experienced such an escalation. In September 1969 a US ambassador was taken hostage. As a consequence, 15 of the perpetrators’ confederates were released from jail. In March 1970, Japan’s consul-general was taken hostage, leading to the release of five of the perpetrator’s confederates. In June 1970 another ambassador was taken hostage and as a consequence 40 of the perpetrator’s confederates were released. Finally, in December 1970 a Swiss ambassador was taken hostage and 70 of the perpetrator’s confederates were released. Although no one was physically injured in this process it was becoming apparent to potential perpetrator groups that hostage taking was a successful method of achieving an illegitimate goal. Hostage negotiation techniques, which initially emerged in the early 1970s, sought to redress the balance of power in incidents away from the perpetrator towards the authorities through dialogue, in the process seeking to increase the predictability of the situation and minimise harm to all those involved. Negotiation came to be seen as a ‘third way’ to mitigate the weaknesses inherent in either of the more extreme approaches. The operation of an effective crisis negotiation strategy is reliant logistically on establishing effective lines of communication between the authorities and the perpetrators. The key goals are the safe release of hostages if they are present, a controlled resolution of the situation and a demonstration to would-be future perpetrators that instigating crisis situations is not an effective way of achieving goals. As the outcomes of the evolving negotiated approach proved promising in the 1970s and early 1980s, national policies began to reflect these practices (Butler, Leitenberg & Fuselier, 1993). At the turn of the latter decade prison services in the UK faced a significant series of disruptive events culminating in the Strangeways
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prison incident (in Manchester) in 1990, which lasted for 25 days. Consequences included an examination of how multi-perpetrator dynamics manifest in such situations (Cornwell & Boag, 1991). Much was learned by the prison authorities from this situation in terms of negotiation strategy, the use of specialists as consultants and the management of such incidents (Home Office, 1990; Cornwell & Boag, 1991; Miller, 1991). There are other forms of crisis situations. Kidnapping, where communication with perpetrators can be minimal and often from a great distance with the precise location of the hostage being unknown (Lanceley, 1999), rooftop protests, barricades, siege situations, domestic disputes, the aftermath of criminal acts, political protests, hijackings and other terrorist actions are significant challenges to law enforcement and the maintenance of order and safety. Variations in characteristics such as the potential for communication, the relevance of bargaining, the mental state and motivations of perpetrators will influence the precise approach that is taken within an overall strategy (Harvey-Craig, Fisher & Simpson, 1997). Rather than seeking purely to consider aspects of a strategic approach to crisis situations (for example, Miller, 1991; Ireland & Vecchi, 2009) this chapter will seek to consider more specifically how the role of specialist consultants has evolved with the initial development of hostage negotiation techniques, and how the engagement of specialist consultants can enhance the management of crisis situations.
Context of the Consultant Advisor Role The primary response from legitimate (i.e. governmental, police and state) authorities in the management of hostage and other crisis situations is to employ a ‘command and control’ structure. Unchecked reliance on this in an attempt to resolve incidents is evident in examples from the late 1960s to early 1970s such as the Attica Prison riot and the kidnapping of Israeli athletes at the Munich Olympics. There appears to have been a resurgence of this ‘hard’ approach more recently in incidents in Eastern Europe. For example, in the Dubrovka Theatre siege in Moscow in 2002, where Chechen rebels took control of the theatre holding the occupants hostage, Russian troops stormed the building with gas canisters – 129 hostages were killed. The Beslan School crisis in 2004 involved armed terrorists who took adults and school children hostage. Shooting between hostage takers and Russian security forces led to the deaths of 344 civilians, 186 of whom were children (Ireland & Vecchi, 2009). In effect these responses by the authorities reflected expectations that intervention by the state is the ‘right’ and appropriate response, irrespective of the outcome, in accordance with ‘paternal elitism’ (Hough, 2006). Here the view is that the state and/or the relevant authority will always know the best course of action to take in response to any given situation. Analyses have suggested that armed assault can result in a 78% injury or death rate, with 75% of all casualties in a hostage incident arising from a rescue attempt (Poland & McCrystle, 1999; Dolnik, 2003). This is in comparison to containment and use of crisis negotiation leading to a 95% success rate, with a further 80% of incidents resolved peacefully (McMains & Mullins, 2001). Caution should be exercised against taking an overly literal view of such figures: given variations in
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contextual factors relating to perpetrators, services and situations – including the reasons for a rescue attempt at a particular point in time – this apparent precision can be misleading. However even at a general level they provide an overwhelming endorsement of a crisis negotiation approach. In this approach the specialist consultant has a key role in bringing negotiation strategy and command structures closer together. There are aspects of custodial institutions which increase the likelihood of crisis incidents arising. These include a concentration of often large numbers of antisocial or delinquent individuals, housed in a closed environment, against their preference. Arguably such characteristics will inevitably lead from time to time to the acting out of grievances (expressive or instrumental) in the form of generating crisis situations (hostage taking, barricades, roof top protests) to seek to gain outcomes which are felt to be attainable at the time by the perpetrator (Davies & Burgess, 1988; Zimbardo, 2007), or simply a means of expressing overwhelming emotion. In secure forensic hospitals and other secure mental health facilities this may be further exacerbated by the range of diagnoses (and consequent thinking and behaviour) with which the clients present. As a result, significant developments in crisis (and conflict) negotiation have largely originated in prison and, more recently, hospital services (Crighton, 1991; Ireland, 2007). Similar practices are also in place in the UK police forces. A notable early example was the ‘Spaghetti House Siege’ in London in 1975 where three escaping offenders took six staff in a restaurant hostage for six days. Police negotiated their release successfully (Ashmore, 2003). The command structure and deployment strategies vary in police forces but the approach and rationale in relation to negotiation is of a very similar type, with an emphasis on peaceful resolution. Most custodial institutions in the UK are managed in the public sector by either devolved or central government organisations. Broader policy issues were brought to bear from the 1980s onwards into these institutional environments with a shift from a public administration model to one of ‘new public management’ (Hough, 2006; Nash, 2006) as a framework for public services. This approach was a political response to perceived issues in society more generally, such as inflexibility, inefficiency and a lack of responsiveness in the public sector. Whilst distinct advantages were gained in terms of responsiveness, the impact on custodial institutions meant that the needs of those incarcerated/under section were being met differently and moreover in ways that led, at times, to a heightened sense of grievance at their perceived situation (Hough, 2006; Nash, 2006). This trend contributed to a series of factors which culminated in the events at Strangeways prison, mentioned above. This prefigured a difficult period of crisis situations in HM Prison Service (Home Office, 1990). Changes to the Mental Health Act introduced in 1983 also had an impact on hospital and prison population profiles and the likely stability and behaviour of those in hospitals and prisons. Consequently, what commentators have referred to or characterised as ‘toxic environments’ (Davies & Burgess, 1988; Home Office, 1990; Davies, 2004) evolved alongside the additional constraints on services arising from policy change. Data on hostage and other crisis incidents occurring over this timeframe suggest a continuing increase in crisis situations, with a fourfold increase between 1974 and 1989 (Cooke, 1991).
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In response to these trends specialists, particularly forensic psychologists, refined models of negotiation and crisis management drawing upon developments from the already well-developed US approach to crisis negotiation. In particular, bridging the strategic/theoretical and command structure approaches was critical to sustaining the successful history of the negotiated approach to crisis resolution (Cornwell & Boag, 1991; Lanceley, 1999; Miller, 1991; Ashmore, 2003).
Characteristics of a Crisis Negotiator Advisor Hatcher et al. (1998) observed that the psychologist involved in crisis negotiation should be able to demonstrate three features: ‘mutual acceptance’; ‘professional credibility’; and ‘ability to operate in a field setting’ (p.462). Taking each in turn:
•
•
•
Mutual acceptance: as argued in Chapter One, where a consultant is working in the context of advisor there is a need to build an understanding and trusting relationship with the client. In the crisis situation this is an acute and not an easy task. The command structure is one based on authority and rank earned over a period of time in an ‘operational’ or ‘field’ context. Hatcher et al. (1998) argue that for the psychologist to simply arrive in an ‘expert’ capacity is not conducive to building such relationships. Cornwell and Boag (1991) emphasise this in relation to larger teams of psychologists entering a command and control structure. Professional credibility: the psychologist or mental health professional, acting in the role of crisis negotiation advisor, will have gained a high level of professional competence and peer status before embarking into such a demanding area of consultancy. They must not only be fully familiar with the negotiation process, but also the command structure, policies in place and be adept at handling political aspects, as well as the human aspects of the situation (Woodhead & Wright, 1991; Hatcher et al., 1998). In entering the crisis situation as a consultant the psychologist must effectively re-establish this level of respect from a new group of colleagues before becoming effective in the prescribed role. This will develop over time with incidents attended, but crucially the ability to provide ‘critical’ information, rather than just information which is pertinent and of interest, is essential. Data directly relevant to strategy gathered from documents or individual interviews might constitute such critical information (Hatcher et al., 1998). Ability to operate in a field setting: advising or consulting within a crisis situation will often take the consultant out of their usual practising environment into one which is less constrained by institutional norms, and may initially, at least, be chaotic (Hatcher et al., 1998; Lanceley, 1999). Desensitisation to such situations is a critical feature of training for the specialist in the advisor role (Lanceley, 1999; Vecchi et al., 2005) but ultimately, as Hatcher et al. (1998) state: ‘Whilst the ability to function in the field setting can be an acquired skill, the burden is upon the psychologist to master a steep learning curve, as law
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enforcement members of the crisis/hostage team can be quickly judgemental about the contribution of any non-sworn person to the crisis/hostage team’. A degree of personal resilience is also important (Cooke, 1991; Horne, 2008). In a review of the literature surrounding expectations of the consultant in crisis (particularly hostage) situations, Crighton (1991) refers to the work of Soskis and Van Zandt (1986) and Schlossberg and Freeman (1974) in identifying key contributions which can be made to the situation. Although much time has passed since these observations were made, the key aspects identified remain pertinent (see also Butler et al., 1993; Vecchi et al., 2005):
• • • • •
Providing advice on the broad range of mental and behavioural disorders, both during training and at hostage incidents. Advising on the occurrence of situational stress. As such, they can advise on strategies to promote or reduce such reactions as required. Advising on the specific effects of drugs and alcohol on behaviour. Advising on the effects of ‘paranoid’ or ‘depressive’ reactions during negotiations and strategies for dealing with these. Giving advice on the assessment of risk factors, the interrelationship of these and ways of reducing their impact.
Thus the range of skills the specialist consultant can bring to the crisis negotiation context is broad, and requires implementation of the full range of consultancy skills identified in Chapters One and Two, the ability to adopt an ‘expert stance’ (Chapter Seven), the ability to engage ethically with the situational demands (Chapter Three) and an awareness of points at which failures might occur (Chapter Twelve), at the same time as use of professional knowledge to provide a strategic input to the resolution of the presenting crisis. It is apparent then that the role of the consultant in advising in crisis situations has to be considered within the organisational context of application, and the skills and competences inferred reflect not only the professional standing and knowledge of the specialist but in addition a series of acquired and personal competences which assist in the consultancy process. As such, the consultant has predominantly tended to be a qualified member of staff, such as a chartered psychologist and a forensic psychologist with a number of years of post-chartership experience. Certainly the utility of input will be critical to the role as will the level of ‘fit’ between the command strategy in place and the approach of the specialist. The need to reduce anxiety in an often ‘chaotic’ situation is paramount (Hatcher et al., 1998) and reflected in the models of crisis negotiation and the ethical considerations sections below.
Using the Skills of the Consultant Advisor: Crisis Negotiation Models Considering the foregoing aspects of the role of the consultant advisor it is useful to envisage how these skills, competences, knowledge and qualities operate in the crisis situation and possible frameworks in which they may function.
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In the early stages of the incident, as the operational management protocols are put in place and logistical considerations managed, there is an acute sense of ‘chaos’ (Negotiation Skills Company, 2002), as there is recognition of the potential gravity of the developing situation, potential threat to life and the perpetrators have the balance of perceived power. As the incident moves into a phase of increased stability with management structures and communication protocols in place, the specialist consultant will often enter the crisis or siege area. The skills and knowledge referenced above will be critical to this engagement. The specialist consultant, as noted, will need to triangulate information to provide the critical, efficacious advice needed by the controller of the incident and negotiators communicating with the perpetrator(s). In order to engage with the client effectively the consultant advisor will need to reflect on the style of engagement and pertinent areas of expertise to bring to the scenario. Appraisal of the presenting situation using the available information will assist. The process of triangulating self-report, observation and consulting available documentation (‘testimony’) is a reliable and effective way of achieving this. In term of approach, the initial phase is likely to be one of diagnosis, generating a formulation of the presenting problem and prioritising actions. Consideration of choices surrounding the four key ethical principles under which, for example, psychologists operate will need to be a feature of decision making (British Psychological Society, 2006). Hatcher et al. (1998) emphasise the initial role of the consultant advisor as providing either a profile of the perpetrator and/or the situation as a whole. Fuselier (1988) observed that when a psychologist was used in the consultant advisor role, 72% of the time this was a primary task. Techniques such as threat assessment (Borum et al., 1999) as well as broader knowledge of clinical and actuarial client assessment methods assist in this process of providing critical, as opposed to simply interesting, information to aid the decision-making process (Hatcher et al., 1998). Essentially, all models of negotiation strategy (Cornwell & Boag, 1991; Vecchi et al., 2005; Ireland & Vecchi, 2009) seek to redress the balance of perceived power in the situation. Alongside this consultant advisor role in assisting the incident management team in shifting the perceived (or actual) power balance towards the authorities, the consultant advisor has to be mindful of the human factors operating in the incident management team. Figure 6.1 depicts the sometimes pivotal role of the consultant advisor in maintaining the perspectives of the management team and the negotiation team at the crisis scene in terms of the psychophysiological status of the individuals involved. This role again reflects the contextual skills, knowledge and competences required of the consultant advisor (Woodhead & Wright 1991; Hatcher et al., 1998). The third element of the role of the consultant advisor in the incident management team is concerned with the provision of information in relation to the behaviour, emotions and likely responses of the victim(s). Figure 6.2 represents in simple terms the experience of the victim during the course of the incident resolved through negotiation. This, however, will not always be the case and features such as ‘Stockholm syndrome’, although rare, can take place where the victim perceives that the perpetrator has the power of life and death over them, and as a consequence forms an allegiance and sees the perpetrator as the protective authority in the situation (Bolz Jr, 1987; Fuselier, 1988). Equally, the development in the victim of ‘learned helplessness’ needs
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Consultant advisor
Incident command
Incident scene
Stress/ anxiety balance
Figure 6.1 Consultant advisor role: maintaining the balance of stress and anxiety
Early in the incident
After effective negotiation
Fear
Selfesteem
Selfesteem
Fear
Passage of time
Figure 6.2 Consultant advisor role: victim feelings in the incident
to be considered in advising on the strategic approach adopted (Soskis & Van Zandt, 1986). The behaviour of the victim will then inevitably impact on the advice provided by the specialist in seeking to employ an effective negotiation strategy in resolving the crisis situation (Giebels, Noelanders & Vervaeke, 2005). In advising across these aspects of the crisis situation the consultant advisor has access to professional expertise in terms of ‘models’ of negotiation strategy. Principally early negotiation strategies sometimes relied on problem solving and ‘bargaining’
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(Hatcher et al., 1998; Ireland & Vecchi, 2009) with the perpetrator to downscale demands to legitimate outcomes that would be possible even if the event had not taken place (e.g. access to a legal representative, a meal, safe passage under supervision to a police station). For example in an English prison in the 1990s an incident was resolved on the basis that the perpetrators could have access to a glass of drinking water: force and the likelihood of escalating future incidents were avoided. Demands that may be achieved in a normal circumstance may be agreed on the terms of the authorities. In providing a broad structure to developing negotiation strategy the use of a threestep, serial approach was adopted in the late 1980s. The principal three steps guided the negotiation team to seek to calm the perpetrator, build rapport and ultimately persuade the perpetrator that the negotiators’ stance in respect of the crisis was a reasonable one and preferable to the thinking that motivated the precipitation of the crisis in the first place. Within each of these three steps the consultant advisor would guide the negotiation team in tone, content, mood and pace of dialogue, with due attention to the needs of the victim in terms of acts of reassurance in order to promote perceptions of increasing predictability and safety on the part of the incident manager and the victim (Lanceley, 1999). This approach, whilst demonstrating successful outcomes (Crighton, 1991), has lacked a strong theoretical underpinning, adaptability to a broader range of situations, and in particular in aspects focusing on the persuasion of the perpetrator to concede the situation. As such, and in effect, it has lacked a flexible element which recognises the need to adopt a more dynamic and less problem-solving focused approach (Rogan, Hammer & Van Zandt, 1997; Vecchi et al., 2005). More recently the evolution of the ‘behavioural change stairway model’ (BCSM) (Vecchi et al., 2005) and the ‘behavioural influence stairway model’ (BISM) (Van Hasselt, Romano & Vecchi, 2008; Ireland & Vecchi, 2009) has focused on this aspect of a strategic approach to negotiation tactics employed. In terms of strategy deployed in respect of multiple perpetrator crisis situations concepts relating to game theory, managing complex communication networks and diminishing probabilities (Cornwell & Boag, 1991) in driving strategy remain of relevance. Considering some aspects of each assists in describing how the consultant advisor’s skills are best used in a crisis situation. The BCSM (Vecchi et al., 2005).and its later variation, the BISM (Van Hasselt et al., 2008) have developed this approach further, with a strong focus on the dynamic nature of the interaction between perpetrator and negotiator, emphasising the need for relationship building through active listening, using empathy to develop rapport and thus influence behavioural change. A key emphasis in the model is that the perpetrator may not necessarily start at the lowest stair. Indeed, in the earlier BCSM model the placement of ‘active listening’ as the first stair (Figure 6.3), has been developed in the BISM (Figure 6.4) to recognise that ‘active listening’ is a negotiator behaviour which underpins the entire model, facilitating attention to the position at which the process is operating. Thus the advice provided by the consultant advisor is able to reflect this. This dynamic (as opposed to sequential) modelling facilitates the application of the latter model to a broader range of crisis situations, involving varying perpetrator and victim types (Ireland & Vecchi, 2009).
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Behavioural change Influence Rapport
Active listening
Empathy
Time
Figure 6.3 Original behaviour change stairway model (Vecchi et al., 2005)
Influence
Relationship
Rapport Empathy
Time
Active listening skills
No relationship
Figure 6.4 Behavioural influence stairway model (Van Hasselt et al., 2008)
At each stage the advice offered needs to reflect how the negotiation team can advance the process towards resolution. With the passage of time stages may be repeated as a reflection of how the crisis incident develops. Considering each stage and the advice which might be pertinent is a central aspect of the model (Vecchi et al., 2005). This model was later modified, as presented in Figure 6.4. Active listening: this comprises a set of particular skills which enhance the negotiator’s ability to maintain communication effectively. As noted in Chapter One, these skills are as important in the consultant advisor’s interactions with the client (in this case the crisis management team).
•
Mirroring: this refers to how the negotiator is able to demonstrate attentiveness to the perpetrator. By repeating the last few words at the start of a response
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the negotiator is able to demonstrate his focus on the perpetrator and enhance the effective dependence of the perpetrator on the negotiator as their only means of communication. The consultant advisor should monitor the negotiator’s use of this technique when the need to develop empathic communication is high. A perpetrator who feels that in a heightened emotional state they are being ignored is more likely to act impulsively, either elevating the risk of harm to themselves or their victim. Paraphrasing: this skill allows the negotiator to demonstrate understanding of the perpetrator’s perspective. The restatement of a perpetrator communication in the negotiator’s own words can demonstrate that the negotiator is actively concentrating on the perpetrator’s situation and seeking to gain an understanding of how the perpetrator is seeing their situation and that around them (including the victim). Emotional labelling: this is closely linked to paraphrasing and involves the negotiator seeking to identify with the perpetrator by identifying and communicating their emotional presentation. The consultant advisor should seek to assess the likely mood of the perpetrator (and the negotiator) and thus indicate helpful and unhelpful phrases which will advance the process. For example, if the perpetrator communicates aggressively by shouting, it may be unhelpful in moderating mood to state ‘you seem angry’ as this might seem demeaning to the perpetrator. More helpfully, the negotiator might be encouraged to say ‘I recognise that you are angry and. …’ This not only communicates attentiveness but also enhances empathy (Vecchi et al., 2005). Summarising: this skill involves the negotiator in clarifying the position the communication has reached and can effectively be used to reflect the content and emotions underlying discussions. Vecchi et al. (2005) give the example, ‘Let me make sure I understand what you’re saying; you lost your job for no apparent reason (paraphrase) and this makes you angry (labelled emotion)’. Effective pauses, open-ended questions, ‘I’ statements: these are all skills that enhance the active listening process (Vecchi et al., 2005). In the negotiation process it is not only the content of communication that is important but also the communication process itself. Allowing the perpetrator to express their perceptions, demands and emotions will require the negotiator to pause the dialogue from time to time. Equally, using Socratic inquiry to explore issues enables the gathering of information and facilitates paraphrasing, emotional labelling and the use of appropriate disclosure to advance the rapport-building process. For example, a negotiator may say ‘I can only imagine what it must be like to lose a family member, I obviously am part of a family, and I can only imagine how painful that must be. …’
Throughout the negotiation process the consultant advisor needs to be attentive to the application of these skills by the negotiation team. Through the resulting dialogue information concerning perpetrator motivation, vulnerabilities and agenda may emerge. This enables additional advice to be provided on dialogue strategies or the use of or avoidance of phrases or styles of communication (Hatcher et al., 1998).
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Empathy: in the negotiation process the tone with which the negotiator communicates can be used to emphasise an understanding of the perpetrator’s frame of reference. This can be in terms of their feelings, perceptions and motives. The consultant advisor can use information gathered from a variety of sources to assist in identifying how the perpetrator’s frame of reference might have been constructed and how aspects might be manifest in the crisis situation. Certainly, where the crisis situation is in a custodial institution the probability of aggressive behaviours can increase in likelihood over and above that expected prior to incarceration (Zimbardo, 2007). The use by the consultant advisor of triangulated information, gathered to reflect the broadest picture of the perpetrator possible, can facilitate the empathy-building process. For example, instances where the perpetrator has developed ‘trusting’ relationships and how these developed across a range of situations can be of significant use. As such, the consultant advisor may wish to consider if they respond more positively to instruction, suggestion or recognition. This can be of particular importance when the perpetrator has been diagnosed with a recognised personality disorder (Ireland, 2007). Rapport: this stair refers to the development of a collaborative approach between the negotiator and the perpetrator to the resolution of the crisis situation. Until empathy has been demonstrated and accepted it is unlikely that rapport will be established. In the later BISM (Van Hasselt et al., 2008) the negotiation process may commence at the rapport point if the perpetrator has had prior contact, of a positive nature, with the negotiator. This may be a likely situation in custodial institutions where staff and residents will have had frequent prior daily contact (Zimbardo, 2007), and the use of a negotiator previously known to the perpetrator in a different capacity may be a key strategy advised by the consultant advisor to those managing the situation, in enabling rapport to be established. The ability of the consultant advisor to integrate into the broader institutional culture is reflected here (Hatcher et al., 1998, and Chapters One and Two, this volume). Tone of voice may assist in building rapport as the perpetrator engages in increased levels of listening and the development of ‘themes’. Themes involve ‘contrived rationales to explain, justify, mitigate, or excuse the faulty behaviour; they also address distorted thinking by positively reframing the situation’ (Vecchi et al., 2005). These will ultimately assist in delivering the crisis situation resolution. Rapport building equally allows the development of common ground about which both parties can agree. The role of the consultant advisor in guiding the dialogue towards such themes using tools such as threat assessment (Borum et al., 1999), structured clinical assessment tools (e.g. assessment of violence risk; Webster et al., 1997) and qualitative analysis of dialogue (Willig & Stainton-Rogers, 2008). Behavioural change/Influencing: ultimately the goal of the negotiation process is to deliver a resolution to the crisis situation. In order to achieve this, the perpetrator needs to be put in a position where they choose to engage in a helpful way, as opposed to unhelpful (Van Hasselt et al., 2008; Ireland & Vecchi, 2009). A problem-solving approach in isolation is unlikely to exert adequate influence to achieve this, even if an effective rapport is in place and the dialogue is a collaborative one and responsive to the needs of the perpetrator (Ireland, 2007; Ireland & Vecchi, 2009). The consultant advisor can apply their expert knowledge and skills in advising on how influence can be applied, as detailed in Chapter One, this volume.
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Alongside the negotiation process the consultant advisor may also consider approaches to influence the perpetrator’s behaviour which are contingent upon the crisis situation environment. Generating dependence on the negotiator through tactics of attrition can assist in reducing the demands of the perpetrator to reasonable, legitimate outcomes, deliverable at the resolution of the incident (Cornwell & Boag, 1991). The consultant’s advice in respect of how the environment, the dialogue, the personnel and the schedule of events are managed will all assist in achieving the necessary level of influence to facilitate the perpetrator moving to a set of more helpful responses. This is not to detract from the importance of other stairs in the models described above (Figures 6.3 and 6.4, Vecchi et al., 2005, Van Hasselt et al., 2008), rather it emphasises the role of the consultant in taking a global view of all possible contingencies which can be brought to bear in advising the crisis management team on the successful resolution of the crisis situation. When the presenting crisis situation involves multiple perpetrators additional considerations in respect of strategy and tactics must be exercised. Cornwell and Boag (1991) describe possible approaches to multi-perpetrator ‘siege’ situations in their review of the response to the ‘Strangeways’ riot of 1990 (Home Office, 1990). In advising on the management of such crises they observe that the consultant advisor will need to be mindful of the increased complexity of communications and that, alongside negotiation, the roles of concession, attrition and intervention will also need to be considered. The application of game theory (Zeeman, 1981) is central to the analysis which drives the strategic approach that the consultant advisor takes. Figure 6.5 describes the options available, and the outcomes possible in a hypothetical plane hijack.
Perpetrator No blow
Blow
1st
4th
Pay 2nd
4th
Authorities 3rd
2nd
No Pay 1st
3rd
The hijackers’ order of preference is shown in the right-hand corner of each box, the authorities’ in the left-hand corner
Figure 6.5 Plane hijack – possible actions and outcomes (adapted from Zeeman, 1981)
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There are four outcome options from the scenario presented in Figure 6.5:
• • • •
No pay: No blow (i.e. no ransom, the plane is not detonated) – the best possible outcome. Pay: No blow – willing to pay to save the hostages. No pay: Blow – to avoid intimidation. Pay: Blow – double disaster for hostages and ransom.
The perpetrators do not, however, have a dominant strategy. They must await the authority to make the first move. This is the converse of the situation where a perpetrator takes a hostage in which the actions of an individual perpetrator will initially drive the behaviour of the authorities (Hatcher et al., 1998). If the authority chooses its preferred option (no pay: no blow) or second (pay: no blow) and avoid its third and fourth (both involving blow) then the only logical outcome for the authorities is to negotiate (Cornwell & Boag, 1991). However, given the complexity of communication in negotiating with a number of perpetrators simultaneously, and the associated issues of applying the BISM (Van Hasselt et al., 2008), a series of other strategic resolution options can be considered which recognise the complexities of the communication difficulties and the potential lethality of failing to reach an adaptive resolution. This contrasts with the ‘soft’ approach where simply ‘giving in’ (pay: no blow) is the option of choice. The range of combined negotiated approaches suggested is (Cornwell & Boag, 1991, p.117):
• • • • •
Negotiation only. Negotiation with concessions as a last resort. Negotiation offering concessions (legitimate and generated by the authorities). Negotiation following attrition. Negotiation pending intervention.
The latter of these, using the passage of time in a negotiated strategy to facilitate a well-managed and safe resolution, is frequently used in the UK in a climate where the authorities wish to emphasise the ultimate futility of aggressive and antisocial behaviour (Nash, 2006). Indeed, the literature clearly indicates that the longer the situation progresses with little harm to self or others, the greater likelihood of a peaceful resolution. Indeed Vecchi et al. (2005) argue strongly that time is the negotiator’s ally. The need for the consultant advisor to be conversant with such considerations again emphasises the importance of context awareness (Crighton, 1991; Hatcher et al., 1998). Moreover, and as discussed in the section below, the consultant must be aware of and seek to work within ethical guidelines pertinent to their professional status and training. Failure to do so can adversely affect not only the context-dependent aspects of the role discussed above, but also leave the consultant advisor open to legal challenge by parties involved in the crisis situation after resolution has been reached (for an analogous example see Lillie and Reed vs. Newcastle City Council (1998), cited in Chapter Seven, this volume).
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Ethical Considerations Any specialist working in the role of consultant advisor to a crisis situation needs to be mindful of working within professional boundaries and their relevant code of ethical practice. As has been discussed above, the role is a multifaceted one involving a number of interfaces with parties that might be considered as the client. Specifically the key, immediate, clients in the crisis situation might be considered as:
• • • • •
the legitimate authority managing the crisis (e.g. government agency, police force, hospital trust); the hostage/victim; the negotiation team; the perpetrator(s); the family/dependants of the hostage/victim or the perpetrator(s).
Consideration of these issues in respects of the processes which the consultant advisor might wish to reflect upon underpins engagement with the role in crisis situations. With specific reference to psychologists working in the UK in the role of a crisis negotiation advisor, the relevant ethical considerations must be made in the context of the Code of Ethics and Conduct of the British Psychological Society (British Psychological Society, 2006),2 as well as the Health Professions Council, the psychologists now regulatory body in the UK. The Code of Ethics and Conduct (British Psychological Society, 2006) refers to a client as: any person or persons with whom a psychologist interacts on a professional basis. A psychologist may have several clients at a time including, for example, those receiving, commissioning and evaluating the professional activity (p.5).
The Code describes four areas where psychologists need to make ethical considerations. A brief, process-driven consideration of each in the context of crisis negotiation consultant advisor might refer to each as outlined below:
•
Respect: this aspect of the Code refers to standards of privacy and confidentiality, informed consent and self-determination. In the crisis situation the psychologist needs to be mindful of information-sharing protocols, how their practice in the duration of the incident is recorded and how that information is subsequently used. Moreover, the psychologist needs to bear in mind the extent to which the management and negotiation teams are content to receive the advice offered and the context in which it is provided (see contextual considerations above). In particular the psychologist needs to consider if the crisis situation constitutes ‘exceptional circumstances’ (British Psychological Society, 2006, p.13) in that by the nature of the role they are withholding information from at least two key clients (perpetrator and hostage/victim) and may be considered to be intentionally deceiving the perpetrator client through the strategic negotiation advice offered (British Psychological Society, 2006, p.13). Equally the psychologist should be mindful, and seek feedback
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throughout, on the management view of the efficacy of their advice in the crisis situation. In other words, the psychologist needs to ensure that the management retains the ability to withdraw from the services on offer (effectively acting as the advocate for all clients in the crisis situation). Competence: the psychologist should ensure that their professional training has adequately equipped them to engage in the role of consultant advisor to crisis situations. Skills acquisition and determination of competence are often a matter of organisational policy, and adequate adherence should be maintained before client engagement commences. In particular, there is certainly the clear argument that this role should only be undertaken by experienced, qualified individuals, such as chartered forensic psychologists who are experienced in their role and knowledgeable in regard to crisis situations. Finally, if the psychologist recognises that their performance might be impaired in any way during the course of a crisis incident they should not engage with the consultant role. Examples may include personal involvement with the hostage/victim, physical ailment or ongoing psychological/mental health factors. Responsibility: psychologists should ‘avoid harming clients, but take into account that the interests of different clients may vary’ (British Psychological Society, 2006, p17). This is particularly applicable to the interests of the hostage/victim, and strategic advice offered needs to be well grounded in broadly accepted theory and practice. The need to consider the efficacy of continued engagement is salient within this principle and the requirement to consult appropriate colleagues in the event of ‘ambiguity’ (p.17) is clearly identified as a matter for ongoing reflection, whilst also bearing in mind the need for client confidentiality. Integrity: psychologists need to be aware of how their professional services might be construed by clients and should seek to be open and honest in describing their competence and its boundaries. As has been described not all crisis situations are the same, and expertise in dealing with generic offenders may not be fully transferable to dealing with offenders who have additional mental health diagnoses. Equally, expertise in the field of closed institutions may not fully transfer to, for example, the public arena for which the police are the legitimate authority. The psychologist should also clarify their role in the crisis situation should any lack of transparency, or any ambiguity arise.
In summary the range of ethical considerations which needs to be made is wide, and will vary with professional qualification. Different jurisdictions, organisations and professional bodies will generate varying standards of practice, which the consultant advisor must be both conversant with and fully committed to if their practice is to be of most benefit in the crisis situation.
Summary and Conclusions Through the course of this chapter the role of the consultant advisor has been fully described in terms of historical background, context of service delivery, theoretical
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underpinnings and ethical framework. The information provided represents a broad overview of the area and the interested reader is encouraged to make full use of the reference list to develop their knowledge of particular aspects of the role further. The assessment tools available, in particular, are not covered in the depth to which the consultant should be familiar before practice. In addition, the training and development element of the role has a specific field of associated knowledge. The need for research, both qualitative and quantitative, into the outcomes of application of negotiation strategy in crisis situations remains high. This was recognised by Hatcher et al. (1998), some 10 years ago, and the full range of needs has yet to be met. This is particularly true of the cognitive decision-making processes of hostage takers and successful negotiators, the context and experiences which led to these styles of thinking and how they might be influenced and enhanced, respectively. The development of the BISM (Van Hasselt et al., 2008) and ongoing work with mentally disordered perpetrators (Ireland, 2007; Ireland & Vecchi, 2009) is evidence of a resurgence of interest in the field, but clearly more needs to be done. Moreover the work of Zimbardo (2007), in considering the impact of societal pressures and more specifically the impact of institutions in generating maladaptive and delinquent behaviour, needs to be integrated into the broader crisis situation literature.
NOTES 1
For a full account of the incident see http://libcom.org/history/1971-the-attica-prisonuprising. 2 Although the regulation of psychologists by the Health Professions Council took place in July 2009, it is still expected for all chartered psychologists to abide by the Code of Ethics and Conduct (British Psychological Society, 2006, under revision) to retain their chartered status (see www.hpc.org.uk for more advice on the role of the Health Professions Council and www.bps.org.uk for more information on the British Psychological Society).
Chapter
Seven
Legal Consulting: Providing Expertise in Written and Oral Testimony Jane L. Ireland
The use of psychologists as ‘experts’ in legal proceedings has increased significantly over the past decade (Ormerod & Roberts, 2006; Ireland, 2008). Whereas prior to this there was a focus on medical testimony, the advent of concepts such as ‘psychological injury’ now being accepted by the courts has led to an increasing avenue for the ‘psychological expert’ to be called upon to provide evidence. The history of the psychological expert, as with the use of other experts, has not been a wholly positive one however, with criticisms focusing on their tendency to present psychological evidence as scientific fact when in fact it is nothing more than speculation and conjecture (Hagan, 1997); on an apparent confusion between psychology and psychiatry which has led to psychology harbouring some of the criticism levelled at the latter (Hagan, 1997); and arguably a failure of the courts to distinguish between scientific fact versus opinion. The area of expert evidence has certainly improved over recent years. There is increasing recognition of the importance of distinguishing between scientific fact versus specialised knowledge, with legal practice directions now available which indicate how experts should be used from the method of their instruction to the presentation of their final evidence. Arguably, the most significant of these is the UK Civil Procedure Rules for experts (CPR: notably Part 35 and its associated Practice Direction; Department of Constitutional Affairs, 1998), now updated (April 2008) and trans-
Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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ferred almost in its entirety to Criminal Proceedings (as Part 33 of the Criminal Proceedings Practice Direction). There is also increased recognition of what expert evidence can be admissible. Such evidence is supposed to be outside the knowledge of the typical judge or juror, and is referred to as the Turner rule (Omerod & Roberts, 2006). It is being recognised now that the interpretation of this rule is becoming increasingly relaxed and applied somewhat inconsistently across cases (see Omerod & Roberts, 2006 for a good summary of evidence), leading to increased criticism of expert evidence. However, it remains one of the core principles of admissibility and provides a starting point for what is understood by the term ‘expert evidence’. The current chapter aims to provide an outline of some of the key principles relevant to the provision of both written and oral testimony, regardless of the legal setting in which this occurs, whether it is a formal court or a quasi-court (i.e. a tribunal, a hearing). The principles of good evidence are standard across all legal forums and disciplines. It is also standard across witnesses in many respects, and although the term ‘expert’ is reserved for those employed independently by the courts, the principles adhered to by ‘expert’ witnesses should readily apply to other classes of witness. There is also an increasing number of resources becoming available to psychologists to assist in apprising them of this area (e.g. Brodsky, 2003; British Psychological Society, 2007; Ireland, 2008). Thus the intention of the current chapter is not simply to represent content that can be located elsewhere. Instead, it will provide content aimed at supplementing these further resources. A good starting point is the provision of an outline as to the history of the ‘expert’ psychological witness, before moving on to outlining how expertise in both written and oral testimony can be achieved.
The History of the Expert Psychology Witness Psychologists, as with other disciplines, can fall within three classes of witness: witness of fact (i.e. those providing solely factual evidence driven from their senses, namely what they have observed or heard); professional or ‘ordinary’ witness (i.e. providing evidence on behalf of an employee, reporting mainly factual evidence but also opinion); or the expert witness (i.e. court/hearing appointed, a witness impartial to either side and present to provide both factual and opinion evidence). There is an increasing recognition of the similarity between expert and professional witnesses although the nature of their instruction remains the most defining feature, with the former instructed solely by the court/hearing (Bond, Solon & Harper, 1999; Ireland, 2008). Formal courts have employed witnesses in one form or another as far back as the 1300s, although their initial use was described as a ‘helper’ to the court, and focused on medical advice (Ireland, 2008). Professor Hugo Munsterberg was the first psychologist to actively promote the use of psychology within the courtroom. His book On the Witness Stand was published in 1908 and represented the first text which introduced the potential importance of psychological expertise. The focus as this time was on the potential value of cognitive psychology to the legal profession, with Professor Munsterberg outlining within his text a number of experiments exploring the fallacy of eyewitness testimony.
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The notion of using psychology at this time was rejected with the legal profession reporting that they did not need psychological expertise in order to interpret evidence, preferring to rely upon ‘legal instinct’ (Hagen, 1997). There were, however, key figures in the English legal system who worked hard to promote the potential value of this text (e.g. Frances L. Wellman, 1923). Still, around this period, the focus of expert testimony within the courts remained the inclusion of medical evidence. It was not until the 1970s that psychology really began to be introduced into the legal system, with the 1990s seeing a plethora of such evidence being included (Ireland, 2008). The increased inclusion of psychology was a result, in part, of legislation allowing for claims for psychological injury (Goodman-Delahunty, 1997). With increased inclusion came increased public exposure, with some high-profile cases in the 1990s leading to a revision both of when psychological evidence can be employed and also how it should be used. The current chapter could not cover all cases of relevance, but there are some cases worth noting. In chronological order they include the cases of Ramona vs. Isabella (1990); Dale Akiko (1991); Eileen Lipsker (1992); Lillie and Reed vs. Newcastle City Council (1998). A summary of each case is presented in Table 7.1. These cases all document the misuse of ‘psychological’ evidence although it would be fair to say that the psychological evidence was often confused with psychiatric evidence in some of these cases, and that the opposing and more scientifically driven psychological evidence was in fact initially rejected by the courts in favour of the more speculative psychiatric or psychotherapeutic evidence on offer (i.e. Ramona and Lipsker cases). It is perhaps also of value to note that the pattern of psychological evidence around this period of time, most notably that based on repressed memories which had no physical evidence attached to it, is dissimilar in principle to the much older concept of ‘spectral evidence’ once accepted within courts. Such evidence was originally derived from the Salem Witch trials of the 1600s (1688 to 1693) and are the basis to the coined term ‘modern-day witch trials’. Spectral evidence represented testimony indicating that an accused person’s spirit or spectral shape had appeared to the witness in a dream at the time the accused person’s physical body was elsewhere. In essence it was evidence given without physical support. Some examples of the testimony taken from the Salem cases illustrate this point well (taken from Linder, 2007): Dorcas Good, four-year-old daughter of Sarah Good [an accused witch later hanged], became the first child to be accused of witchcraft when three of the [accusing] girls complained that they were bitten by the spectre of Dorcas. The four-year-old was arrested, kept in jail for eight months, watched her mother get carried off to the gallows, and would cry her heart out, and go insane. … a field hand testified that he saw Bishop’s [Bishop was one of the women later hanged for being a witch] image stealing eggs and then saw her transform herself into a cat … A villager named Samuel Grey told the court that Bishop visited his bed at night and tormented him … Several of the afflicted girls testified that Bishop’s spectre afflicted them.
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Table 7.1 Some core cases of relevance to the history of psychological evidence in courts Case Ramona vs. Isabella, 1990
Dale Akiko, 1991
Eileen Lipsker, 1992
Summary
Core criticisms
In 1989, Holly, one of the children of Gary Ramona, reports sexual abuse by her father after this was suggested to her by her therapist, Marche Isabella. Evidence comprised memories and dreams. The therapist, with the assistance of a psychiatrist, administered a truth serum to Holly to confirm flashbacks. Father lost job, reputation and marriage ended. Later he successfully sued for damages. Dale Akiko was a 35-year-old very disabled man who taught Sunday school to children aged three to four. Ten of these children accused him of sexual assault as part of satanic rituals during the 90-minute classes. Claims included how he had: hung the children upside down from a chandelier; sodomised them with a curling iron; dunked them in toilets; forced them to drink blood, urine and to ingest faeces; mutilated animals and a human baby; brought an elephant and a giraffe to school class, where he killed them. There was no physical evidence. Dale Akiko spent 2.5 years on remand before being acquitted in 1993. Eileen Lipsker claimed to have recovered a memory where she witnessed her father murdering her nine-year-old friend 20 years previously. Her father (George Franklin) was subsequently convicted solely on expert evidence from psychiatrist Dr Terr) on the validity of repressed memory. There was no physical evidence. George Franklin was released six years into his sentence for first degree murder when it was revealed, amongst other issues, that Eileen Lipsker had been hypnotised prior to providing oral evidence, with this not admissible in the US court where the case was being heard.
That there was no scientific evidence for repressed memory, even though the expert witness (Dr Terr – psychiatrist) was arguing for such memories. There was no physical evidence in the case. The daughter was bulimic and the therapist had informed her prior to the memories of abuse that 80% of bulimic clients had been sexually abused. No physical evidence. Trial reliant solely on memories from the children, with Dr Terr (psychiatrist) arguing again for repressed memories. No scientific evidence for repressed memories. No acknowledgement as to how suggestible children can be at that age and how their memories can be influenced and altered. Accusations that the parents and therapists had coached the children, with the latter accused by the judge to be acting as investigators as well as therapists. No physical evidence. Reliance solely on repressed memory and the evidence of Dr Terr. Rejection of scientific evidence of Dr Elizabeth Loftus (psychologist) on the fallacy of repressed memory due to the fact that she was an academic and not a clinician. Concern over the reliability of Eileen Lipsker as a witness, with further unfounded memories involving other individuals being disclosed.
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Table 7.1 (Continued) Case Lillie and Reed vs. Newcastle City Council case, 1998
Summary
Core criticisms
Two nursery nurses (Lillie and Reed) accused of sexually assaulting children in their care. Acquitted by a criminal court. Newcastle City Council unhappy by this and convened a review team composed of four individuals, including a psychologist. Review team reviewed the evidence and reported that Lillie and Reed were guilty. Lillie and Reed responding by suing the review team. This was successful with the presiding judge stating that the review team had deliberately set out to misrepresent the evidence.
Not having due process for criminal proceedings; acting against the advice of the police; interpreting the refusal of Lillie and Reed to be interviewed as evidence of guilt when in fact they had been legally advised not to engage; setting out to misrepresent the evidence.
Lewis, the most imaginative and forceful of the young accusers, offered unusually vivid testimony against Burroughs [accused of being the ringleader of the witches]. Lewis told the court that Burroughs flew her to the top of a mountain and, pointing toward the surrounding land, promised her all the kingdoms if only she would sign in his book.
Although the Salem Witch Trials may appear dated, incredulous and at first sight of questionable value in current writings on testimony, they remain an historical reminder of what can go wrong when poor evidence is accepted. These trials led to between 100 to 200 individuals being accused of witchcraft, 19 being hanged, one 80-year-old farmer being ‘pressed’ to death under stones for refusing to submit to a trial, at least four accused dying in prison awaiting trial, and two dogs executed as suspected accomplices on witchcraft charges. Indeed, when it was finally agreed that spectral evidence could no longer be admitted, 28 of the last 33 trials ended in acquittal, with three convicted witches later pardoned (Linder, 2007). Thus, although an extreme example, it is not far removed from other examples of evidence given in the context of developing hysteria such as the afore noted ‘repressed memory’ trials of the 1990s, where evidence for which there was absolutely no physical or scientific basis was submitted by ‘experts’ leading to significant negative impacts on the accused. In the light of what is repeated evidence of the damage that can be afforded by poor evidence, the learning point of these historical examples is perhaps the importance of not misusing evidence and instead representing it for what it is: if the evidence is based on conjecture and speculation then it should be cited as such; if the evidence is based on professional specialised knowledge then this should be indicated; and if it is truly scientific and therefore measurable evidence then this should be clear. These are
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important points to note. It is the duty of the expert to clarify for the court the basis of what is reported as ‘fact’. One of the first occasions where this issue was recognised in court was in the development of the Daubert Criteria in 1993. These criteria were a product of the Daubert vs. Merrell Dow Pharmaceuticals case (1993) in which the quality of the expert evidence provided was considered in detail by the court. The Daubert Criteria determine the admissibility of expert evidence in the US court system. They stipulate that if evidence is to be submitted as scientific it must be: (i) falsifiable, i.e. a product of a testable theory or technique; (ii) reviewed, i.e. subject to peer review and publication in professional journals; (iii) accepted, with a general acceptance of the theory or technique in the scientific community; (iv) have a known error rate. These criteria have been used to stipulate the importance of psychological witnesses being explicit about the scientific foundations of their opinions and the psychological measures that they employ (Goodman-Delahunty, 1997), regardless of the type of legal setting that they are presenting evidence within. Evidence that does not meet these criteria is, at most, specialised knowledge and at least, unfounded opinion (i.e. conjecture). This is not to say that only evidence that is scientific has a place in court, rather that these criteria are focused on helping courts to decide on the weight that will be given to evidence. Indeed, there remains controversy in relation to what really constitutes scientific evidence, how stable such evidence is and how readily interpretable it will be to a legal forum (Omerod & Roberts, 2006). Although US-based criteria, with UK systems surprisingly more relaxed (Omerod & Roberts, 2006), Daubert does provide a good starting point for all court systems with regards to the admissibility of evidence. Clearly, evidence submitted as part of the ‘repressed memory’ cases indicated in Table 7.1, and ‘spectral’ evidence would never fulfil such criteria, and as noted by Ireland (2008): The principles of Daubert are further useful in encouraging all witnesses to distinguish between what they claim is opinion based on scientific fact, and what is opinion based on specialised knowledge or conjecture … The point being made here, however, is a simple one: if you intend to provide an opinion based on psychological tests ensure that the tests are scientifically robust. If there are problems with the tests you must identify these for the Court or tribunal so that they can better evaluate the ‘expert’ evidence and determine if its base is truly scientific or closer to specialised knowledge. Legal forums simply need to be assured of the basis of an opinion in case this is later relied upon (p.119). The next element to consider therefore is how this evidence, whether scientific evidence, specialised knowledge or conjecture, is presented to the court. There are two equally important aspects to consider: first, the written communication of this evidence; and second, the oral communication of evidence. The chapter will now focus on each aspect in turn.
Written Evidence: Providing the Essentials There are a number of useful principles that a good legal report will adhere to which can be outlined broadly as the importance of content and presentation (Ireland, 2008).
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These two aspects reflect the importance of a witness to be qualified both in the content of their profession (i.e. to be a qualified psychologist), and also in court processes (i.e. in ‘court craft’, having knowledge of court processes and how to adhere to these successfully). Qualification both in content and process are required for successful witness skills. Process skills are argued to be commonly lacking, resulting in poorly presented and constructed evidence, including written reports. It is also of value for witnesses to remind themselves that they are not just providing a ‘report’ to the court but rather a ‘working document’. To this effect there are guidelines which are essential for witnesses to follow as they construct their reports. The most useful of these is undoubtedly the outline provided by the Civil Procedure Rules (CPR) and its associated practice direction. Although written originally for application solely to the civil courts, these rules are now applied to criminal proceedings. The CPR Practice Direction has been particularly useful in dictating how a report should be presented, namely ensuring that:
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There is a coversheet, contents page, outline of purpose and chronology. The details of all parties involved are included. Your role in the proceedings is outlined. There is a statement of methodology, including who conducted the tests. A summary paragraph is included at the start outlining the main issue(s) in the case. A concluding paragraph is evident at the start of the report outlining core opinion. A glossary is employed. All paragraphs and pages are numbered. There is good use made of appendices, including a professional CV and source of documents considered. There is a header and footer including date.
Beyond core presentation, there are a number of important further areas that need to be attended to if reports are to be of value to the court. These areas will be listed here, although the core underpinning element is the importance of distinguishing between fact and opinion. The legal system is built on determining which facts relate to which opinions, and which facts should be given the most weight. Within a legal setting there are arguably two forms of fact: (i) that has been observed by the witness; (ii) that reported to the witness by another source. The first fact is one that is given the most weight legally. Examples of such facts that may appear within a psychology report include:
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Mental health symptoms observed during the assessment interview. Results of psychometric testing conducting the interview. Ratings given on clinical and/or behavioural checklists as a result of interview behaviour or other observations.
The second fact is classed more as ‘hearsay’ and, although of value, it is not given as much weight and on occasion is not permitted to be submitted within pro-
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ceedings. Within psychological reports examples of such facts are commonly found in the form of allegations, for example a client reporting to have been assaulted by an individual. All opinions stated within a psychological assessment should be traceable to a fact indicated in the report, whether this is an observed or a hearsay fact. It is important therefore for the report to separate the facts and opinion sections clearly so that the report can be scrutinised by legal professionals in a way that will prove of value to the court. The ‘facts’ therefore should be reported in the main body of the report (i.e. outline of the interview; details and results of tests and assessments conducted), with the opinion indicated in a separate ensuing section. The quality of the opinion is further determined by the nature of the facts underlying it: is the fact based on scientific evidence or is it specialised knowledge (Ireland, 2008)? Witnesses should be aware, however, of the problems in including an opinion with no indicated fact. This is likely to result in the opinion being omitted as conjecture, the opinion being omitted altogether, or the witness being called upon to give oral testimony on the grounds for their opinion. This highlights the importance of indicating both fact and opinion (Bond et al., 1999; Ireland, 2008), and avoiding unfounded opinion (Hagen, 1997). Once this concept is fully grasped by the witness, attention should then fall upon avoiding the various traps that reports can fall into. In no particular order these include, but are not restricted to:
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Reporting allegations as if they were fact (Ireland, 2008). Allegations should be indicated clearly as such. Courts, quasi- or formal, are the correct forum for the discussion of the likelihood of events having occurred either through a ‘balance of probability’ (civil) or ‘beyond a reasonable doubt’ (criminal). Witnesses simply have a duty to indicate clearly the nature of reports, i.e. ‘The client was hit several times by his partner’ would be more appropriately indicated as ‘The client alleges that he was hit several times by his partner’. Witnesses should not be moving into the arena of inadvertently being seen to make decisions since this is the remit of the decision maker (e.g. judge). Indeed, as stated by Ireland (2008), ‘Advocates will notice occasions where witnesses have seemingly strayed into the remit of the decision maker and this can be used to discredit evidence’. Acknowledging provisional opinion. Including such opinion is perfectly acceptable within reports. Problems arise when opinion is not indicated as such. Occasions where opinion is most likely to be provisional include where there have been gaps in the available collateral information. An example may be a provisional opinion on psychological health being provided in the absence of a full review of medical records. Including a range of opinion on a core issue. Witnesses should accustom themselves to providing more than one explanation for a core opinion. As noted by Ireland (2008), ‘Legal proceedings will prefer a range of opinion to be acknowledged as it allows them choice in decision making and ensures that the witness is seen to have carefully considered all possible opinions’. Thus where there is opportunity to indicate possible explanations for an opinion this should be
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taken. For example, if a psychologist is asked to provide an opinion on the cause of psychological distress for an individual, they should provide a range of possible reasons and indicate clearly which is their preferred reason(s) and why. Such an approach not only demonstrates the flexibility of the witness but it also makes it less likely for oral testimony to be required. Deferring to other professionals if topics are not within your expertise. It is not helpful to the court for a witness to comment on areas outside of their remit (Bond et al., 1999), and has led to a number of high-profile miscarriages of justice (Omerod & Roberts, 2006). Courts may often ask questions of witnesses which encourage them to stray outside their area of competence. However, these questions are a function either of an attempt to discredit a witness or simple ignorance of the expert’s area of expertise. It is, however, the duty of the expert to clearly communicate to the court what their area of expertise is and to direct the court to another professional if they cannot assist. Such issues can often be resolved at the instruction stage (i.e. at initial formal written contact). Pre-empt criticisms of your report by identifying its weaknesses. All reports have weaknesses and the issue here is simply a matter of who points them out first – the witness or the advocate. It is far more helpful for them to be identified and handled by the witness (Brodsky, 2003), i.e. ‘… a report which sets out what the weaknesses are and deals with them effectively is more credible than one which ignores them’ (Bond et al., 1999). Weaknesses can range from anything from the reduced access to collateral information to a client who declined or was unable to provide information. The role of the witness is to report these weaknesses and offer some opinion on the likely impact of these on the report (which in many cases should be the indication of a provisional opinion). Avoiding prejudicial statements. Emotive/prejudicial language should not appear in reports in case this prejudices the decision-making process (GoodmanDelahunty, 1997). The style and use of language in a report is therefore critical. Witnesses have a role to assist proceedings in reaching a judgement, not to lead them towards one or to make one for them. An example would be avoiding the use of emotive labels which imply that an allegation is proven when this is not the case. For example, in a contested hearing where there is disagreement as to whether or not domestic violence occurred, courts would not welcome language in a witness report which made statements such as, ‘this client fits the profile commonly found among battered partners’. In making such a statement a witness will have made a prejudicial statement which could suggest to a decision maker that an event has occurred (i.e. domestic violence) when allegations suggesting this have not been proven. Instead, the witness more au fait with legal process would state that ‘ “A” presents with symptoms consistent with a stress response, including increased startle reflexes, a reported disrupted sleep pattern and reports of intrusive thoughts’. It is then for the court to decide if these symptoms can be used as partial evidence for domestic violence.
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Writing legal reports is therefore a skill that goes beyond mere good quality literacy and written skills. Legal reports are not about being able to write an excellent narrative, but instead are focused more on compiling a legally defendable document. It is the preparation of this document that requires skills additional to those found in writing standard psychological reports. The skills of a witness do not stop here, although compiling a legally defendable document is undoubtedly going to lead to a reduced potential to being called to court to provide oral testimony, there are still occasions where oral testimony is required. A common example is when the report of a witness is contested by one party, and as a result a witness is expected to attend to provide evidence. This should not be viewed as a chore or unenviable position for a witness to find themselves in. Providing both written and oral testimony is part of the profession of the expert and/or professional witness: preparing a written report assumes the witness is also prepared to attend a legal forum to defend it. The section below aims to provide some key pointers of how oral testimony can be a successful experience both for the legal profession and for the witness.
Cross-Examination: Essentials for Oral Testimony If all witnesses had the honesty and intelligence to come forward and scrupulously follow the letter as well as the spirit of the oath … and if all advocates on either side had the necessary experience, combined with honesty and intelligence, and were similarly sworn to develop the whole truth and nothing but the truth, of course there would be no occasion for cross-examination, and the occupation of the cross-examiner gone. But as yet no substitute has been found for cross-examination as a means of separating truth from falsehood, and of reducing exaggerated statements to their true dimensions (Wellman, 1923, republished 1997, p.27).
Such quotes are not merely a method of illustrating the history surrounding cross-examination and eloquence of speech; they also assist in outlining the background to cross-examination and why it continues to have an integral part to play in legal proceedings. Psychologists engaged in witness work, whether this is as a witness of fact, as an expert witness or as a professional witness, should be encouraged to recognise cross-examination as nothing more than the legal method of determining the veracity of the facts on which their opinion is based. Thus, there is nothing ‘personal’ to be taken in relation to cross-examination; it is not designed to be a purposeful, personalised method of threatening the integrity of an individual or the discipline they represent, but rather to rigorously assess the reliability of the witness and the information that they provide. The integrity of a witness can only be questioned if they have not presented evidence in a manner expected. This is an issue that is returned to below. Indeed Lord Justice Wall QC (Wall & Hamilton, 2007) describes cross-examination as a positive method by which we can critically evaluate the methods we employ as witnesses, considering it as a stimulating experience in terms of enhancing professional development. Indeed, in a fairly recent case the examination of an expert was described as ‘good forensic sport. It was good advocacy and
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involved an expert witness having the accuracy of his conclusions effectively tested’ (Judge Henriques, 2002; Liennard vs. Slough Borough Council). Witnesses can do much to prepare for cross-examination, although the extent to which their experience of cross-examination will be positive, will have as much to do with their skill in court craft as it will with the extent to which they have provided opinion firmly within their remit of expertise. Straying outside one’s area of expertise, coupled with seeing cross-examination as a personal attack on one’s integrity and skill, are two traps into which a novice witness can fall. Part of preparing for crossexamination should be focused on understanding the nature of questions that are likely to be asked.
Areas of questioning to be aware of during cross-examination The following section will illustrate some core examples of question types which witnesses should be fully appraised of prior to providing testimony. The effectiveness of witness testimony is often as much to do with an ability to recognise the nature of questions as it is to do with the content of the answers. Hypothetical, closed and leading questions are taken here as illustrative question types to highlight the importance of being aware of the nature of questioning. There are many more styles of questioning but space restrictions do not permit a more detailed review.
Hypothetical questions One of the greatest vices of expert medical testimony is the hypothetical question and answer…..This is, perhaps, the most abominable form of evidence that was ever allowed to choke the mind of a juror or throttle his [sic] intelligence (Wellman, 1997, p. 119).
Hypothetical questions are used more as a tool by which to test the expertise of a witness in court craft than as a method of securing valuable testimony on a point in question. A typical hypothetical question is one that presents a [new] material fact that has not actually occurred and invites the witness to consider this with regards to how it would influence their opinion. To illustrate this, consider the following example, with the hypothetical component listed as the final set of questions from counsel: Counsel: So, you are indicating that the defendant’s risk of aggression is increased in the context of excessive alcohol use when combined with negative emotion with which he is ill-equipped to manage, and particularly when he is experiencing conflict with an intimate partner. You indicate that his long history of previous aggression is a further important consideration. Witness: Yes that would be correct. Counsel: What if you were to cast yourself into the future and be informed that the defendant was now in a stable relationship and had attended an Alcohol
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Awareness Programme and done well? What if it was also the case that he did not have a history of previous aggression? Would you now agree that he was no longer a risk to others? The inexperienced witness may well offer a revised opinion based on these hypothetical assertions. But they are just this, hypothetical, and should not lead to an unchecked change in expert opinion. These are not changes in material facts, which is one of the few occasions where a revised opinion is encouraged in order to demonstrate witness flexibility, but rather are hypothetical ‘what if ’ facts only. The experienced witness would indicate an initial answer which reported their recognition that this was a hypothetical question. If pressed to answer the hypothetical question by the judge, the experienced witness would place a caveat on their answer, e.g. ‘I will provide an opinion but only on the basis that this is based on a hypothetical scenario and not a change in the material facts as I have assessed them’. It is important for witnesses to be aware that the importance of such questions lie in their content as opposed to the answer provided by the witness. This is eloquently put by Wellman (1997) who stated how, ‘It is the duty of the cross-examiner to enlighten the jury in regard to such questions and make them realize that it is not usually the truth of the answer, but the truth and accuracy of the question which requires their consideration’ (p.120). Such questions are designed to demonstrate the inexperience of a witness and their willingness to provide opinion without being presented with true facts (Ireland, 2008).
Using Closed Questions to Detect Dishonesty If a series of closed questions are being put to a witness it may, at first sight, suggest that an information-gathering or information-reducing exercise is being conducted. Within a legal forum, however, a carefully prepared cross-examination will not take up valuable time simply to seek further information when there are other means of acquiring such information prior to oral testimony (e.g. through preparation, by putting written questions, by using expert or professional meetings). Thus a series of closed questions should be considered a potential attempt to disprove a fact on which an expert opinion has been based, including an attempt to uncover the dishonest representation of a fact by a witness. The following example provided by Wellman (1997) is a good illustration of how such questioning can work in practice. In this example, Wellman describes a case in which he was cross-examining a medical witness on evidence concerning head injury. The witness was felt to be an under-qualified charlatan, but was presenting well to the jury on the basis solely of a superficial knowledge of the medical profession coupled with a charming nature. Wellman described him as ‘a loquacious gentleman of considerable personal presence’ (p. 126). The dishonesty of his testimony was unravelled in the following way (see Wellman, 1997, pp. 126–7):
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Counsel: Doctor, I infer from the number of books that you have brought here to substantiate your position, and from the manner of your testifying, that you are very familiar with the literature of your profession, and especially that part relating to head injury. Doctor: I pride myself that I am – I have not only a large private library, but have spent many months in the libraries of Vienna, Berlin, Paris and London. Counsel: Then perhaps you are acquainted with Andrew’s celebrated work ‘On the recent and remote effects of head injury’? Doctor: Well, I should say I was. I had occasion to consult it only last week. Counsel: Have you ever come across ‘Charvais on Cerebral Trauma’? Doctor: Yes, I have read Dr Charvais’s book from cover to cover many times. All of these texts were in fact fabricated by counsel with the advice of the medical advisor advising counsel. Counsel reportedly continued in the same fashion, with the doctor replying after each text that he had either ‘studied carefully’ the volume or ‘had it in his library about to read’. Only when the doctor became suspicious did counsel suggest a genuine and well-known text (‘Injuries of the Spine and Spinal Cord’ to which it was stated ‘the doctor laughingly replied, “I have never heard of any such book and I guess you never did either” ’). Wellman (1997) stated how, at this point in the testimony the counsel’s medical advisor was sworn in to indicate the fabricated and genuine texts. Clearly, witnesses who are aiming to be honest have nothing to concern themselves about being presented with a series of closed questions, other than being appraised of their likely aim by counsel. However, ‘dishonesty’ is interpreted broadly within legal forums and focuses not just on deliberate untruths but also on a witness’s ability to remain firmly within their competence. Straying beyond personal competence, therefore, should be avoided, with an appropriate recommendation made to another expert. By straying outside of personal competence the risk of being discredited is elevated and thus being exposed to a repeated closed questioning style.
Leading questions Leading questions are generally only permitted during cross-examination and not during examination-in-chief or during re-examination (Ross, 2005). As with hypothetical questions, their aim is primarily to demonstrate the quality of the witness by indicating their suggestibility testing the reliability of their opinions. It is used more to test evidence than to elicit new and firm opinion. This following example provided by Wellman (1997) is a good illustration of how such questioning can work in practice. It is taken from the famous Bellvue Hospital case from 1900 in which a journalist (Thomas J. Minnock) posed as mentally ill and resided in the hospital in the hope of securing a story. The ‘story’ he later reported was the murder of a French patient, Hilliard, one which he claimed he had witnessed. He attributed the murder to the nursing staff at the hospital, claiming that they had strangled the patient with a bedsheet. This was a well-reported case with a number of unresolved issues surrounding the death of the patient. The nursing staff were acquitted. This acquittal was undoubtedly due to the
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expertise in the cross-examination employed by counsel, Frances L. Wellman. This is cited as a famous example of cross-examination (Wellman, 1997, p. 431). Within this is a good illustration of a leading question (underlined here) which was used to begin to discredit the testimony of Mr Minnock: Counsel: What was the condition of the Frenchman at supper time? Was he as gay and chipper as when you said that he had warmed up after he had been walking around awhile? Witness: Yes sir. Counsel: But in your affidavit you state that he seemed to be very feeble at supper. Is that true? Witness: Well yes, he did seem to be feeble. Counsel: But you said a moment ago that he warmed up and was all right at supper time. Witness: Oh, you just led me into that. Counsel: Well, I won’t lead you into anything more. The management of leading questions by witnesses should be a straightforward task although the importance lies in identifying them. Once identified as a leading question the best approach is simply for the witness to answer the question without responding simply in the affirmative as the witness did in the example provided here (i.e. ‘Yes sir’). In essence, the best approach is simply to repeat your original opinion and to add nothing further to this. Thus, in the example provided here, the most appropriate dialogue from the witness would have been: Counsel: What was the condition of the Frenchman at supper time? Was he as gay and chipper as when you said that he had warmed up after he had been walking around awhile? Witness: I indicated in my affidavit that he seemed very feeble at supper. This section has attempted to provide some examples of core question types that a witness may be exposed to. It is important to recognise such questioning as nothing more than legal methods of testing evidence and to prepare for them accordingly. Psychologists, it could be argued, are in a particularly good position to be exposed to a range of question types; their profession is based largely on an ability to use questions to gather and interpret information from their clients. Thus, in many ways it could be argued that within legal forums psychologists are simply exposed to methods of testing information in which they are already well versed.
Conclusion Witness work, whether this is expert or professional witness engagement, requires skills in addition to content alone. There is a need for witnesses to be qualified both in the content of their specific discipline and also within legal process (Bond et al., 1999). Qualification in the latter is often referred to as expertise in ‘court craft’, or
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rather expertise in being a witness. Legal forums themselves, whether formal court or quasi-court, follow prescribed sets of procedures and rules both in the ordering and also in the delivery of evidence. In this sense a considerable amount of oral witness work is predictable and arguably scripted. Thus considering legal forums to be akin to ‘theatres’ can certainly prove of value to the witness in terms of managing anxieties (Ireland, 2008). Effective oral delivery, however, can be enhanced by good quality written reports with the latter extending beyond the provision of a good narrative. Being an effective witness is furthermore underpinned by an avoidance of the errors that have occurred throughout the history of witness work. By this, reference is made to having a good understanding of the history of evidence giving within legal forums. This is essential and an important consideration if the errors of poor evidence giving are to be avoided.
Chapter
Eight
The Development of a Practical Behavioural Change Framework: A Case Study within a National Law Enforcement Agency Simon Keslake and Ian Pendlington
Whilst those involved in law enforcement are continuously encouraged to develop their leadership capability, an aim that is supported in the plethora of literature on how individual leadership behaviour within law enforcement might need to change, little practical advice is available on how this would be implemented at an individual or group level. This chapter aims to redress the balance by exploring a detailed case study relating to the development of a behavioural change framework for a national law enforcement agency. Behavioural change does not occur in a vacuum: it is a function of the individual, the team and organisation. The task – and a key issue for academics and practitioners alike – is to identify the relevant factors, their significance and interactions in contributing to the effectiveness of behavioural interventions. However, the science of intervention development and evaluation would appear to remain at an early stage (Ory, Jordan & Bazzarre, 2002); interventions may be carefully developed, but weakly evaluated, or graceful designs used to evaluate poorly specified interventions. Indeed, the personal experience of each author suggests that many practical programmes make little or no reference to theoretical psychological thinking about behaviour or behaviour change, and provide no analysis or explanation of how each programme element is proposed to influence behaviour. Furthermore, many programmes do not Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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include measures of effectiveness, and if they do, many do not include rigorous tests of the reliability of these measures. This highlights the need to link intervention development with underlying theory, evaluation and design issues at an early stage of the change process. This linkage is particularly important when the intervention is complex, as in most behavioural change programmes. Specifically, this chapter presents an approach to the development of a theorybased intervention for behavioural change within the Child Exploitation Online Protection (CEOP) Centre. The CEOP Centre was established in April 2006 to help eradicate the sexual abuse of children and as part of UK policing it is very much about tracking and bringing offenders to account either directly or in partnership with local and international forces. In early 2006, the CEOP Centre engaged a leading international consultancy to undertake a programme of organisational development, involving the application of behavioural science disciplines dedicated to improving the organisation and the people within it through the use and theory of planned change. The authors were the programme directors behind the design and delivery of a tailored programme of change that linked behavioural determinants causally through personal action to organisational outcomes. The framework that underpinned the programme provides a guide to associated measures, intervention points and intervention techniques, and can be tested quantitatively. The authors introduce the background for change and explore how this influenced the move beyond generic behavioural frameworks. The academic premise for the intervention is then explored and the links to process design expounded. The practical framework that was developed for individuals to explore change at a highly personal level is discussed and deconstructed so that the reader is able to move beyond a sometimes benign academic exercise to see the tangible actions that were deployed within the client organisation. Finally, the evaluation and measurement process is discussed and linked back to the initial research to demonstrate additional and frequently missing elements of intervention frameworks.
Understanding the Change Landscape The starting point for the development of the intervention framework became the examination of theories of behavioural change to determine a prevailing theory that would help direct the process of change and the variables acting upon it. It was hoped that given a set of pre-conditions, the theory would be able accurately to predict behavioural outcomes and allow those pre-conditions to be created or put in place, and for a change in behaviour to be caused by those conditions to be put in place. Such a theory should incorporate independent and dependent variables which would be observable and measurable. However, whilst an examination of the literature exploring behavioural change highlighted numerous theories on which to draw, no single universally accepted theory seemed to exist. Indeed, attempts to unify the many diverse theories of behavioural change appear to have resulted in complex theories which are conceptually inclusive but poor in leading to clear predictions. For example, Van De Ven and Poole (1995) cite evidence that organisation change theories have taken their cue from a
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range of psychological disciplines and theorists including Freud’s psychotherapy and Piaget’s child development theory. Barker and Barker (1996) explore the application of an Adlerian approach to managing organisational change by applying this model to interactions with individuals in a case study of managing change in a health care organisation. Psychological aspects of organisational change have also been acknowledged in empirical studies. For example, Guzzo, Jette and Katzell (1985) examined the effects of multiple psychologically based organisational interventions on productivity. The interventions included recruitment and selection, training and instruction, appraisal and feedback, management by objectives, goal setting, financial compensation, work redesign, decision-making techniques, supervisory methods, work rescheduling and socio-technical interventions. Each example tended to lead to a listing of variables, which depending upon the circumstances led to an impact on behaviour. In other words, the outcome was not a theory at all, but rather a collection of variables which can be manipulated, with a probability that each will result in some level of behavioural change in certain circumstances. This meant that attempts to find a unified theory, which could be used as a basis for designing a behavioural change programme, remained a ‘work in progress’ for both academics and practitioners in this field. Indeed, in the authors’ experience many practitioners effectively bypass theoretical modelling and review programmes that work and those that do not, defining the theoretical underpinnings of successful change programmes ‘after the fact’.
Developing a Context-Specific Intervention Strategy The authors felt it essential to move beyond this process by developing and implementing a theory-based intervention for behavioural change. In doing so the goal became the development of a specific framework that linked behavioural determinants, causally through personal action, to organisational outcomes. The framework was tailored to context, target population, behaviours and the organisational outcomes of the target client. It also included a guide to associated measures, intervention points and intervention techniques, and could be tested quantitatively.
Isolating the basis for change The Home Office has put the development of leadership behaviour at the heart of the Police Reform Programme (2005). In setting out where it wanted to be in five years’ time, a key aim was to ensure that the Service embraced principles of transformational leadership to be achieved by a ‘greater emphasis on transformational leadership in development programmes’ (Synopsis, 2006, p.1). This focus on transformational leadership would appear to stem, in part, from evidence emanating from the public and private sector. Here a link has been found between a leader demonstrating dimensions of ‘transformational’ behaviour and their subordinates having a wide range of positive attitudes towards their work
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(Bass, 1985; Alimo-Metcalfe & Alban-Metcalfe, 2005). To understand what is meant by transformational behaviour requires an assessment of individual traits (Sosik & Megerian, 1999). Traits such as personality, physique or cognitive style represent characteristics that describe the way an individual reacts and interacts with others. Indeed, the literature is full of frameworks of leadership behaviours (or traits) which have come to dominate the sphere of transformational leadership. For example, Bass (1985) argues that these traits can be built around how a leader transforms and motivates followers. These ideas were subsequently developed by Bass and Avolio (1994), who suggested a ‘full-range’ model of transformational leadership. A number of authors have built upon the work of Bass and Avolio (Burke & Cooper, 2006). Yukl (1989, 1994) for example, built upon Bass and Avolio’s (1994) work through research which was seen to underline the importance of ‘transformation’ and ‘change’ as core behavioural competencies. Yukl (1994) subsequently identified relationship-focused behaviours (including a strong commitment to the unit and its mission, and a high level of mutual trust and cooperation among members) and change-focused behaviours (including major innovative improvements in processes, products or services, and adaptation to external changes) as key to organisational success. Alimo-Metcalfe and Alban-Metcalfe (2005) have over the last several years further built upon this work and identified a set of 12 behavioural constructs that again were shown to impact positively on organisational effectiveness. This work culminated in an instrument called the Transformational Leadership Questionnaire (TLQ). This has already been used widely within the UK public sector (in the NHS, local government and the Prison Service). In the July (2005) copy of Jane’s Police Review Alimo-Metcalfe advocated the use of the TLQ as a means of promoting transformational leadership within the law enforcement community but provided no detail as to how it was related to leadership and performance within this highly specific environment. However, a research study conducted by Dobby, Anscombe and Tuffin (2004) to test out the feasibility of using the TLQ instrument within a policing population and to assess the reliabilities and validities of the behaviours with such a population proved inconclusive. A brief review of the research literature relating to the law-enforcement arena clouds the picture further. For example, a study by Girodo (1998) concluded that different types of managerial behaviours are required at various levels of supervision, which in turn could influence the relative importance of transformational behaviours vis-à-vis the traditional transactional behaviours. Indeed, Bennis (1989) talks of leaders having to keep recomposing and reinventing their leadership. Rickards and Clark (2006, p.119) concur, suggesting that leadership will be reinvented in order to ‘support the existing social order by providing a rationale for framing the experience of the led.’ This idea is supported further by work conducted by Keslake and Pendlington (2005) within the National Crime Squad (NCS); they concluded the need for a more detailed exploration of the influence of rank and grade structures (the ‘existing social order’) on perceptions and expectations of leadership. Stamper (1992) concluded that whilst transformational behaviours were important, an individual must possess a range of ‘transactional’ and ‘transformational’ behavioural sets if they are to succeed within the law-enforcement environment.
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With limited research evidence supporting a definitive link between specific behaviours and performance improvement within the law-enforcement environment, the authors remained confronted with the challenging question of what actually constituted effective behaviour and more importantly how this might be developed and embedded. Furthermore, by virtue of the fact that the client organisation was a new and untried law-enforcement entity, it seemed naive to assume that historical research could be easily mapped onto an untested operational blueprint. It was thus argued that the organisation’s unique agenda and ambitions needed to be explored if we were to truly understand what might support future performance. It was concluded that ‘models of what organisations should do in the future need to be based upon their own complex make-up, their drivers and their own highly specific ambitions; as each organisation is the social sum of its highly individual people – organisations must move forward on their own agenda, and not remain stuck in someone else’s past’ (Keslake & Wilcock, 2005, p.48).
Identifying the behavioural variable A thorough assessment of current employee and organisational needs was conducted in order to develop a clear understanding of the behavioural change in which the organisation wished to engage. This was necessary in order to develop an operational definition of the change behaviour and to establish possible measures specific to the target organisation. Data collection and analysis through a process of grounded theory (Willig & Stainton-Rogers, 2008) weighted a movement within the organisation towards the need for ‘envisioning, future and change’. Many law-enforcement officers had ‘become so preoccupied with current problems they were failing to plan for the future’. There was a need to ‘empower personnel to enable others to participate in the process of change in the organisation’; ‘Personal initiative helps employees achieve goals’; ‘Initiative consists of engaging in proactive activities furthering the organisation’s goals’; ‘Initiative will benefit other individuals at work. Employees should help their ‘team mates or take on duties that were not allocated to them and in doing so help achieve team goals’; ‘Employees showing high levels of initiative seem to work harder, taking on more responsibility and contributing more’; ‘Initiative may further the achievement of individual, team and organisational goals’; ‘a need for a more flexible workforce, one that goes beyond narrow task requirements and who are willing to approach work proactively by showing personal initiative’. These are direct quotations from interviews. It was thus established that employees needed to be willing to take initiative without constant supervision. Research on employees’ willingness to take initiative at work therefore became both of theoretical, and importantly, practical interest to the consulting process. In establishing how any intervention would be structured, there was a need to move beyond mere identification to establish a definition for initiative and explore how this might influence performance improvement within the organisation. Ultimately, the authors needed to identify and understand the factors that underpinned initiative-taking behaviour.
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Aligning the behavioural variable with workplace targets Frese and Fay (2001, p.134) define initiative as ‘work behaviour characterised by its self-starting nature, its proactive approach and by being persistent in overcoming difficulties that arise in the pursuit of a goal’. They see personal initiative as goaldirected and proactive, a crucial part of active job performance. Factors that affect the development of initiative include control at work, complexity at work (Fay & Frese, 2001), work stressors (Fay & Sonnentag, 2002), support for initiative from top management (Morrison & Phelps, 1999) or job autonomy (Parker, Williams & Turner, 2006). Further investigation highlighted how the work environment might impact on initiative through individual variables such as self-efficacy (e.g. Parker et al., 2006; Speier & Frese, 1997). Interestingly and influentially, commitment was noted as having a mediating role (Parker et al., 2006); contextual factors of the work environment might foster commitment, which, in turn, then stimulates personal initiative. Indeed, several of the work environment variables linked to initiative are also related to organisational commitment (Parker et al., 2006). For example, organisational commitment is affected by job autonomy (e.g. Dunham, Grube & Castaneda, 1994; Meyer, Bobocel & Allen, 1991; Parker, 2003) as well as job complexity (Parker, 2003). Job complexity is also positively related to team commitment (Van der Vegt, Emans & Van der Vliert, 2000). Ellemers, De Gilder and Van den Heuvel (1998) support this position, noting that individuals high on career commitment are willing to exert energy and be persistent in pursuing career goals, and individuals high on team commitment will strive to attain team goals. In that sense, commitment is likely to activate a goaldirected behaviour such as initiative. Here, the influence of work characteristics on personal initiative may well run via the impact of such experiences on affective commitment, which in turn might affect initiative. Indeed, recent research by Den Hartog and Belschak (2007) supports this position by finding positive relationships between affective forms of commitment and personal initiative. They note several reasons why commitment is likely to be related to personal initiative. First, the emotional element of this attachment may enhance affective activation, which energises and motivates people to take action to attain desired outcomes (Cacioppo, Gardner & Berntson, 1999). Second, employees high on affective commitment care about the target of this commitment and feel a strong tie to it. As initiative is a form of goal-directed behaviour, Ellemers et al. (1998) suggest that people are likely to exert themselves towards specific goals when they feel affectively committed, and as such, people more committed to their teams are more likely to strive for the attainment of common goals. In line with this, research shows that job involvement has a positive relationship with effort put forth on the job and effort completely mediates the relationship between job involvement and job performance (Brown & Leigh, 1996). Here, a sense of involvement with or attachment to a target is likely to make people more willing to exert themselves on behalf of the goals associated with this target. For example, employees high on group belongingness show more cooperation and helping behaviour (De Cremer & Van Knippenberg, 2002; Den Hartog, Hoogh & Keegan, 2007), and affective organisational commitment relates positively with employees’ pro-social organisational behaviours (Hunt & Morgan, 1994). This suggests positive
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relationships between affective commitment to different workplace targets and personal initiative. Thus, a premise was established that commitment to these elements was positively related to personal initiative. As such a focus on commitment, and how any intervention might generate this at a team and organisational level, provided the basis for programme design. The workplace target, by either providing or not providing a supportive environment that facilitates engagement and adherence to the process of change, can markedly alter the likelihood that behavioural change will occur. Likewise, the target can help facilitate behavioural change by providing support and engagement. Approaches to behavioural change that are restricted to the individual alone are not likely to yield as successful an outcome as those that also engage the entire framework within which the individual operates (Miller et al., 1997). Koeck (1998, p.1267) notes that for interventions to achieve a higher quality of output, ‘the key to improvement lies in better organisational structures and processes’. The organisation for a given intervention will be dependent upon the demands of the external and internal (institutional) environment (Lawrence & Lorsch, 1986). The more complex, changeable and unpredictable an organisation’s environment, the more difficult it becomes to intervene across the system, and as such the more difficult it becomes to sustain behavioural change. To support the change approach, the organisation has to align its organisational functions, professional groups and specialist workers into one coherent effort. This is the aspect in which most behavioural change programmes would appear to fail; organisations tend to explore only one part of a process and follow a simple cause and effect logic. But organisations have to be viewed as systems, with interrelated parts, which will not follow commands like a simple machine and where an apparent change in one individual, team or workgroup may have unforeseen consequences if the system is not viewed as a whole (Ireland, Chapter Two, this volume).
Baselining the behavioural variable Different types of behaviours have been identified that reflect a proactive stance on the part of the employee (Crant, 2000). Bateman and Crant (1993) note that some researchers focus primarily on an individual’s disposition towards proactivity, in the form of proactive personality; other researchers focus on proactive behaviours and behavioural syndromes such as personal initiative (Frese & Fay, 2001). Such behaviours aim at improving given work methods and procedures as well as developing personal prerequisites for meeting future work demands (Sonnentag, 2003) and reflect an active, self-starting approach toward work and performance (Parker, 2003). As part of the programme design, the authors adopted this behavioural approach to initiative. As Sonnentag (2003) shows, behaviours will vary intra-individually over time, and as such a behavioural baseline was essential at the outset in order that the authors might realistically measure and evaluate any change. With the use of a psychometric instrument, the goal was to explore individual dispositional factors that might both underpin and lead to the demonstration of levels of commitment (Kurz & Bartram, 2002). These included aspects of cognitive ability, relevant knowledge,
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certain personality dispositions and forms of motivation. Here the goal was to identify at a highly personal level the underlying characteristics that may lead to a particular behavioural response between workplace targets, which would subsequently influence future levels of commitment. This baseline assumed a normative-educative point of view, so that the knowledge generated in this way remained useful for embarking on action, rather then merely describing strengths and weaknesses of a particular individual. Action in this sense meant the establishment and subsequent measurement of behaviour through a series of stages (through which individuals may also regress) before a specific behaviour would be adopted as the norm and become self-sustaining (Prochaska & DiClemente, 1982). This design concept is adapted from the transtheoretical model (TTM), which was originally used as the basis for developing effective interventions to promote health behaviour change (Prochaska & DiClemente, 1982; Figure 8.1). Whilst this model has been accompanied by additional approaches, it can still offer real value in the current context in its description of how people modify behaviour or acquire a positive behaviour over time; importantly, the model includes a series of outcome measures, from which the authors were able to draw and adapt. The relationships between TTM constructs within organisational change have been preliminarily examined by Prochaska, Prochaska and Levesque (2001) in studies of readiness for merger/acquisition, readiness to participate in high-performance teams, readiness to use a stage approach to organisational change, and readiness for continuous quality improvement in hospital administration. There were clear implications of this model for practice. First, due to the possibility of regression to previous stages, sustained behaviour change would take time to achieve. Furthermore, it needed to be recognised that different people in the target population would be at different stages of readiness to adopt the desired behaviour. People needed to move forward against their own baseline and, as such, mechanisms to facilitate behavioural learning at the conceptual level became an essential part of
•
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Stage 2:
Stage 3:
Stage 4:
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Behavioural variables • on which to act have not been considered; organisation, team or individual unlikely to understand how change might be undertaken or how it might impact performance
Measurement prompts • individual to start thinking about change; requires reflection, gathering information, exploring with others how they feel about the likely change, considering impact change will have and who will be affected
People engage in programme of action to make changes, acting on previous decisions, experience, information, new skills, and motivations for making the change.
•
Practice required for the new behaviour to be consistently maintained, incorporated into the repertoire of behaviours available to a person at any one time
Figure 8.1 Intervention design adapted from the transtheoretical model (after Prochaska & Di Clemente, 1982)
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the intervention: the goal here was to facilitate meta-cognition, whereby selfawareness, decision making, self-monitoring, and by association the recognition of the need to adjust personal outcomes through choice, become an essential part of the intervention strategy.
Deconstructing and acting on the behavioural variable If a change effort is to succeed, it must thrive at the individual level, as that is where the primary behaviour change will occur (Winum, Ryterbrand & Stephenson, 1997). Changes that fail usually do so due to human rather than technical reasons (Palmer, 2004). The organisational change literature offers many prescriptive models, which identify what change leaders might need to do, or how they might implement a specific change initiative. However, many do not translate the generalities of a step or process to specific actions and behaviours at the individual level. Nor do they typically focus on how the change process occurs within and for individual employees (WhelanBerry, Gordon & Hinnings, 2003). For example, of three foundational theories – Lewin’s (1947) three-stage and action research models (1951) and systems theory (Cascio, 1998) – only the three-stage model was considered to be consistently applied to change at the individual level (George & Jones, 2001). The action research model is viewed as process oriented; individuals are simply catalysts for the implementation and management of the model, but their individual reactions to and actions related to change are not addressed. Furthermore, though the use of an individual body and its physiological operation has been used as a metaphor for systems theory (Kast & Rosenzweig, 1972), the theory itself focuses primarily upon the various components of systems. These interact in an ongoing fashion to produce change. Though individuals are considered one part of the overall system, behaving within and being impacted by the system, specific applications to individual-level change are typically not addressed. This position is amplified by the results of a survey of theories of organisation change, and attempts to categorise groupings of change theory (Jick, 1991; Kotter, 1995; Garvin, 2000; Mento, Jones & Dirndorfer, 2002). The majority of change theories are categorised as process and step focused, stressing methodologies for developing, initiating and managing change. Limited attention is paid to how the changes impact upon individual employees or how they incorporate these changes into their daily, work-related behaviour patterns and overcome feelings of resistance (Zell, 2003). The attempted categorisation of change theories fails to incorporate a focused view of individuals’ roles in organisational change efforts. Organisational change initiatives typically involve implementation and adoption at the group level; that is, across locations, departments or teams, as well as at the individual level. If major organisational change cannot occur without specific groups and individuals changing, then understanding the process of change at an individual level becomes essential (Whelan-Berry et al., 2003). In relation to the behavioural variable, research highlighted two specific ‘commitment targets’ (or foci) around which the authors were able to align the process: occupational commitment and career commitment. Here, commitment foci represent individuals, groups or
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functions (workplace targets) within the organisation to which the employee is attached (Vandenberghe, Bentein & Stinglhamber, 2004). At this stage of the intervention an active observation of behaviours in action was obtained and served as a criterion against which to validate the behavioural hypotheses generated by the baseline. Whilst the baseline was required for predictive, evaluation and measurement purposes, in line with the underlying principles of the transtheoretical model, over the course of the programme increasingly more emphasis was placed on observable data.
Acting on occupational commitment The following intervention point was constructed from research studies, most recently supported by Den Hartog and Belschak (2007), who suggest that more committed employees tend to show more personal initiative. They found that when employees care about, and feel involvement and identification with their team or organisation, they are more likely to embrace its goals and invest effort to attain them. Taking initiative can be a means to achieve such work goals (Crant, 2000). Thus, employees’ initiative taking at work may be related to the affective commitment employees have formed to work-related foci. Organisational commitment is defined as ‘an emotional attachment to, identification with and involvement in the organisation’ (Meyer et al., 2002, p.21). Ellemers et al. (1998) emphasise the need to distinguish commitment to different workplace targets. For instance, Riketta and Van Dick (2005) found that attachment to a more immediate, lower order focus (a team) was generally stronger than attachment to a more distant, higher order one (organisation). Similarly, a manager is seen as a more immediate focus of commitment than the organisation (Becker et al., 1996). As such, workplace targets were defined and incorporated into the programme in the form of desired outcomes from developmental activities. As ‘a process underpinning a belief in individual potential’ (Weinstein, 1995, p.3), action learning was viewed as the most appropriate means of exploring commitment in this context. Here, we took Revans’ (1983, p.54) view that ‘there can be no learning without action and no (sober and deliberate action) without learning’, so real work-based problems and issues were extrapolated in order that participants could explore their own managerial and personal commitment to the organisation, the management of staff and teams, and to change. The intervention strategy allowed participants to start with a problem, examine it from as many angles as possible, build conceptual models and solutions, and where appropriate implement them and evaluate the impact. Nickerson (1994) describes eight specific methods that were drawn upon in the design of a series of workshops: problem deconstruction (sub-goaling); working backwards; hill climbing; means–ends analysis; forward chaining; considering analogous problems; specialisation and generalisation; and considering extreme cases. There was no reason to believe that any particular strategy was adequate to ensure effective problem solving by itself and as such it was concluded that, as the strategies are not mutually exclusive, a mixed approach was likely to be most advantageous.
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Importantly, the group format was seen as a fruitful environment for participants to explore commitment to their particular team. Block (1996) comments upon how exposure to diverse viewpoints, intra-tutorial conflict and general group dynamics offer effective learning experiences for group members. Block (1996) draws a parallel with the psychotherapeutic model of clinical intervention and, importantly, suggests that in negotiating these difficulties group members learn more effectively to confront and explore their own contribution to resolving or exacerbating problems.
Acting on career commitment The subsequent intervention point was built around work undertaken by Ellemers et al. (1998), who argued that in trying to understand what makes people exert themselves at work, it is essential to distinguish between employees’ personal (career) goals and common (team) goals, and thus between career and team commitment. Career-oriented commitment involves the development of personal career goals and identification with, attachment to or involvement in those goals. This attachment to the individual goal of career advancement increases the desire to perform well in one’s own task, as this is likely to serve the goal of personal advancement (Ellemers et al., 1998). Individuals willing to exert energy and be persistent in pursuing personal career goals can be seen as having high levels of career commitment (Goulet & Singh, 2002). With the need to explore this at a practical level the intervention strategy integrated lessons from coaching research and practice that highlighted fundamental performance improvement in terms of productivity (Olivero, Bane & Kopelman, 1997) and, importantly, response to empowerment (Lazar & Bergquist, 2003). In addition to this, the coaching process had an intuitive appeal as an integrated part of the intervention strategy in its emphasis on action and built-in structure of accountability, which not only aligned itself with the processes highlighted by the TTM, but inherently provided a means to monitor and evaluate levels of commitment against the baseline: ‘What will you do?’ ‘When will you do it?’ (or for how long?), and ‘How will I know you have achieved it?’. The approach to coaching drew upon research that measured and predicted outcomes using reliable and valid scales, and experimental studies with control or comparison groups and random assignment of the participants to the groups or quasi-experimental studies without random assignment. Stober and Grant (2006, p.3) understand coaching as a solution-focused ‘systematic process … typically directed at fostering the ongoing self-directed learning and personal growth of the coachee’. Participants were recognised as autonomous and adult learners who, based on their experiences and knowledge, were able and ready ‘to learn and engage in reflective practice’ (p.3). The stance articulated by Lewin (1947) was adopted; that each individual must participate in his own re-education if he is to be re-educated at all. Here, the concept of mutuality was emphasised in arriving at conclusions about how an individual’s behaviour might need to change. In this way, the authors aimed to improve the attainment of self-congruent goals and conscious self-change and self-development.
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To achieve this, the approach incorporated cognitive behaviour modification (Grant, 2006) and systemic approaches (Cavanagh, 2006) and used Kuhl, Kazén and Koole’s (2006) assumptions of the neuropsychological motivation and personality theory of self-regulation for defining the motivational and self-regulatory prerequisites of each participant. This theory explains the difficulties of the process of exploration and exposition of an individual’s self and how the experienced coach should be able to facilitate the result-oriented self-reflection of each individual. According to this view, self-reflection implies a comparison of ideal and real self that stimulates unpleasant feelings if the participant recognises negative discrepancies. According to the neuropsychological theory of psychotherapy of Grawe (2004), discrepancies of ideal and real behaviour and the resulting problems also activate motivation to change in individuals.
Measuring and evaluating change in the behavioural variable In a change initiative designed to impact on an entire organisation, employees typically need to behave differently for change to occur in an observable and measurable fashion (Barker & Barker, 1996; Winum et al., 1997). The use of the TTM provides for a series of intermediate/outcome measures. Typical theories of change involve only a single univariate outcome measure of success, often discrete. The TTM proposes a set of constructs that establish a multivariate outcome and includes measures that are sensitive to progress over time; these constructs include the pros and cons from a decisional balance scale, self-efficacy (or temptation), and the target behaviour. The decisional balance construct reflects an individual’s relative weighing of the pros and cons of changing. It is derived from work undertaken by Janis and Mann (1977), whose model of decision making includes four categories of pros (instrumental gains for self and others and approval for self and others). The four categories of cons were instrumental costs to self and others and disapproval from self and others. However, an empirical test of the model resulted in a much simpler structure. Only two factors, the pros and cons, were found (Velicer et al., 1985). The decisional balance scale involves weighting the importance of the pros and cons. Figure 8.2 illustrates this pattern for levels of commitment. At the baseline, the cons of commitment will show different levels per individual, but generally speaking cons outweigh the pros. During early engagement, these two scales are more equal. In the advanced stages towards maintenance, pros outweigh the cons. The self-efficacy (or temptation) construct represents the situation-specific confidence that people have that they can cope with particular situations and events without regressing to their habitual behaviour. This construct was adapted from Bandura’s self-efficacy theory (Bandura, 1982). This construct is represented either by a temptation measure or a self-efficacy construct. The situational temptation measure (Rossi, Rossi & Prochaska, 1990) reflects the intensity of desire to engage in a specific behaviour during difficult situations. It is, in effect, the converse of selfefficacy and the same set of items can be used to measure both, using different response
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Pros Measurement of commitment
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Figure 8.2 The relationship between each stage and the pros and cons associated with developing commitment to a workplace target
Temptation Measurement of commitment
Self-efficacy
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Figure 8.3 The relationship between each stage and both self-efficacy and temptation associated with developing commitment to a workplace target
formats. The situational self-efficacy measure reflects the confidence of the individual not to engage in a specific behaviour across a series of difficult situations. Both the self-efficacy and temptation measures have the same structure. The temptation/self-efficacy measures are particularly sensitive to the changes that are involved in progress in the later stages and are good predictors of regression to habitual behaviour, reflected in a move towards the baseline level. Self-efficacy can be represented by a monotonically increasing function across the stages of the framework. Conversely, temptation is represented by a monotonically decreasing function across stages. Figure 8.3 illustrates the relationship between each stage and these two constructs. Processes of change are the covert and overt activities that people use to progress through the stages. Processes of change provide important guides for intervention programmes, since the processes are the independent variables that people need to apply, or be engaged in, to move from stage to stage. Ten processes (Prochaska & DiClemente, 1983) have received the most empirical support. The first five are
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Table 8.1 Processes and alternative labels, with a sample item relating to ‘commitment to the team’ (adapted from Prochaska & DiClemente, 1983) Stage 3: Engage Experiential processes
Behavioural processes
Stage 4: Maintain Consciousness raising
Increasing awareness
Dramatic relief
Emotional stimulation
Environmental re-evaluation
Social reappraisal
Social liberation
Environmental opportunities
Self re-evaluation
Self reappraisal
Stimulus control
Re-engineering
Helping relationship
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Reinforcement management Self-liberation
Rewarding Engaging
I recall information people have given me on how to enhance commitment I react emotionally to warnings of how my level of commitment may impact on others I consider the view that a lack of commitment might hinder group performance I find the team/organisation changing in ways that make it easier to demonstrate commitment My lack of focus on the team makes me feel disappointed in my contribution I incorporate things into my work life that remind me of the need to commit to the team I have someone who listens when I need to talk about my commitment to the team I find that engagement with the team at a social level reinforces my commitment to the team I reward myself when I commit to action on behalf of the team I make conscious commitments to increase commitment to the team
classified as experiential processes and are used primarily for the early stage transitions. The last five are labelled behavioural processes and are used primarily for later stage transitions. Table 8.1 provides a list of the processes, alternative labels, and a sample item for each process associated with measuring the demonstration of commitment. Through these constructs and associated relationships, the framework helped facilitate a process analysis and supported the modification and improvement of the intervention strategy. For example, through the coaching process, an analysis of the patterns of behaviour change ensured that the intervention could not only be tailored to each individual, but also that it would allow the measurement of individual and team success as measured against individual or team baseline data.
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Towards a Practical Intervention Framework The above discussion highlights how theories of behavioural change have influenced the thinking behind the development of a practical framework to guide a tailored intervention within a law-enforcement organisation. The evolving framework involves a number of key intervention points that can be incorporated into four key stages:
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Isolating the organisational need and the associated behavioural variables upon which the intervention will aim to influence. Baselining the behavioural variable to establish individual intervention goals against which any change can be measured. An action-based process of engagement in which individuals explore their behavioural responses to live problems. Maintaining this process through an individualised coaching intervention based on learning from the preceding stages.
Whilst we hope that the framework will be flexible in its application, the process has been developed within the context of one specific organisation, and the measurement of individual and group change remains ongoing. The full methodology remains under development, is far more complex and detailed, and stretches (worryingly, some might say!) to many pages; in order to maintain interest therefore, we outline the approach at a very high level in Figure 8.4, and discuss the principal stages and constituent elements.
Stage 1: Isolate Establish organisational requirement Analysis of both the internal and external environment in which the organisation is operating identifies parameters around which a specific framework can be constructed. The framework links behavioural determinants, causally through personal action, to organisational outcomes. It is tailored to context, target population, behaviours and the desired organisational outcomes of the target client. The framework should provide a guide to associated measures, intervention points and intervention techniques, and should be tested quantitatively to ensure change can be measured.
Identify the behavioural variable A thorough assessment of current employee needs was conducted in order to develop a clear understanding of the behavioural change in which the organisation would need to engage. This was necessary in order to develop an operational definition of the change behaviour and to establish possible measures specific to the target organisation. The framework stems from the belief that models of what organisations should
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C. Action Learning and feedback processes implemented Align enabling variables C. .
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Contracting at individual, team and organisational level
Figure 8.4 The development of a practical intervention strategy
Align to workplace targets
Behavioural process strategies
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Experiential process strategies
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Coaching & Continuous Improvement
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Evaluation and measurement
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do in the future need to be based upon their own complex make-up, their drivers and their own highly specific ambitions.
Align evaluation and measurement criteria In a change initiative designed to impact upon employees across the entire organisation, individuals typically need to behave differently for change to occur in an observable and measurable fashion. As such, a series of intermediate/outcome measures are incorporated. Theories of change have often involved only a single univariate outcome measure of success, often discrete; this framework proposes a set of constructs that establish a multivariate outcome and includes measures that are sensitive to progress over time.
Stage 2: Baseline Baseline the behavioural variable Behaviour varies intra-individually over time, and, as such, a behavioural baseline is established at the outset in order to measure and evaluate any change. A psychometric measurement is taken to explore individual dispositional factors that might both underpin and lead to certain behavioural outcomes. Strategies are directed toward creating awareness of any dissonance between current behaviour and that required to achieve individual, team and organisational goals. The individuality of participants is recognised and as such, this stage allows practitioners to consider how they will match future interventions accordingly in order to be optimally effective at an individual level.
Establish personal and team contracts The overall goal here is to help participants identify, explore and elaborate on the factors that increase an individual’s readiness to change. Participants contrast the pros of change versus maintaining the status quo, and identify more clearly the personal impact of the cons of not changing their behaviour on individual, team and organisational performance. The aim is to increase engagement and motivation to the point where it makes sense to commit to change so that participants are likely to be more receptive to the personal change process.
Stage 3: Engage Implement action learning and feedback processes Participants consider in depth what they will need to do to change and the intervention strategy reinforces levels of commitment and engagement. Through a series of
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activities designed around live organisational issues, a deeper exploration of the pros for change is undertaken and the potential difficulties associated with changing are addressed. Action-centred strategies focus on uncovering and exploring how individuals address and deal with real situations that test their capacity and behavioural response. Encountering such situations is a normal part of the change process and the use of cognitive and behavioural skills will help increase confidence further. The strategy includes encouraging the individual to see that successful change and performance improvement will come from the application of personal skills and strategies and as such aims to help participants recognise these in order to enable adaptive behaviours. Supporting the awareness of increasing autonomy in directing the specific behaviour becomes increasingly relevant.
Align workplace targets Factors that affect or mediate the development of the behavioural variable are explored so that they may become the focus of activity within the programme. The goal is to identify positive relationships between the behavioural variable and different workplace targets to ensure robust points of intervention that can be evaluated and measured over time. As such, workplace targets were defined and incorporated into the programme in the form of desired outcomes from developmental activities. To ensure this is embedded into the programme the organisation has to align its organisational functions, professional groups and specialist workers into one coherent effort. As suggested earlier, the organisation must be viewed as a system, with interrelated parts. Such a system will not follow commands like a simple machine, and change in one particular target (individual, team or workgroup) may have unanticipated consequences unless the system is viewed as a whole.
Incorporate behavioural and process strategies Behavioural and experiential processes of change provide an important guide for the intervention strategy, since the processes are the independent variables that people need to apply, or be engaged in, to enable a shift in behaviour. Through these constructs not only does the intervention facilitate a process analysis but it also supports the modification and improvement of the intervention strategy through measurement against the baseline data.
Stage 4: Maintain Develop personal and team implementation plans Goals that are realistic, achievable in the short term, and that are clear enough so that progress can be observed are developed in order to support confidence and commitment to future behaviour. Essentially, the goals chosen should have a high probability of being attained, because it is their attainment that will increase
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confidence and maintain commitment. Once goals have been developed, alternative strategies can be further developed to help meet them.
Integrate coaching programme Individuals focus attention on progress and are encouraged and supported in maintaining conscious mobilisation of effort. Assistance in planning how to deal with both personal and external pressures that might restrict change is provided. In this context, coaching may be directed towards the development of appropriate performance expectations, techniques for coping in challenging situations, and the use of shortterm rewards to help acknowledge increased capability to attain individual goals.
Ensure continuous improvement Strategies are maintained until the new behaviour becomes firmly established. The monitoring of goal attainment, revising goals according to progress and rewarding success are necessary to maintain motivation. In this stage participants explore how to re-appraise behavioural responses and how they may indicate a need to operate differently. Analysis of what underpins these responses occurs, and the development of strategies to increase an individual’s ability to regulate behaviour in challenging circumstances is continually reinvented, applied and evaluated.
Conclusion The idea of change as a process, a programme or as a series of stages (Prochaska, 2000) is not new, nor is its application in organisational settings. Furthermore, psychologically informed strategies have proven to be effective facilitators of organisation change (Winum et al., 1997). However, the science of intervention development and evaluation would appear to remain at an early stage across both private- and public-sector organisations (Ory et al., 2002). Indeed, from an exploration of work undertaken across the law-enforcement sector, interventions may be carefully developed, but weakly evaluated, or elegant designs used to evaluate poorly specified interventions. From the authors’ own experience, it has been found that many practical programmes make little or no reference to psychological theory of behaviour or behaviour change, and provide no analysis or explanation of how each programme element is supposed to influence behaviour. It was this experience that led the authors to explore how a practical, researchdriven framework might help support sustainable behavioural change within the context of a law-enforcement agency. By introducing measures for quantifiably assessing behavioural change, the authors hope that further testing of the framework’s applicability across law-enforcement agencies will strengthen its potential to challenge thinking within organisations and teach people to look beyond the usual evidence.
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Campbell (1990) argues that theory plays an important causal role in the quality of both research and practice within a given field. As the quality of theory in a field improves, so does the ability of others to apply the theory. However, as practitioners, the authors view theory as a means to an end, not an end in itself. The immediate goal was to develop a framework to support the successful implementation of behavioural change within a new and untested law-enforcement agency. If human capacity to change could limit CEOP’s ability to respond to environmental demands, then behavioural change should be seen as a mechanism in helping to sustain the important activities undertaken, not only within this organisation, but within the sector in general. Indeed, if individual behaviour is a primary determinant of organisational outcomes such as the level of organisational performance, behavioural change should become a primary focus of organisation change for all organisations wishing to enhance performance. As the authors continue to implement the framework and measure change at an individual and team level, further applications within the law-enforcement sector are planned. A practical framework of individual behavioural change that can be shown to present a means of measuring the impact upon the organisation is likely to be of interest to organisations and practitioners alike. This would enable practitioners and organisations to choose the development effort best suited to their individual situation, while possessing a practical framework for guiding individual and team change with maximum effectiveness. The authors consider that this programme has made a start within the law-enforcement community for ‘this is only the beginning of the journey … Now, as a result of the change in mindset that we have experienced, we have increased our own internal capacity to develop the right skills and capabilities to succeed in our ongoing ever-changing fight against serious and organised crime’.
Chapter
Nine
Examining the Link between Performance and Employee Engagement in a Forensic Setting: Care Enough to Perform Well? Suzy Dale
HM Prison Service is a public service organisation in England and Wales which has a corporate purpose of not only detaining safely and securely one of the most difficult groups in society, (currently a group over 85,000 in number, the vast majority of whom would rather be at liberty) but must also seek to rehabilitate and reform. Not least as a representation of the maturity of any society, a more formidable task in any employment sector is difficult to envisage, as Dostoevsky (1915) observed in the House of the Dead: ‘The degree of civilization in a society can be judged by entering its prisons’. This chapter considers how the Prison Service has managed to sustain its impressive and protracted level of business performance, whilst considering the impact on its staff in doing so. The Prison Service is used in this context as an example of a forensic setting. However, the reader may consider whether or not valid parallels exist with other forensic, and indeed non-forensic, performance-driven workplace settings both in the public and private sectors, in Europe and elsewhere. For many of its employees, the Prison Service represents an endlessly fascinating organisation on many different levels, but particularly with regard to its adherence to the principles it promulgates, and a working culture which engenders a remarkably
Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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low turnover of staff when compared with its governmental counterparts. Some of the vicissitudes which the Service has encountered over the last 20 years are referred to in order to help provide the reader with some perspective on the Service’s achievements, whilst some analysis of staff perceptions and case studies are provided to illustrate how the organisation is developing in response to the intense operational situation it is facing at the end of the first decade of the new century. With a continuing rise in the prisoner population, there are undoubtedly further challenges ahead for the Service, and it therefore provides a prescient case study of an organisation in the process of discovering the vital interplay between employee engagement and measured business performance – and of the role of a psychological consultant in assisting with this pursuit.
Context The Prison Service is a large organisation employing approximately 10% (as of 31 December 2008) of all civil servants in England and Wales. The majority of Prison Service staff wear a uniform and are allied organisationally to what has become known as ‘the operational line’. These prison officers are managed through the line by an in-charge governor and senior operational staff. The professional equilibrium between governors, their senior management teams, officer grades, psychologists and other specialists, and support staff, which is necessary for an establishment to function effectively, can be elaborate and complex. Colleagues from different disciplines are generally aware of the constraints under which others operate and establishing clarity in setting the direction for an individual establishment is an imperative for the governor. In considering the responsibilities which are incumbent and enshrined in statutory terms in the role of the governor, it is as well for effective delivery that this is the case. The pressure which can be exerted on individual governors was particularly apparent historically in the early 1990s when, as a consequence/correlate of a number of several high-profile escapes and a number of critical inspection reports from Her Majesty’s Inspectorate (see Chapter Ten, this volume), the Prison Service as an organisation found itself the subject of public criticism and various governors were pilloried by sections of the media. Indubitably there was widespread revulsion among many managers and staff in the organisation at the treatment of these governors, but the repercussions were significant and initially traumatic for the Service. These included the replacement of the then director general, and the creation of a new private-sector market in the provision of prison management, which was then encouraged to provide ‘competition’ to what became known as the public-sector Prison Service. Under the leadership of three subsequent successive director generals, the Prison Service responded by refocusing on the principles of robust and evidenced operational and security practice. The results have been extraordinary, culminating in record low numbers of escapes from custody. Remarkably and perhaps as a consequence of the confidence which was reinstilled due to the success of the concentration on effective security, the public-sector Prison Service also began and has continued to compete
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and win delivery bids for establishments which had hitherto been managed by private-sector competitors. Another consequence of the operational and organisational problems the Service faced in the 1990s resulted in significant, relevant and lasting cultural change. Largely at the insistence of the then director of operations and perhaps before many other public-sector organisations in the UK, in response to the competition from private-sector providers, the Prison Service undertook to make a conscious transition to become an operational service with an integrated performance culture. An internal management consultancy service was deployed to considerable effect to ensure staffing levels were appropriate and consistent while a range of business performance measures were developed. Considering the scale of the proposed changes, in a relatively short period of time, Prison Service staff became accustomed to indicators and targets of performance. These were introduced in the context of the situation described above and were accepted partly by an acceptance of the management ‘mantra’ that if the performance of an establishment (prison) could not be measured then it could not be managed effectively. There is now a detailed, documented and declared record of how the Prison Service has performed over the last 10 years which serves to illuminate the scale of its achievement. It has been a matter of considerable astonishment that the Service has managed to cope with the continual rises in the number of offenders it receives from the courts, especially given that, as a result of a change in government sentencing policy over the period, many of those sentenced are set to serve longer sentences than hitherto. To demonstrate the scale of the Prison Service’s achievement, in just over 15 years the prisoner population has doubled. It now stands at record levels and it would be difficult to exaggerate the exponential logistical, political and managerial challenges that this has created. Typically, the Prison Service has met these with huge endeavour and ingenuity. Much of the older accommodation in which prisoners live was not designed for the purposes of incarceration and training in which it is currently being used. Nevertheless, old aerial photographs of their establishments (in many governors’ offices) often bear little resemblance to the current reality. Wherever there was once spare space inside the prison’s walls, now there appears a purpose-built accommodation or a building site. The Prison Service’s relationships with staff associations have also been tense from time to time and, most notably, the Prison Officers’ Association (POA) has been ready to articulate how the expectations of the role of a prison officer (a role which has increasingly required a high degree of multi-skilling) needs to be commensurate with the remuneration offered. Although the prisoner population has continued to rise, the Prison Service has been under continual financial scrutiny and has been expected to continue to identify and implement further public-sector efficiency savings. That it was expected to do so was perhaps paradoxical, that it has succeeded in so doing may be viewed by some commentators as little short of remarkable. The Prison Service thus faces an operational and organisational conundrum. Performance is sustained or improves, the prisoner population continually rises but proportionately fewer resources are made available to managers. Therefore the
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challenge for managers to balance staff engagement and their establishments’ performance is immense.
What is Employee Engagement? There is nothing new about the adage ‘a motivated workforce is a productive workforce’: quite how this maxim applies to the Prison Service (in the current example) is another matter. Traditionally, research has concentrated on investigating the links between job satisfaction and performance, in the intuitive belief that a happy workforce is a productive one. However, more recently an increasing amount of business management literature has indicated that simple job satisfaction does not necessarily always lead to good performance. A new term, employee engagement, moves beyond both motivation and job satisfaction. According to the Institute for Employment Studies (2004), engagement is: a positive attitude held by the employee towards the organisation and its values. An engaged employee is aware of business context, and works with colleagues to improve performance within the job for the benefit of the organisation. The organisation must work to develop and nurture engagement, which requires a two-way relationship between employer and employee (p.ix).
The precise composition of employee engagement varies across business management research, and the drivers can also differ across organisations (Robinson, Hooker & Hayday, 2007) with some organisational-specific components emerging from the research. Recently, global research by Towers Perrin (2007–8) involving a survey of around 90,000 workers in 18 countries, asserted that a wide array of organisational practices can influence engagement. Some of the factors which were identified were fairly straightforward. For example, the importance of senior managers taking an interest in staff, staff relationships with their supervisors, and staff satisfaction with development and career opportunities. Towers Perrin’s top 10 drivers also included the way in which the organisation resolved customer concerns, the organisation’s reputation for social responsibility, and the extent to which the organisation encouraged innovative thinking. However, many of the factors which authors claim can influence employee engagement are common to all organisations and have at their centre the crucial rapport between employee and manager. The types of factor commonly cited include:
• • • •
involvement in decision making; the extent to which employees feel able to voice their ideas (and managers listen to these views, and value these contributions); the opportunities employees have to develop their jobs; the extent to which the organisation is concerned for employees’ health and well-being.
If employee engagement is secured, a proliferation of research (examples listed in CIPD factsheet, January 2007) points to wide-ranging benefits, not just in terms of
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performance, but also in the form of pride to work for the organisation, advocacy (that is, speaking highly of the organisation, recommending it as a place to work) (CIPD, 2006), profitability (Heskett, Sasser & Schlesinger, 1997), customer focus (Right Management, 2006), lowered absenteeism (Gallup, 2003) and reduced intention to leave (Robinson, Perryman & Hayday, 2004). Within public-sector organisations, there is also research to suggest that 84% of highly engaged workers believe they can have an impact on the quality of the organisation’s work – nearly three times the number of disengaged workers who say the same (Towers Perrin, 2007). Engagement is said to benefit employees too, of course, by virtue of the fact that they find their work more satisfying (CIPD factsheet, January 2008a).
Employee engagement in a forensic setting So how does the public-sector Prison Service compare against measures of engagement? How well do broadly accepted definitions of engagement explain the people– performance link in a forensic setting? Is there something particular about working in a forensic setting which contributes towards – or mitigates – the link between how employees feel and how they perform? This chapter seeks to explore these issues using the aforementioned case example.
Measuring Employee Engagement in the Prison Service Most large employers in both the private and public sectors now conduct regular employee attitude surveys. As an internal consultant to the Prison Service, the author has been fortunate enough to be involved in the original design of an annual staff survey – an attitudinal census made available to all staff – which has recently morphed into a Ministry of Justice-wide survey covering a multifarious selection of subjects. Some questions address operational matters associated with working in prisons (such as safety and suicide prevention). The survey also explores staff perceptions regarding management and the effectiveness of communication together with a range of human resource related issues such as pay and benefits, opportunities for training and development and work–life balance. The survey also examines perceptions of equality (including experiences of bullying, harassment and discrimination). Its findings serve many purposes both nationally and within establishments. These include:
• • • •
gauging staff and organisational wellbeing; identifying policy, behavioural or environmental areas in need of improvement; tracking any changes in perceptions over time; and benchmarking against other comparator organisations.
While not designed specifically as a measure of employee engagement, the 2007 Prison Service staff survey included questions which could be considered to tap into several of the most commonly quoted drivers of engagement. These produced a mixed
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picture – 72% of respondents were generally positive about cooperation amongst peers, and the same proportion was aware of the business context. The majority (73%) of respondents also felt that their line manager was supportive if they had a problem. However, a few results emerged suggesting staff–management distance: under half of all respondents (46%) felt senior management took an interest in them and their well-being, and only 38% of staff felt they were able to input into decision making about changes affecting their jobs. Additionally, around half of all members of staff (48%) were unable to agree that their line manager motivated them to be more effective. Given the well-accepted centrality of management–employee relations as a driver for engagement, these results, along with low satisfaction ratings on a range of other employee-engagement drivers, represent a mixed portrayal of engagement amongst Prison Service staff. But what, if anything, do the results signal for the performance of the organisation?
The Links between Engagement and Performance If the engagement–performance link cited in the plethora of business management literature holds true in the Prison Service, examining this correlation could provide some clues regarding the impact of staff disengagement on prison performance. Conversely, it could also signal the types of practices, policies and behaviours which organisations could adopt to foster performance improvement. As part of my occupational psychology consultancy to the Service, the author decided to test these hypotheses.
Measures of ‘Hard’ Performance in the Prison Service The main measures of public-sector Prison Service performance are:
• • • •
The performance rating system (a four-level rating system – see below). Prisons cost analysis (prison and prisoner data collated from establishments and centrally, including budgetary information, which is then adjusted to ensure fair comparisons of the cost of running prisons). The weighted scorecard (a weighted assessment of performance in each establishment on a range of key performance targets which in turn are linked with the objectives of the Prison Service). Reports produced by Her Majesty’s Chief Inspectorate of Prisons (see Falshaw, Chapter Ten, this volume) for England and Wales on conditions for, and treatment of, those in prison, young offender institutions and immigration removal centres.
For the purposes of the current study, attention is focused on the performance rating system as it represents an extremely comprehensive, internal, self-assessment of establishment performance. Three of the key performance targets (purposeful activity, time unlocked and staff sickness) are also examined in some detail. In time,
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however, it would be valuable for researchers to expand the analysis to the other ‘hard’ performance indices listed above.
Prison Service Performance Rating System All public-sector prisons are currently rated on a 1–4 performance scale, criteria for which are displayed in Table 9.1. Level 4 is awarded to excellent establishments which are delivering exceptionally high performance, while level 1 indicates a poor performer. The chief operating officer is responsible for making quarterly assessments for public prisons, in consultation with other Prison Service directors and regional managers. The final rating awarded is based on a professional evaluation of:
• • • •
cost performance and output data from the weighted scorecard, showing performance against key performance targets; compliance with Prison Service standards; findings from external inspections by HM Chief Inspector of Prisons and independent monitoring boards; and the views of Prison Service area managers and the Prison Service management board, allowing for assessment of more subjective factors such as decency and the prison’s commitment to delivering change.
Corporate Analysis of the Correlation between Staff Survey Perceptions and Establishment Performance Ratings Several authors have offered rules of thumb for the interpretation of a correlation coefficient. Cohen et al. (2003), for example, have suggested the following interpretations for correlations in psychological research, see Table 9.2.
Table 9.1 Public-sector Prison Service performance-level criteria Level 4
3 2
1
Criteria Exceptionally high performing, consistently meeting or exceeding targets, no significant operating problems, achieving significantly more than similar establishments with similar resources Meeting the majority of targets, experiencing no significant problems in doing so, delivering a reasonable and decent regime Basically stable, secure and providing a limited but decent regime; experiencing significant problems in meeting targets and/or experiencing major operational problems Failing to provide secure, ordered, or decent regimes and/or has significant shortfalls against the majority of key targets
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Table 9.2 Cohen et al.’s (2003) rule of thumb for interpreting correlations Correlation No correlation Small Medium Large
Negative 0.00 −0.29 −0.49 −1.00
to to to to
−0.09 −0.10 −0.30 −0.50
Positive 0.00 0.10 0.30 0.50
to to to to
0.09 0.29 0.49 1.00
Table 9.3 Strongest five statistically significant correlations between establishment performance ratings and Prison Service staff survey perceptions in 2007 (n=24,630) Prison Service staff survey perception The level of control and discipline within this establishment is satisfactory Generally I feel safe in my working environment I am satisfied with the staff support services (occupational health etc.) at my place of work The local drug strategy at this establishment helps reduce re-offending I receive the right information to do my job effectively
Correlation with establishment performance rating .36** .33** .32** .28** .27**
** Correlation is significant at the 0.01 level (2 tailed)
Using this rule of thumb, contrary to expectation, correlations between perceptions measuring employee engagement and establishment performance ratings were small (see Table 9.3). Predominantly, these concerned communication issues focused on an individual member of staff effectively receiving job-related information. The strongest four correlations were heavily operationally focused. This demonstrated the criticality of maintaining a stable and safe operational environment, properly supported and functioning effectively and cooperatively with other parts of the criminal justice system. The pre-eminence of these findings perhaps came as no surprise, given the heavy operational emphasis of the performance rating system, and the increasing importance of the development of effective ‘end-to-end offender management’ (refer to the NOMS Offender Management Model, Home Office, 2006).
Supplementary Evidence – Focus Groups with Prison Service Staff So does this mean that employee engagement is simply not an important driver of performance in the Prison Service? Instead, is it fundamentally operational stability
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which is driving performance? Would staff continue to stay and perform regardless of their dissatisfaction with other engagement indicators? Some indicators can be obtained from turnover figures. During 2007, Prison Service corporate staff turnover was just 8.7% (excluding retirements and casuals), considerably lower than the 13.8% experienced across public-sector organisations (IRS, 2008). Qualitative evidence obtained from focus groups with staff between 2000 and 2007, particularly those with uniformed Prison Service staff, repeatedly revealed that despite real areas of significant dissatisfaction and frustration, there are three key motivating factors underlying retention rates in the Prison Service. Firstly, many staff derive satisfaction from undertaking demanding and socially valuable work with prisoners. Staff who are respected by their peer group often articulate the professional fulfilment which can be achieved from working directly and purposefully with offenders, often aware of their potential impact as exemplars on offenders’ behaviour, and consequently helping to make a positive difference to offenders’ lives. Secondly, staff emphasise that they revere the sense of camaraderie that can be developed while working with their colleagues. Many report that they hold a predominant sense of allegiance to their immediate colleagues, then to their individual establishment and finally to the Prison Service itself. Thirdly, staff appreciate the relative job security they enjoy as public-sector employees, and when asked why they stay, often refer to their civil service pension (state assured). A familiar refrain is that, despite any areas of dissatisfaction, ‘I still love my job’. This too can be reflected in the fact that since 2005 job satisfaction (as measured by the Prison Service staff survey) has remained consistently high (at around 70%).
Sample Analysis In the current context I explored the people–performance paradox in the Prison Service further by examining a broadly representative group of 16 establishments. Using data from this sample, the analysis was extended to cover two of the fundamental, locally driven key performance targets dealing with the way in which prisoners are occupied while in prison – the purposeful activity and time unlocked key performance targets (KPTs). The purposeful activity KPT measures classroom attendance, rehabilitative intervention or work while the time unlocked KPT constitutes other time spent out of cell – largely association time when prisoners can interact with each other and with prison staff. Both contribute directly to decency and safety, and are also obvious outward measures of the organisation’s overall public-service purpose to support offenders to address their offending behaviour and live law-abiding lives. Linkage between absenteeism (as measured by the staff sickness KPT) and survey perceptions were also examined, but were found to be non-significant at the p < 0.05 level. In this cross-section of establishments, only one set of staff survey perceptions emerged as being significantly correlated with overall performance ratings: where performance was high, staff perceptions that their last appraisal (in the Prison Service, this is referred to as the Staff Performance and Development Review, or SPDR)
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Table 9.4 Statistically significant correlations between selected ‘hard’ performance measures and staff survey perceptions among unified staff in 16 establishments in 2007 (n=1,324) Staff survey perception Inappropriate behaviour is effectively challenged by managers in my establishment/ group I feel able to make decisions about my work My line manager is supportive if there is a problem My last SPDR accurately reflected my performance My line manager is open and honest My manager motivates and inspires me to be more effective in my job My senior management team takes an interest in the staff and is approachable
Purposeful activity KPT
Time unlocked KPT
–.71**
–.73**
Overall performance rating
–.60* –.60*
–.61*
–.59*
–.64*
–.59*
–.59*
–.59*
–.59*
–.56*
–.56*
* Correlation is significant at the 0.05 level (2 tailed) ** Correlation is significant at the 0.01 level (2 tailed)
accurately reflected their performance were low (see Table 9.4). This suggests either that staff were dissatisfied with the quality of performance appraisals in higher performing establishments, or that there was a mismatch between staff and manager assessments of staff performance in these establishments. The importance of effective performance management is discussed below. A clear cluster of strong, statistically significant, inverse correlations also emerged, indicating that higher performance on the selected KPT measures was associated with more negative staff perceptions of a range of questions regarding management. These findings suggest that staff in higher performing establishments are significantly more dissatisfied with various aspects of management behaviour, than in lower performing workplaces. While these findings are in direct refutation of the employee engagement literature, they cannot be ignored. Indeed, they raise more questions than they apparently answer:
•
What is the dynamic nature of the relationship between the way in which prisoners are occupied while in prison, and line management behaviour towards staff?
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Is high performance being achieved at the expense of employee engagement and pro-social behaviour between managers and their staff? And if so, how long can performance be sustained under these conditions?
If responses to a staff survey question about stress across this slice of the Prison Service provide any answers, this might well indicate a genuine requirement to address this issue as a matter of urgency (only 28% of staff stated that stress did not have a negative impact on their work and well-being).
Establishment Functional-Level Analysis The author’s consultancy role has also extended to conducting in-depth cultural and stress audits amongst functional-specific staff. Some such audits have arisen from concerns about management behaviour and high staff turnover, compounded by failure to meet functional key performance targets. The methodology for these studies was as follows: 1
2
3
As part of a wider Prison Service strategy on work-related stress risk assessments, members of staff were asked to complete the Health and Safety Executive’s Stress Indicator Tool (www.hse.gov.uk/stress/standards/step2/ index.htm) which measures: – Demands – workload, work patterns, and the work environment. – Control – how much say the person has in the way they do their work. – Support – encouragement, sponsorship and resources provided by the organisation, line management and colleagues. – Relationship – promoting positive working to avoid conflict and dealing with unacceptable behaviour. – Role – whether people understand their role within the organisation and whether the organisation ensures that the person does not have conflicting roles. – Change – how organisational change (large or small) is managed and communicated in the organisation. Members of staff were asked to participate in individual discussions about the prevailing culture. This included seeking their perceptions of the common indicators of employee engagement outlined above. They were also questioned further on questionnaire responses around work-related stressors, their impact and the perceived effectiveness of mechanisms in place to assist with work-related stress. Staff operating similar roles in counterpart establishments underwent the same procedure and acted as benchmarking comparator sites.
These audits have revealed that scores from main sites were more negative than Health and Safety Executive benchmarking figures and comparator site figures on many stressor groups. In particular, scores for the Relationship cluster of questions
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were particularly low (typically within the 20th percentile, i.e. only 20% of scores fall below this point when compared against an industry-wide norm group).
• •
•
Discussions with staff across the audited establishments revealed cultures with a strong emphasis on targets, resulting in high workloads, and an associated concern that this would impact negatively on prisoners. The effect of this workload on staff tended to differ between establishments. At comparator sites, staff spoke of more supportive, cohesive and empathetic working environments, in which senior managers valued their staff. However, at subject sites, staff expressed reluctance to vent frustrations associated with their stress, either by taking breaks/leave, sharing experiences with peers, or raising concerns with senior managers when under pressure for fear that such behaviours would impact negatively on their careers. Factions between staff within and across teams were widespread, and several referred to cultures of wilful and systematic bullying. The psychological impact of such cultures was mentioned during several interviews. When asked why functional targets were not being met, staff commonly referred to the fact that the cultural problems in the functions were preventing staff from applying for jobs, resulting in long-term vacancies, and that existing staff were obliged to cover an extensive array of duties.
Such a scenario is highlighted in a body of stress-related research (e.g. Mansell & Brough, 2005), which indicates that employees who consistently experience high levels of job demands but a low level of perceived control over their jobs are at most risk of developing adverse outcomes such as psychological strain and a decrease in job performance. Other research (e.g. Finn, 2000) indicates that stress in a correctional setting can be decreased by supportiveness between workers. The costs of stress to both individuals and organisations can be immense (Schabracq et al., 2001), leading not only to a loss of motivation, lowered well-being and effectiveness, but also an increased risk of conflicts, lower productivity, higher turnover, damage to the workplace’s image and a rise in costs associated with absenteeism. The case studies above serve to illustrate the ironic consequences of working in an environment where a culture dominated by unrelenting pressure to meet performance targets could be interpreted as beginning to ‘backfire’ on both people and functional performance. This could plausibly result in a vicious circle of individual and organisation disintegration. In contrast, research by Kingston Business School and Ipsos Mori for the CIPD in 2006 suggested that employee engagement has three components:
• • •
Emotional – being very involved. Cognitive – focusing very hard. Physical – being willing to ‘go the extra mile’.
The emotional element of engagement is the enthusiasm, cheerfulness, optimism and calmness that is elicited in individuals who enjoy what they are doing, are
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committed to their work and to doing a good job. The study concluded that these positive emotions have more than twice the impact on performance than negative emotions.
How to Improve Engagement: Harnessing Discretionary Effort Engagement is not about making employees work harder, but about providing the conditions under which they will work more effectively. In other words, fostering employee engagement involves releasing employees’ discretionary behaviour, or the amount of effort individuals choose to exert above the minimum required to retain their job. A simple illustration of the role of discretionary effort in mediating the link between employee engagement and performance is provided in Figure 9.1. According to Yankelovich and Fenichell (1997), discretionary effort relies on a securing a hearts-and-minds relationship with management, which goes well beyond the formal employment contract: Employees hold what might be called a ‘giving/getting contract’ – what I give vs. what I expect to get in return. This unwritten contract is laden with a powerful emotional charge, and if management violates it, employees will react accordingly: if they don’t get, they won’t give. Nor is what they hope to get confined to money. They are also looking for respect, opportunity, dignity, loyalty.
The broken equilibrium between management-induced engagement and performance displayed in Figure 9.2 could be applied to many organisations which have a responsibility towards the welfare of others. However, it does appear to be particularly pertinent to the Prison Service where the focus is often on achievement of shortterm targets, and where the stakes are high (ultimately in terms of the impact on the welfare of prisoners being held by the Service) if mistakes are made. Such an environment could naturally result in staff becoming risk averse. It is easy to imagine then that when things do go wrong, or achievement of set targets is under threat, a
High engagement
Discretionary effort
High performance
Figure 9.1 The role of discretionary effort in mediating between employee engagement and performance
Low engagement
Low discretionary effort
Potential for performance deficits
Stress
Figure 9.2 Simple illustration of the impact of low engagement and stress on discretionary effort and performance
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command and control style becomes the default management approach. While many line managers may have the desire to improve employee engagement, this desire can be quashed by more pressing performance-related objectives. The ‘just do it’ approach, which managers report works (at least in the short term), becomes the normal behaviour. The fact that performance can thrive best with the discretionary effort of people becomes overlooked, and hence the equilibrium is broken. Another factor which could inhibit long-term employee engagement strategies in the Prison Service is the tenure of governors. During 2007, the average length in post in an establishment for a governing governor was 2.4 years. A familiar refrain in the Prison Service is that the governor dictates the culture and ‘feel’ of the establishment and axiomatically, the working environment of an establishment reflects the character and behaviour of the governing governor. This can be particularly evident on the appointment of a new governor to an establishment. A similar phenomenon can be seen to occur in other sectors such as education (head teachers and schools) and defence (commanding officers in the armed services). Therefore, it could be posited that the relatively short time that many governors spend in post in each establishment could result in a ‘churn’ in leadership which in turn could do much to destabilise the extent to which staff feel engaged with the delivery of the establishment business.
How to Bring About Discretionary Effort: The Line Manager The role of the manager and the crucial rapport between management and their staff lies at the heart of employee engagement; it is in the manager’s gift to harness discretionary effort. Therefore there is every incentive for managers to seek to drive up levels of engagement among the workforce to secure organisational performance. This could mean different things for different employees, of course, so supporting staff in identifying their own personal strengths, interests and skills, and creating opportunities for individuals to follow their own drivers are amongst the many skills a manager needs to acquire. However, there is an abundance of research which attempts to summarise common drivers of discretionary effort. In research conducted across 12 organisations over two years by Purcell, Kinnie, and Hutchinson (2003), the authors concluded that the role of the line manager is pivotal in unlocking discretionary effort. The group with the highest employee perceptions across the following five areas was also the highest performing group:
• • • • •
Involvement and communication. Dealing with problems in the workplace and treating employees fairly. The respect employees get from their immediate line manager. The extent to which their line manager provided coaching and guidance. How good employees considered their organisation to be at sharing and exchanging knowledge and experience.
Bartel (2000) concluded that the difference in the discretionary effort and performance of employees was linked to the way in which the manager applied discretion
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when managing employees. In particular it was not only communications between managers and their staff, but also the quality of the performance feedback system between the manager and staff that had significant effects on performance. It seems clear that a manager succeeding in managing performance effectively is also critical to the way staff feel, and while staff clearly want managers who deal with inappropriate or poor performance (as demonstrated by the staff survey returns), the espousal of a ‘robust management’ style as has been commonplace at times in the Prison Service, might well merit from further reconsideration and refinement. This type of performance management, which is often referred to in the Prison Service, implies a zero tolerance approach to poor performance. However, when misapplied as a blanket ‘command and control’ form of management, it can easily lead to a blurring of the dividing line between effective performance management and bullying. What staff expect is simply to see their colleagues treated by managers in a manner which is appropriate and commensurate to their respective levels of performance. What appears to be at the heart of the research quoted above is a mutually respectful approach between managers and staff based on fairness, integrity and consistency. This could also be summarised as an approach based on ‘decency’ – a phrase often used to describe the behaviours staff are expected to exhibit towards prisoners, but rarely referred to in a staff-on-staff context. The rationale behind the decency agenda was and is based on the position that humane, ethical containment and positive regimes would lead to successful resettlement, lower reconviction rates and fewer victims. Many prisoner surveys conducted in establishments (such as the measuring the quality of prisoner life survey devised by Liebling, 2004) with their dimensions of respect, humanity, relations, fairness, etc. show signs of this type of decency agenda. With the advent of similar surveys for staff, there is a real opportunity to measure and assess the extent to which decency amongst staff can affect the quality of working life, and in turn, have a direct impact on prisoner behaviour too. There is also much to be said for applying the pro-social modelling approach (Cherry, 2005) (commonly used between staff and prisoners to improve staff–prisoner relations) between staff groups. This refers to the process by which managers need to engage in empathetic and honest relationships with their staff in order to address individual needs. For a manager to behave pro-socially, Cherry (2005) asserts that they must be conscious of their responsibility as a role model to their staff, ensuring they are consistent, reliable, punctual and so on. In the Prison Service this operates in a context where colleagues in uniform are made well aware of their responsibilities to act as exemplars for offenders. Failure to acknowledge oneself as a role model can of course have important implications for a manager’s staff and the well-being of their workplace. This could be seen clearly in the stress audits referred to above, where staff in the main sites spoke of the transformation shown by newly recruited first line managers on joining the function. They were alleged to have often adopted the traits which were most strongly conveyed by the senior managers, leading to grievances and allegations of bullying by staff in several layers of the management chains. An Investors in People survey in 2005 (IiP Press Release, 30 March 2005) found that only 34% of UK employees see their manager as a role model, with many seeing their supervisor’s failure to involve them when developing new ideas or making decisions as a tangible demotivator.
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For a range of different reasons, it is clear that the vast majority of Prison Service managers are anything but oblivious to their responsibilities towards other staff. There are many Prison Service managers who are truly committed to inspiring and engaging their staff. Indeed, a recent Prison Service study (coined ‘Optimising Potential’) involving psychometric testing of 104 senior operational managers (NOMS internal publication, May 2008), found that the majority have an appreciation of the coaching style of management, recognise the need to tackle individuals who have motivation and performance issues and are willing to offer support. However, the study also showed that leadership strengths lay predominantly around rational, directive, assertive and efficient execution of tasks and an emphasis on quantitative performance rather than the achievement of performance through empowering staff or the use of emotional intelligence; nearly two-fifths of senior operational managers were found to risk being overly task-focused, downplaying or ignoring collective team motivation and performance issues, missing (and therefore failing to address) interpersonal tensions within the team, and were less inclined to consult with their team when decisions needed to be made. As commented above, a fiercely performance-oriented culture such as the one currently prevailing in many public-sector organisations can carry with it the risk of a directive, ‘command and comply’ culture prevailing rather than one of ‘coach and commit’. This can demoralise and dehumanise staff over time, and in turn the very goals that initially triggered the achievement-oriented behaviour can be missed (Spreier, Fontaine & Malloy, 2006). It is vital that managers within such organisations conquer the fine balancing act of skills required to secure consistently high performance from their staff. One way of bringing about a culture change based around the principles of fostering improved employee engagement is to equip line managers with coaching and mentoring skills (Gilley & Boughton, 1996). The key to this type of development is to release potential by developing a greater self-awareness and sense of self-responsibility in the performer, thereby reducing the need for a command and control style, and instead moving to an environment in which leadership can be found at all levels of the organisation. Coaching is undertaken through dialogues between managers and their staff in which the manager/coach supports the individual to find answers to problems. The approach commonly applied to coaching referred to as the GROW model (Alexander & Renshaw, 2005) is one in which the manager/coach employs communication skills to develop goals, help the individual to reflect on the current situation, elucidate options and secure willingness on the part of the employee/ coachee to take action (see Figure 9.3).
Goal setting, including measurable outputs/outcomes Reality checking, including a consideration of the current situation Options, including possible and preferred solutions What is to be done, when, by whom and the will to do it
Figure 9.3 The GROW model
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In articulating some of the ways in which the culture change can be achieved by equipping managers with coaching skills, Zeus & Skiffington (2002) stated that: traditional managers focus on what is wrong, and how and why the problem occurred. The manager/coach emphasizes development and future possibilities … Managers/ coaches develop their team to lead rather than leading them from the top … The manager tells. The manager/coach listens, questions, supports and collaborates (p.40).
Research (e.g. Truss, Soane & Edwards, 2006) also tells us that employees feel more engaged when they believe their manager is committed to them and the organisation. Investing in managers so that they develop commitment and become equipped to develop their staff is also crucial. Often companies invest heavily in programmes for top executives, however, mechanisms need to be in place for other layers of management to acquire not only procedural abilities, but also the ‘soft skills’ involved in fostering a culture based on mutual respect between managers and employees. Aware of this, the Prison Service is investing in a process to encourage the development of a coaching culture.
The Senior Management Team Kirkham (2006) argues that there is a tension between the aims of employee engagement on the one hand and a reluctance to relinquish management control on the other. This is considered a significant challenge for the leadership of today. However, some of the ways in which they can foster an engaged workforce are through:
• •
• • •
An awareness and attention to the fact that the behavioural qualities of the management team are often emulated throughout an organisation. Visibility – this involves not only taking the time to walk around the workplace (a facet of a governor’s role which is well recognised throughout the Prison Service), but also actively taking an interest in individuals in the workforce. In a recent study commissioned by the Prison Service, directors rated their line managers highly, but wanted more personal engagement at senior level, particularly of a less formal nature (Keary Harper LLP, 2007). This, of course, is easier logistically in smaller establishments. Listening and consulting actively and abolishing the ‘just do it’ culture while retaining the decisiveness required for tackling operational emergencies exclusively. Role modelling, in particular those roles demonstrating honesty, transparency and integrity. An awareness of the linkage between employee engagement and performance. This could manifest itself in support given to line managers in their efforts to engage staff.
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Organisational Systems and Processes Organisations need to recognise that engagement is a strategic issue and should work proactively to improve it. While it should be acknowledged that different groups of staff will have different motivations/requirements, and there may even be a minority of staff who do not want to be engaged, careful targeting of interventions will have the most value. However, organisational engagement strategies should include a review of communications at their core, particularly arrangements for listening to employee opinions, involving them in decision making and taking every opportunity to clarify how work contributes to organisational and societal outcomes. Creating an environment around this where people are comfortable challenging and influencing leaders’ thinking is also important. Appropriate selection systems must also be in place to facilitate employee engagement. It is also important to articulate the psychological contract, or mutual expectation between employee and employer, as early as possible on recruitment into the organisation. Promotion and training systems must be appropriate and equitable. Many organisations have been culpable of promoting people because they have been good at their job, and then expecting them to perform well in a different one without adequate training to equip them for their promotion. This can of course have serious consequences for managers and their staff. For instance, Furnham (2007) argues that one of the causes of ‘management derailment’ (which occurs when a leader, who may be perfectly effective and competent under certain conditions, may fail or become dysfunctional when work pressures rise) is the stress of having to let go of working behaviours which used to be effective in more junior roles. Organisations must develop and then promote, rather than vice versa. Purcell et al. (2003) identified further human resource policies and practices which can develop a positive employee attitude. These covered career opportunity, teamworking, effective appraisal systems, fair pay, job security, job challenge/job autonomy and work–life balance. In addition, the authors asserted that the existence of a clear mission, underpinned by values, was strongly linked to employee commitment. In the Prison Service, having such a strong identity woven through the organisation is particularly important when faced with an often hostile and/or interrogatory media. The Prison Service is an extraordinary organisational entity. In the business circumstances it has encountered in the early part of the twenty-first century, the Prison Service has performed astonishingly well. This is undoubtedly in part as a result of strong performance management systems, which enable the measurement and management of its ultimate aims of reducing reoffending and protecting the public. It also reflects the remarkable leadership style and accomplishments of those with many years of service at the very top of the organisation who have introduced and established these systems. The Prison Service’s mission statement has standards and targets supporting it to ensure its aims can be measured and managed and can ultimately be delivered for the benefit of all in society. Furthermore, the accountability for the public purse brings an additional and proper requirement to ensure that eve-
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rything delivered is undertaken with the utmost efficiency. However, as this chapter argues, the current emphasis on operational performance measures needs to be embellished with a visible, measurable acknowledgement of the importance of the people driving the performance. As has been stated within the Prison Service itself many times, its staff are indeed its greatest asset. Without them, the noted high levels of measured performance could not have been sustained. Therefore another possible solution would be to formulate organisational performance metrics based around employee engagement. In this way, the people component of performance would be placed squarely back into the organisational radar, and workplaces would be measured and monitored on the extent to which they paid attention to employee engagement.
The Individual In Personnel Today (2006) it was suggested that willingness to invest discretionary effort, and ‘go the extra mile’, makes an employee more likely to complete work they are proud of, and be appreciated by colleagues and management. The article went on to suggest that this type of enthusiasm, and the associated increase in performance that can result, is likely to increase an employee’s chances of being marked out for promotion or fast-track career development. Therefore, there is much to be said for the individual being proactive about releasing additional discretionary effort for their own benefit. The authors contended that there are various ways in which individuals can achieve this:
• • • •
Make work more meaningful by thinking about how it fits in with the bigger picture, and consider if anything else can be done to increase meaningfulness. An important driver of discretionary effort is whether people can fulfil personal values and goals through work (Catlette & Hadden, 2000). Develop a ‘can-do’ attitude. This will help to overcome obstacles and face challenges. Try to make changes which will make the job more stimulating, ensure continuous development, contribute ideas and keep abreast of the wider organisation outside of the current remit. Ask for personalised and regular feedback, and celebrate success.
As an organisation (in this case the Prison Service) progresses, its staff would be well advised, based on the foregoing arguments, to adopt these strategies and take a proactive interest in their own engagement levels.
Summary Future research could benefit from an examination of causality, and a closer examination of differences in engagement levels based on different groups of staff (e.g. grade,
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length of service). Additional valuable insights might be offered by an assessment of the impact of prisoner perceptions (or more broadly customer/service user perceptions), as a mediator between staff perceptions and performance. However, the analysis and research contained in this chapter has attempted to take a first step towards understanding the link between performance and staff perceptions in the Prison Service. It provides an exemplar of analytic consultancy applied to a forensic setting. In adopting such an approach (first steps), some patterns emerged indicating that in a cross-section of prisons, unified staff in higher performing establishments tend to perceive line management behaviour to be significantly worse than in poorer performing establishments. The sustainability of good operational performance under these conditions must be queried in the example used. This finding, coupled with recent stress audits, suggests that in some workplaces, performance is being pursued at the expense of staff (and, in some cases, organisational) well-being. It will be of interest to monitor the long-term and sustained performance of prisons where there is a poor perception of line management behaviour. Supported by effective organisational systems, management must be appropriately adept at harnessing discretionary effort and bring about a culture in which employee engagement is inherent such that healthy people–performance equilibrium can be reinstated.
Chapter
Ten
Inspecting Secure Institutions Louise Falshaw
This chapter will describe in detail the methodology applied to the inspection of secure institutions using the Prisons Inspectorate and the inspection of prisons, in particular, as a practical example. It should be noted at this stage that, while the Inspectorate was primarily developed for the inspection of prison custody, the Prisons Inspectorate has since widened its scope considerably so that its inspection methodology is now applied to a range of custodial settings. With this extended context in mind the chapter will outline how inspection can provide independent qualitative assessment of the ‘outcomes’ for those in custody (see later for a definition of outcomes). This is achieved through the use of multiple methods of evidence gathering such as focus groups and interviews – an approach that has had recent, but growing influence and sits in contrast to the accepted use of quantitative key performance indicators as a measure of ‘success’ (Willig, 2008) (see Dale, Chapter Nine, this volume). In addition, inspection is not audit and, whilst not ignoring the worth of audit findings, this chapter hopes to make clear how inspection can be used to effect lasting positive change in any custodial setting. The importance of the role of applied psychologists, such as occupational, clinical, health and forensic psychologists, in the inspection of any detention setting, both as contributors to and recipients of the inspection findings will be explained. Inspection is a little known area of employment especially among psychologists, but it has a significant role to play in measuring the ‘temperature’ of any secure institution. As such, applied psychologists have an incredibly influential contribution to make in implementing change to policy and practice through their specialist input to inspection.
Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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Difference between Audit and Inspection Both audit and inspection have an important role to play in improving public services, including custodial services. However, there are growing concerns that these elements of governance can prove unnecessarily burdensome on the inspected bodies. It is therefore worth clarifying the purpose and role of both exercises in providing independent assurance. Audit can be separated into two different types: financial audit and performance audit. Staff in custodial settings are probably most familiar with performance audit and it is this audit approach that will be described here as it is most closely aligned to the inspection function. Performance audit generally describes ‘any form of scrutiny or review of systems, processes or outputs’ (Public Audit Forum, 2002, p.3). This means that auditors assess performance against the inspected body’s own protocols. Ultimately, auditors are responsible for improving the financial and general management of public services and achieve this through challenging poor practice and identifying good practice. So, using prison custody as an example, auditors who are independent of the establishment being audited check for evidence that the Prison Service’s own standards are being followed. The findings from the audit are published and incorporated into the Prison Service’s performance management system. Inspection is described as ‘the process of periodic, targeted scrutiny to provide an independent check, and to report on whether services are meeting … the needs of service users’ (Public Audit Forum, 2002, p.5). In the case of custody, the ‘service user’ is someone who is held in detention. As with audit, inspectors will challenge poor performance and disseminate good practice through recommendations in individual published inspection reports and thematic reviews. However, while inspection will inevitably consider an inspected body’s management systems as part of the process, its main focus is on the ‘outcomes’ for service users, i.e. the direct impact of processes and procedures on the service user. Put simply, audit assesses whether policies and procedures, as they are set out, are being followed, and inspection judges whether the polices and procedures are actually meeting the needs of the service user. Both methods of scrutiny alert the inspected body to what actions are needed to address deficiencies, but neither should direct the inspected body as to how they should respond to audit findings or recommendations.
HM Inspectorate of Prisons HM Inspectorate of Prisons is the main provider of independent inspection of custodial settings in England and Wales, though its knowledge and experience continue to be sought and applied in other jurisdictions. Independence, in this context, refers to the management separation of the Inspectorate and inspected body. While the Inspectorate itself remains a public sector organisation, this important demarcation allows the Inspectorate to report transparently on what it finds direct to the relevant minister, without fear or favour. As such it is able to challenge and influence policy setting by
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the inspected bodies (see Hough, 2007). Despite the name, which defines the origins of the Inspectorate, the organisation has seen its statutory remit and commissioned work increase in recent years. The Inspectorate now applies its expertise to a diversity of custodial settings from immigration removal centres (IRCs) to military detention and police custody. In fact, the adherence of the Inspectorate’s methodology to human rights principles has proved that its approach is easily transferable to other secure settings. The Prisons Inspectorate’s statement of purpose is: to ensure independent inspection of places of detention to report on conditions and treatment, and promote positive outcomes for those detained and the public. (http://www. justice.gov.uk/inspectorates/hmi-prisons/index.htm)
The specific focus of the Prisons Inspectorate on the treatment and conditions of those held in detention sets it apart from the small number of other inspection bodies that inspect custodial facilities, such as Ofsted for secure training centres and secure children’s homes, and the Care Quality Commission for secure hospitals. These inspectorates comment primarily on the inspected body’s adherence to its own operating standards as opposed to the outcomes for the service user. In contrast, the Prisons Inspectorate has always been focused on the human rights of those detained. To this end, the Inspectorate has developed a robust methodology that is underpinned by human rights principles and adopts an outcome-focused approach in relation to detainees. The assessment of qualitative outcomes, i.e. what those in custody are actually experiencing, provides a much richer narrative of how the inspected body is functioning compared to the output-focused approach of routine performance management methodologies that rely on purely quantitative indicators. For example, performance management baselines may suggest that a minimum proportion of detainees should be engaged in purposeful activity, such as learning and skills, but the bold figures cannot differentiate between an establishment that is providing full-time education for that minimum proportion as opposed to another that is only offering an hour’s occupation per week for those same detainees. Inspection methodology provides scrutiny of the data allowing a qualitative judgement to be made based on the evidence sought. In 2005 the government produced a consultation paper entitled ‘Inspection Reform: Establishing an Inspectorate for Justice and Community Safety’. The intention was to merge the five Criminal Justice Inspectorates of police, probation, Crown Prosecution Service, courts administration and prisons into just one inspectorate that would be responsible for the inspection of the whole criminal justice system. The focus of the Prisons Inspectorate on the basic human rights of those in custody set it apart from its four sister organisations – an element which was emphasised by those in opposition to the merger. In particular, key custodial stakeholders were concerned that the human rights focus of inspection, especially for those held in the hidden world of detention, would be diluted by the merger. Nor did the proposals recognise the need for inspection and inspectors to be responsive to the particular culture and structure of the organisation under consideration (see Chapter Two of this volume for a fuller
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explanation of the significance of these elements to the consultancy process). In 2006, due to continued opposition in the House of Lords (see House of Lords debate 10th October 2006 and House of Commons debate, 24th October 2006, www. publications.parliament.uk/pa/ld/ldvol685.htm), the merger was replaced with a duty on each of the Criminal Justice Inspectorates to engage in more joint inspection that would cut across the single CJS agencies. The continued existence of an independent Prisons Inspectorate has ensured its human rights values have not been eroded and the increased joint work has enabled it to extend its influence to other aspects of CJS inspection. In fact, the Prisons Inspectorate remains in a good position, due to its human rights focus, to contribute to the requirements of the Optional Protocol to the UN Convention against torture and other cruel, inhuman or degrading treatment or punishment (OPCAT, December 2003), which came into effect in June 2006. OPCAT mandates the regular independent inspection of places of custody and states: The objective of the present Protocol is to establish a system of regular visits undertaken by independent international and national bodies to places where people are deprived of their liberty, in order to prevent torture and other cruel, inhuman or degrading treatment or punishment (OPCAT Article 1, 2006, p.4).
Legislative Remit While inspection of prison custody has a long history, dating back to the early 1800s, it came under intense criticism in the 1970s for its lack of independence. This criticism reached a climax in the May Report 1979 (Committee of Inquiry in the UK Prison Services, 1979) eventually leading to the creation of a new Prisons Inspectorate established by the Criminal Justice Act 1982. In order to emphasise the Inspectorate’s independence, the Chief Inspector is a Crown appointment as opposed to a civil servant and must not have worked in the inspected service. Despite these elements of independence, the Inspectorate remains funded by the Ministry of Justice and other government departments and answerable to the relevant secretaries of state. The credibility of the Inspectorate has therefore been created and maintained by the public profile and robust and honest reporting by its successive chief inspectors. The Inspectorate’s legislative remit is to report on the treatment of and conditions for prisoners in England and Wales. This means the Inspectorate is responsible for the regular inspection of all functional types of prison establishment including private prisons – a task which continues to grow. This statutory role has expanded substantially in recent years with the introduction of the Asylum and Immigration Act 1999 to include all immigration removal centres across the UK. The Immigration, Asylum and Nationality Act 2006 further extended the remit to include all immigration shortterm holding facilities at air and sea ports and immigration escorts. In addition, the Inspectorate receives routine commissions from the Ministry of Defence to inspect the Military Corrective Training Centre in Colchester and has also inspected the Sovereign
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Base Areas prison in Cyprus. A number of external jurisdictions also regularly commission the Inspectorate to inspect their custodial facilities, such as prisons in Northern Ireland, the Channel Islands and the Isle of Man. The reputation of the Inspectorate is such that in 2005 it was commissioned to inspect two federal women’s prisons in Canada. With the creation of the Police and Justice Act (2006) more emphasis has been placed on joint inspection across the criminal justice system. This has seen the Inspectorate extend its expertise into yet more places of custody through the inspection of court cells and court escorts with HM Inspectorate of Courts Administration and police cells with HM Inspectorate of Constabulary. Further joint work includes the inspection of offender management arrangements in prison custody which is conducted jointly with HM Inspectorate of Probation.
Staff Structure Such an extensive set of statutory and commissioned inspection requirements has demanded the recruitment of a specialist workforce that reflects the diversity of the bodies inspected as well as their service users. The Inspectorate currently employs around 50 staff. Just under two-thirds of these are inspectors. Some inspectors are permanent employees, some employed through secondment arrangements with their employing body and others are fee-paid consultants. Around 50% of prison inspectors are deliberately drawn from the inspected body to ensure familiarity with the custodial environment and the service’s policies and practices. These inspectors tend to be taken on secondment arrangements to guarantee their experience is current and still relevant on their return. The other half are drawn from specialist psychology, medical, legal, probation, social and youth justice work, drug treatment and diversity policy backgrounds. Inspections are carried out by six core inspection teams each specialising in the inspection of a specific type of custody to increase consistency and to build policy expertise. Specialist teams currently cover the inspection of women’s, young adult, and children and young people prisons, immigration detention, and police custody. Whilst one inspection team specialises in the inspection of adult male establishments, prisoner numbers dictate that all teams must inspect these types of establishments. Each inspection is also supported by health and substance use specialists. The remaining staff are composed of the administration team, the editorial team and the research and development team, which provides direct support to inspections. In addition, to avoid inspection burden and to make best use of others’ expertise, inspections are conducted jointly with Ofsted, the Royal Pharmaceutical Society of Great Britain, the Dental Practice Division of the NHS Business Services Agency, the Care Quality Commission and territorial equivalents, such as Estyn (Wales), Healthcare Inspectorate Wales, Employment and Training Inspectorate (Northern Ireland) and HM Inspectorate of Education (Scotland). This collaborative approach enhances the validity and quality of custodial inspection. To illustrate this, the Inspectorate’s 2008–2009 business plan identified 94% of its work as joint enterprise.
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Programme of Inspection In line with the government’s Office for Public Sector Reform’s (OPSR, 2003) principles for public service inspection, the Inspectorate now uses risk assessment to determine the timing, nature and scale of prison inspection in order to target ever tighter inspection resources where they are most needed. However, there are intrinsic difficulties in a pure risk assessment approach as it encourages near constant audit and inspection of higher risk establishments, while the lower risk could in effect receive ‘holidays’ from inspection. The Inspectorate considers such holidays inappropriate in the risk-laden context of closed institutions. The Inspectorate has therefore achieved a balance by retaining a chronological timetable for full inspections, to ensure regular scrutiny, but using risk assessment, primarily to determine the type and timing of follow-up inspections. The chronology of full inspections translates to an inspection of adult and young adult prisons every five years and of establishments for children and young people and immigration removal centres every three years. The inspection of short-term holding facilities, police custody and offender management provision in prisons all operate on different cycles. Follow-up inspections are conducted in the interim in order to assess progress against recommendations. Full inspections are usually announced and follow-ups unannounced, though intelligence from external sources such as lawyers, the Prison and Probation Ombudsman, the Independent Monitoring Board (or their equivalent in other custodial contexts), those held in detention and their family and friends, to name but a few, may suggest otherwise.
Full inspections A full inspection requires maximum resources. It is preceded by a full detainee survey, involves a team leader and four core inspectors (at minimum), plus specialists and partner inspectorates. It lasts a week. Occasionally, on the basis of risk assessment, the chief inspector may require a full inspection to be unannounced. In this case, a full detainee survey will be conducted the week before the inspection.
Unannounced follow-up inspections Unannounced follow-up inspections are resourced on the basis of risk assessment and additional intelligence. Establishments deemed high risk will be revisited for a full follow-up within 12 to 36 months of a full inspection (based on a five-year cycle) to assess progress against previous recommendations, but also to place particular emphasis on areas of concern. They will include a full team of inspectors and researchers. Fresh ‘healthy establishment’ assessments will be made and an inspection report published with a full ‘healthy establishment’ summary (see later in this chapter). Lower risk establishments will be revisited for a short follow-up 24 to 36 months after their last full inspection (based on a five-year cycle). A smaller team of inspectors will ostensibly focus on progress made against previous recommendations. A brief
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‘healthy establishment’ summary is included in the published report which confirms or amends the previous ‘healthy establishment’ assessments, where evidence supports it. There has been much debate about the necessity of unannounced inspections and the maintenance of a chronological programme. However, both are necessary methods for reassuring the public and other key stakeholders through honest reporting of the reality of what goes on in the hidden world of closed custodial conditions. To this end, the 2008–2009 inspection programme, as an example, timetabled the inspection of over 80 places of custody in one 12-month period, approximately half of which were announced and half unannounced.
Inspection Methodology In order to fulfil its remit, the Inspectorate has developed its own inspection criteria that are rooted in human rights principles. Through the application of these criteria, or Expectations (HM Inspectorate of Prisons, 2006, 2007, 2009), the Inspectorate’s aim is to assess the actual outcomes for those held in custody, not just those achieved by the application of policies and procedures: that is a role for audit rather than inspection. In general, Expectations (HM Inspectorate of Prisons, 2006, 2007, 2009) support the outcomes sought by the inspected body, such as the Prison Service or the UK Border Agency, but as an independent inspectorate concerned with the inspection of actual outcomes for those in custody, inspection criteria will inevitably stretch beyond the inspected body’s own standards in specific areas. The Inspectorate has created a set of Expectations (HM Inspectorate of Prisons, 2006, 2007, 2009) for each significant area of inspection. The three main versions cover:
• • •
Adult and young adult prisoners (HM Inspectorate of Prisons, 2006) – this version of Expectations is applied to the larger part of prison inspection. The document is generic to both male and female prisoner populations. Specifics for women have been added where they diverge from that expected for men. Children and young people (HM Inspectorate of Prisons, 2009) – these inspection criteria are applied to the inspection of all establishments holding under 18s. The approach reflects the fact that these are children who are in custody. Again, the document encompasses the expectations for both boys and girls in custodial conditions. Immigration detention (HM Inspectorate of Prisons, 2007) – this version of Expectations guides the inspection of immigration removal centres as well as the inspection of immigration escorts and both residential and non-residential short-term holding facilities.
All Expectations (HM Inspectorate of Prisons, 2006, 2007, 2009) documents are updated fully every two to three years to reflect changes in policy and practice and to incorporate the recommendations from thematic reviews as well as learning from inspection. The complete adult Expectations document was redrafted for publication
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in 2006, the immigration Expectations redraft was published in 2007 and the Expectations for children and young people redraft was published in 2009. All documents are in loose-leaf format. This makes the documents easier to use during inspections, but also supports a rolling redraft of individual subject areas to maintain applicability. It is of particular note that the inspection criteria created by the Prisons Inspectorate have proved easily transferable to other custodial settings as the work of the unit has increased. Criteria that are grounded in human rights principles and focused on outcomes for detainees translate well to any custodial setting. This approach has therefore been applied to the development of dedicated inspection criteria for the inspection of police custody, produced jointly with HM Inspectorate of Constabulary, for offender management inspection with HM Inspectorate of Probation and for court custody and escorts with HM Inspectorate of Court Administration. In order for judgements to be made against the inspection criteria a number of key inspection tools are deployed:
•
•
•
Confidential detainee surveys – A survey is conducted of a random and representative sample of detainees in advance of each full inspection. The survey is a key element of inspection methodology, the results from which are then triangulated (see later for description) with other sources of inspection evidence. Each establishment’s survey results are compared with the collective responses from inspection survey respondents from similar types of establishments. Statistically significant differences are highlighted to indicate to inspectors potential areas of good practice or concern. The survey also enables analysis of the differential perceptions and experiences of different groups of respondents such as, in the case of prison inspection, black and minority ethnic prisoners compared to white prisoners or foreign national prisoners compared to British nationals. The surveys also allow variation in the views of residents held in different locations in large establishments to be investigated. Focus groups – Focus groups with detainees are conducted on the first day of the inspection. The number and nature of the groups held is defined by the results of the detainee survey; the number of subgroups within the population, e.g. in the inspection of immigration detention groups are defined by the language they speak so that translators can be best deployed; the risk areas described in the previous inspection report; and any intelligence gathered since the last inspection. In addition, ad hoc groups might be held during the inspection week if the evidence collected suggests a need. Interviews – During the course of the inspection, interviews are held with members of staff, detainees and relevant third parties such as members of the Independent Monitoring Board (in the case of prisons and IRCs), representatives from voluntary agencies working in the establishment, and visitors. Interviews will be arranged formally but will also be held on an ad hoc basis during inspectors’ visits to different areas of the institution. Dialogues focus on what really happens in the establishment, what staff experiences are and what the experiences are of those held in custody. Visitors, among others, are often a good proxy for detainee views.
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Documentary analysis – Documentary records can also be a useful source of evidence for inspectors, such as observation books and care plans, as can documentary evidence that lends itself to numeric analysis such as complaints and use of force. Observation – Inspectors will visit different areas of the establishment at different times of the day to observe practice. This is a good way, for instance, of assessing the quality of staff–detainee relationships.
The Expectations documents outline examples of which inspection tools might be deployed in order to make a judgement about an individual expectation, but the list is not exhaustive. Expectations (HM Inspectorate of Prisons, 2006, 2007, 2009) provide a guide for inspection, but inspectors are expected to apply a systematic approach that enables them to follow evidence where it points them. Inspection findings and judgements, where possible, are based on the triangulation of evidence using multiple inspection tools. The term triangulation is defined differently depending on the context in which it is applied (the term originates from trigonometry), but in the social sciences it describes the use of more than one method of evidence gathering in order to corroborate the findings. In essence inspectors can be more confident in their findings if different methods of evidence gathering produce the same results. For instance, if two out of three methods of answering the same question yield the same result, then an inspector can be relatively confident in the accuracy of the answer, if three different answers are received then further investigation must take place. Where possible, a balance of both qualitative and quantitative evidence gathering is used. This multiple methodology approach serves to increase the credibility of inspectors’ qualitative judgements. For example, the detainee survey may suggest a dislike of the food. This would then be triangulated using a variety of alternative sources of evidence, such as:
• • • • •
extracts from the food comments book over the last six months; comments from randomly selected detainee groups; an inspector tasting the food at different mealtimes on different locations, on different days; observing the preparation and distribution of food; talking to staff and managers.
A strong evidence base allows inspectors to test the validity of what they have found and to assess whether it has an impact on the wider population as opposed to being an isolated experience. As such, inspectors must do the following:
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Constantly test their own assertions and be open to new evidence and what it may reveal. Not ignore contradictory evidence, but investigate further. Gather sufficient relevant evidence before making a judgement. Not be persuaded by what appears to be one influential piece of evidence. Question whether their evidence will stand scrutiny. Probe more deeply where there are concerns.
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Share findings with other inspectors who may have further key evidence which is relevant to different areas of inspection. The Expectations (HM Inspectorate of Prisons, 2006, 2007, 2009) documents indicate where crossreferencing with other inspectors is necessary.
Throughout the inspection, inspectors are encouraged to feed back their initial findings to the relevant managers to encourage discourse. This also helps to inform senior responsible managers of the main findings that will be fed back to the senior management team at the formal debrief at the end of the inspection.
The Test of a Healthy Establishment The concept of a prison’s health was first introduced by the World Health Organization (World Health Organization Regional Office for Europe, 1995), but was subsequently developed into four tests of a healthy prison by the Prisons Inspectorate (1999). It is now widely accepted as a definition of what ought to be provided in any custodial environment. The four tests of a healthy establishment are:
• • • •
Safety: detainees, even the most vulnerable are held safely. Respect: detainees are treated with respect for their human dignity. Purposeful activity: detainees are able, and expected, to engage in activity that is likely to benefit them. Resettlement: detainees are prepared for release into the community (and helped to reduce the likelihood of reoffending).1
While inspectors are allocated subject areas for ease of inspection, as listed in the Expectations documents (HM Inspectorate of Prisons, 2006, 2007, 2009), overall evidence-based judgements are made against the four tests of a healthy establishment. This judgement is made by the full inspection team and the provisional assessments fed back to the senior management team at the end of the inspection. Some subject areas feed into more than one healthy establishment test, such as health services, and will be considered in more than one area where necessary, but each topic is allocated to a specific test as shown in Table 10.1 (as applied to prison inspections). A judgement is made on an interval scale of one to four on each of the healthy establishment tests. Definitions for the numerics for prison inspections are as shown in Table 10.2. To ensure consistency of approach these definitions are also applied to the inspection of other places of custody, such IRCs. In this case ‘prison’ is replaced by ‘the centre’ and ‘prisoners’ replaced by ‘detainees’. The introduction of healthy establishment assessments in 2004 has enabled the inspection teams to condense huge quantities of evidence into clear, consistent judgements that stakeholders can understand and which help managers pursue performance improvement.
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Table 10.1 Subject areas encompassed within the four healthy prison areas Healthy prison area Safety
Respect
Purposeful activity
Resettlement
Subject area • Courts, escorts and transfers • First days in custody • Safer custody including self-harm and suicide, bullying and violence reduction, and child protection where applicable • Security and rules, and discipline • Clinical management of substance use and mandatory drug testing (MDT) • Protection of vulnerable prisoners • Residential units • Staff–prisoner relationships (including personal officers) • Race equality • Foreign nationals • Diversity • Applications and complaints, and legal rights • Faith and religious activity • Health services • Incentives and earned privileges • Catering • Shop • Mothers and babies, if applicable • Learning and skills and work activities • Physical education and health promotion • Time out of cell • Contact with the outside world • Strategic management of resettlement • Offender management and planning • Resettlement pathways
Provisional healthy establishment assessments are not only shared with the senior management team at the end of the inspection but also, once finalised, are included in the published inspection report and, in the case of the Prison Service, are incorporated in their own performance management system. Transparency is further promoted through the publication of healthy establishment assessments in the chief inspector’s annual report. Internally, these assessments feed into the risk assessment process employed during inspection planning. Risk is judged using an intelligence system, underpinned by healthy prison assessments. However, as substantial periods of time may exist between inspections during which significant changes can occur, the Inspectorate maintains up-to-date intelligence files for each establishment which inform inspection planning decisions. Information from a wide range of sources is used to feed into this intelligence-gathering process.
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Table 10.2 Definitions of healthy prison assessments Numeric 4
3
2
1
Definition Outcomes for prisoners are good against this healthy prison test. There is no evidence that outcomes for prisoners are being adversely affected in any significant areas. Outcomes for prisoners are reasonably good against this healthy prison test. There is evidence of adverse outcomes for prisoners in only a small number of areas. For the majority there are no significant concerns. Procedures to safeguard outcomes are in place. Outcomes for prisoners are not sufficiently good against this healthy prison test. There is evidence that outcomes for prisoners are being adversely affected in many areas or particularly in those areas of greatest importance to the well being of prisoners. Problems/concerns, if left unattended, are likely to become areas of serious concern. Outcomes for prisoners are poor against this healthy prison test. There is evidence that the outcomes for prisoners are seriously affected by current practice. There is a failure to ensure even adequate treatment of and/or conditions for prisoners. Immediate remedial action is required.
Transparency An essential aspect of the Inspectorate’s purpose is to give public assurance about the conditions for and the treatment of those in custody. As a result, all reports, both inspection and thematic, are published. A timely publication timetable has been agreed with each of the agencies inspected. This generally ensures publication within four months of an inspection which maintains the report’s relevance and prevents the inappropriate obstruction or delay of difficult reports, which historically was common practice. Inspectorate reports are often accompanied by good media coverage. Inspection reports take a standard format. The main aspects, in addition to the detailed body of the report, include the chief or deputy chief ’s introduction, the healthy establishment summary, and recommendations and good practice. The healthy establishment summary is particularly important as it outlines the main findings as set out in the body of the report but under the four healthy establishment areas. Each healthy establishment area is headed by its own summary which concludes with the healthy establishment assessment for that area. There are three levels of recommendations that are presented in priority order.
Main recommendations Main recommendations appear at the end of the healthy establishment summary. These indicate the key areas of change required for the establishment to improve its
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‘health’. Examples of main recommendations include (taken from the report of an unannounced full follow-up inspection of HMP&YOI Holloway, March 2008): • All staff should be trained in the new violence reduction strategy, feel confident to challenge inappropriate behaviour and ensure that allegations of bullying are properly dealt with. • Assessment, care in custody and teamwork (ACCT) procedures should improve to reflect effective case management, with records that clearly indicate what resources have been considered and agreed to support women at risk.
Recommendations All recommendations are listed at the end of the relevant section. The definition of a recommendation is that it is:
• • •
something fundamental to the healthy establishment tests; or something that will require a significant change in culture or to procedures, or that will need new or redirected resources, and will therefore not be achievable immediately by the senior management team; or something of sufficient importance that the Inspectorate will seek evidence of its implementation on a return unannounced visit.
Recommendations are ascribed to the relevant recipient from ministers through to the governor/director. Examples of recommendations include (taken from the report of a full announced inspection of HMP Swaleside, April 2008): To the Governor • Visits should start on time and last for the published duration. • Family visits should be available to all prisoners, not just those on enhanced status.
Housekeeping points All housekeeping points are again listed at the end of the relevant section following the recommendations. The definition of a housekeeping point is:
• •
something that does not fundamentally undermine any of the healthy establishment tests (particularly safety and respect); and something that should be able to be resolved by competent managers in-house within a matter of days or, at most, weeks, by issuing instructions or changing routines.
Examples of housekeeping points include (taken from the report of a full follow-up inspection of HMP&YOI Holloway, March 2008)
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• Room cards should record the full names of occupants. • All prisoners should be told about the availability of free children’s letters.
Good Practice Examples of good practice are listed at the end of the relevant section following any recommendations. Good practice is defined as:
•
an example of impressive practice found during the course of an inspection that not only meets or exceeds our expectations but could also assist other establishments of the same type to achieve positive outcomes.
Examples of good practice include (taken from the report of a full announced inspection of HMP Swaleside, April 2008): • There was effective use of trained and well-supported prisoner Insiders to help new arrivals. • New arrivals were given a useful calendar that included contact details for the Samaritans and Listeners. • The counselling service provided strong support to prisoners, releasing trained nurses to concentrate on those prisoners who required more intensive support.
For further, up-to-date examples visit the Inspectorate website at http://www. justice.gov.uk/inspectorates/hmi-prisons/index.htm. In line with agreed protocols, the inspected body produces an initial action plan in response to all recommendations three months after publication of the report. The action plan includes the following responses to the recommendations:
• • •
accepted/existing practice; partially accepted/ accepted in principle; rejected.
Inspection team leaders will check and challenge the content of the initial action plan where necessary. An updated action plan is produced 12 months after the publication date, describing the progress made against the recommendations. These are again checked by the team leader and used as part of the intelligence base to inform subsequent inspections.
Evaluation In recent years the Inspectorate has developed several means of securing feedback from external stakeholders. This feedback is sought to identify where things are working well and where there is a need to improve practice. Two methods of securing this feedback include exit surveys and the stakeholder survey.
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•
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Exit surveys – The purpose of the exit survey is to obtain feedback from establishments on inspection methodology from pre-inspection preparation through to the formal debrief at the end of the inspection. Exit surveys are distributed to the governor, the liaison officer and the head of learning and skills on the final day of all inspection visits. The head of learning and skills is specifically included to provide feedback to the accompanying Ofsted inspectors. Responses are requested within a week of inspection and all non-responses are followed up. Feedback relating to individual inspection is used for performance management purposes. Responses received over a 12-month period are also collated and analysed in order to inform the business planning process. Stakeholder survey – The stakeholder survey was developed as a method of gaining feedback from stakeholders on the content and format of published reports. The survey is conducted on an annual basis and is sent to all those who have received an inspection report during the previous 12 months.
Longitudinal comparisons are carried out using the results of both surveys to show where the Inspectorate has shown improvement over the year and to highlight where improvements still need to be made. Areas for improvement are translated into a communication strategy for the following year which is reviewed after six months and progress against the individual elements measured through a repeated annual survey/analysis. Feedback from stakeholders has a high credibility value and has so far driven change in, for example, the format of inspection reports and how good practice examples are recorded. A copy of the communications strategy is available through the Inspectorate’s website as a part of the business plan (http://www.justice. gov.uk/inspectorates/hmi-prisons/business-plan.htm).
Impact Richard Harding, the former Inspector of Custodial Services in Western Australia, comments in his Prison Service Journal article (2006) on the tokenistic attempt some managers make to present a good impression of their establishment in advance of inspection. This does happen, but is commonly a fruitless attempt to disguise below standard or less than acceptable practice. All inspection criteria are transparent. They are shared with the inspected bodies including governors/ directors and are accessible on the Inspectorate’s website. Even a cursory glance at this guide for inspection would suggest a speedy discovery of the reality of an establishment, particularly through conversations with prisoners and an investigation of records spanning back 6–12 months. However, preparation for inspection isn’t necessarily a bad thing. Using the cycle of change model (Prochaska & DiClemente, 1983) the prospect of an inspection might motivate senior managers to review their performance (contemplation) and initiate meaningful change (action) which will hopefully be maintained both during and after an inspection. This is not the kind of impact, though, that ultimately stands in support of the existence of inspectorates. The worth of an inspectorate is measured by the number and nature of its recommendations that are accepted, worked towards and achieved.
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This sounds simple enough but it’s worth noting that the recommendations the Inspectorate makes are not mandatory. It is therefore an integral part of inspection to motivate the inspected body to achieve the recommendations made. This is promoted through the relationship that exists with the inspected body, engagement with relevant key stakeholders and the way inspection is judged. In fact, Chapter Two (Ireland, this volume) emphasises the importance of relationship building in the consultancy process. In the context of inspection, this is difficult to achieve especially when too close a relationship can be damaging to the independence of the process. Ultimately, therefore, the relationship is promoted through the credibility of the inspection process and the professionalism of the inspection team, including their knowledge of the external context within which the inspected body operates and their consideration of its organisational culture. However, in order to effect long-term change, inspection can be used to reveal to responsible individuals the reality of inaction (Kim & Mauborgne, 2003). At the very least, inaction would cause public embarrassment but at the extreme end may involve the loss of life and the impact that has on all involved. Ultimately, inspection should be seen as a consultancy tool that enables senior managers to effect lasting positive change. Professor Harding outlines what he sees as the key elements of success of the Prisons Inspectorate for England and Wales in effecting that change.
• • • • • • • • • •
The clarity of the healthy prison tests. The focus on decency, or as defined by the Inspectorate, safety and respect. The development of the Expectations (HM Inspectorate of Prisons, 2006, 2007, 2009) documents which set out transparent inspection criteria. The refusal to inspect against the service’s own standards. The use of unannounced inspections. Inspection methodology and evidence-gathering tools including preinspection surveys. Standard report formats and their obvious link to Expectations (HM Inspectorate of Prisons, 2006, 2007, 2009). Timeliness of publication of inspection findings. Methodology to assess implementation of recommendations. Alignment with the 10 principles of inspection (OPSR, 2003).
Thematic reviews are also noted as an instigator of change, especially policy change. For example, the follow-up to the Older Prisoners Thematic Review (HM Inspectorate of Prisons, 2008), while recognising there was still some way to go to improve services for older people in prison, described a couple of notable examples of good practice that had been instigated by the publication of the original report, namely the production of a staff training and resource handbook on older prisoners by NACRO and Age Concern, and the development of an older prisoners toolkit funded by Offender Health. Thematic reviews have a particular role to play in providing an overview across the custodial estate in an effort to standardise good practice. This is particularly pertinent in the current context of regional rather than national direction meaning an offender’s experience can differ markedly depending on which area of the country he or she is located.
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The chief inspector’s annual report 2006–2007 details the impact of the Prisons Inspectorate for England and Wales during this period. Ninety-seven percent of prison recommendations were accepted wholly or in part and 95% in immigration detention. At the point of follow-up 67% of prison recommendations had been achieved and 66% of immigration detention recommendations. These figures suggest that the Inspectorate is, in fact, making a difference.
A Role for Applied Psychologists in a Forensic Setting The earlier part of this chapter describes the inspection process in detail. The next section will explain how applied psychologists can employ their skills and competencies to the improvement and application of this methodology as employees of the Inspectorate as well outlining their vital role in preparing an institution for inspection and effecting positive change as members of the inspected body.
Inspectors The occupational standards that are demonstrated by applied psychologists provide the basic competencies for an effective inspector.
Ethics Develop, implement and maintain personal and professional standards and ethical practice in line with the British Psychological Society’s (BPS) Code of Ethics and Conduct (BPS, 2006) and any legal framework and other regulatory requirements relevant to the context within which the psychologist works.
All members of the Inspectorate are expected to act as ambassadors for the chief inspector. Professional standards must therefore be maintained in order to preserve the credibility and reputation of the Inspectorate as well as that of the profession. In addition, material sourced during inspection is of a personal nature and must be treated as such. What an inspector says or does during an inspection can have a lasting effect on individuals in that establishment long after the team has departed. Inspectors must therefore protect the interests of staff and prisoners during the inspection process and must make judgements about how to proceed when the interests of one is in conflict with the other. The four ethical principles (BPS, 2006) of respect, responsibility, competence and integrity underpin the work of the Inspectorate.
Practice Apply psychological and related methods, concept, models, theories and knowledge derived from reproducible research findings.
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Applied psychologists with experience working in the inspected agency have a comprehensive understanding of the psychological interventions and applications employed by that organisation. This adds a powerful dimension to an inspectorial role as that expertise can be deployed to the inspection of those specific areas. Psychologists are also familiar with making evidence-based (i.e. effectively triangulated) assessments, judging whether sources of evidence are sound, and seeking information using multiple methods in a systematic manner.
Research and evaluation Research and develop new and existing psychological methods, concepts, models, theories and instruments in psychology.
Research methodology is applied by the research and development team in order to provide robust sources of inspection evidence. Inspectors need to understand the methodologies used as well as be able to interpret the findings. In some cases, inspectors will be expected to utilise some of these methodologies themselves, such as the facilitation of focus groups (as an example of grounded theory). The skills of applied psychologists can be used to develop, as well as apply these techniques.
Communication Communicate psychological knowledge, principles, methods, needs and policy requirements.
Clear, concise and evidence-based communication during inspection is imperative, both during feedback sessions with other members of the inspection team and when debriefing senior managers. Individual inspectors also have a role in keeping abreast of changes in policy areas for which they are responsible which can be used to inform the development of inspection methodology.
Training Develop and train the application of psychological skills, knowledge practices and procedures.
All members in the Inspectorate have a role to play in cascading their learning to other members of the organisation.
Management Manage the provision of psychological systems, services and resources.
There is an expectation that inspectors will have management experience from their previous work posts. The inspector role is a demanding one which requires multiple skills and a robust approach. Management experience not only enhances inspection
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if it relates directly to an area of scrutiny but is also used, in part, as a proxy for the ability to deal appropriately with difficult situations.
Thematic reviews Large-scale thematic reviews are carried out by a team of Inspectorate staff including core inspectors, specialists and researchers. Inspectors routinely adopt a leading role in such projects depending on their knowledge base, areas of interest, experience of methodology development and application and project management skills. This opportunity has recently expanded to include joint work with other inspectorates on routine inspections as well as discrete thematic projects.
Research and development The Inspectorate employs a team of research specialists. While research competency is paramount to the role, the professional backgrounds of the team members can vary to include sociology, criminology and psychology, enhancing the contribution of the team to the inspection context. The research team is responsible for advising on, developing and applying research methodology in support of inspection and for influencing the wider inspection methodology. To this end the research team is responsible for:
• • • • • • • • • • •
detainee surveys and interviews; focus group methodology; documentary analysis; developing and applying methodology for the inspection of new custodial contexts; leading short thematic reviews and contributing to full thematic reviews; contributing to the chief inspector’s annual report; updating Expectations (HM Inspectorate of Prisons, 2006, 2007, 2009); exit surveys; stakeholder surveys; internal staff surveys; maintaining a database of recommendations and good practice for future reference.
As employees of the inspected body Inspection can often be met with some trepidation by recipients. Applied psychologists employed by the inspected body can therefore play a significant role in preparing the establishment for inspection. In-house psychologists are often responsible for the collation of performance data which can be used as management information, such as detainee surveys on issues such as bullying as well as the quality assurance of policies
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and procedures. Psychologists also have a role in interpreting the results generated by, for example, the Prison Service’s own Measuring the Quality of Prison Life (MQPL) survey (Liebling & Arnold, 2002) and helping senior management respond to the findings. Once an inspection is over, psychologists can encourage positive change by helping to meet recommendations and promoting good practice. Preparation for an inspection should be a continual process rather than one that begins once notification of an inspection is received. By their very nature, custodial institutions can quickly deteriorate, failing to deliver even the fundamental elements of decency and humanity. With a growing focus on public protection and increased efforts to identify effective ways to reduce reoffending, it could, however, be argued that adherence to human rights principles is now of critical importance. It is only through these conditions that detainees will have a chance of achieving a better life and reducing their risk as described by the Good Lives Model (Ward & Maruna, 2007), both during and following custody. This is an issue for applied psychologists who work within the inspected agencies (see Ward & Birgden, 2007) as well as those employed by the Inspectorate. Both have a role in protecting and promoting the moral rights of those held in custody, particularly when policy makers are anxious not to be seen to be soft on crime. In fact, the role of an independent scrutineer that focuses on maintaining basic human rights is arguably now more important than ever.
NOTE 1
If applicable to the type of custody being inspected.
Chapter
Eleven
Effective Training in Action: From Contracting to Evaluation Eliza Morgan, David Vickers and Alice Moore
The central aim of this chapter is to provide an introduction to how the contracting, identification, design, delivery and evaluation of training interventions may be operationalised and applied to a forensic setting. It is particularly written for chartered psychologists and applied psychologists by business academics and practitioners within the field of training and development. Chapter Three (Vickers, Morgan & Moore, this volume), through discussions of the value that training may add to organisations, perspectives on learning and the application of this theory to the training setting, provides the theoretical context for the discussion of the practicalities of providing training interventions in this chapter. As will become evident throughout, the role of a consultant engaged in providing a training intervention within a forensic setting is very specific. It does not easily fit within the roles of the consultant as defined by Kakabadse, Louchart and Kakabadse (2006), though it is possible that the provision of a training intervention may be part of a wider project or change process. The chapter focuses on the five key stages that a consultant should consider when providing training interventions in a forensic setting: contracting, identifying, designing, delivering and evaluating. The chapter begins by identifying the importance of the contracting stage, it then moves to explore the key elements of a training needs analysis in relation to the organisation, the job and the individual. This includes how to conduct an organisational training needs analysis, an analysis of job training requirements and performance assessment and, lastly, how to analyse individual training needs. The chapter then provides guidance on the design and delivery
Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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of training interventions and analysis of the outcomes. Each of these stages of the training cycle are then considered through a case study of the analysis of training needs, design, delivery and evaluation of training within a forensic setting.
The Training Cycle As mentioned in Chapter Three, Figure 11.1 is a variation of what is commonly referred to as the ‘training cycle’, which is represented under different guises by authors such as Bee and Bee (2003) and Harrison (2005). Despite the variations of the model an emphasis remains upon a staged approach to training interventions that can provide a consultant engaged in a forensic setting with a clear process to follow.
Contracting If the contracting stage is undertaken with a new client it is likely to be at an early stage in the client–consultant relationship, and hence is key to establishing an effective working relationship. Kakabadse et al. (2006) emphasise the importance of developing a sound client–consultant relationship, arguing that a client’s willingness to share data is dependent on establishing trust between client and consultant. The availability of data will have a significant impact on the identification stage and therefore the importance of the contracting stage should not be underestimated. As part of establishing the relationship, the contracting stage should be used to identify the role of the consultant and that of the client in relation to the training intervention. Ideally the client will specify what is required in broad terms and this helps to ensure their commitment to the training. Part of this commitment should include the terms of engagement such as the timescale of the training, the resources that will be made available to the consultant, the terms of remuneration and the financial investment that the client organisation will make in the training (including the cost of the delivery
Contracting
Evaluating
Delivering
Figure 11.1 The training cycle
Identifying
Designing
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location, appropriate equipment such as computer facilities and the cost of releasing staff to attend training). If the client experiences difficulty in establishing these parameters the consultant may be required to create an appropriate framework. During the contracting stage it is valuable to agree the key stages of an action plan and the process for the review and evaluation of the training intervention. As the consultant engages with the subsequent stages of the training cycle the contracting stage may have to be revisited. It is likely that a range of issues may need to be raised with the client as more information becomes available to the consultant, for example through the identification stage. Contractual outputs and processes may also need to be refined, for example, if an agreement has been made regarding the number of delegates who must complete the training within a timeframe, this may need to be altered if operational commitments result in low attendance rates.
Identifying There are three main levels at which identification of training needs may occur: the organisational, occupational and individual level (Hackett, 2003; Reid, Barrington & Brown, 2007). The process of identifying training needs seeks to establish the gap between the competences, skills and knowledge at organisational, group or individual level that are required to meet organisational goals, and the competences, skills and knowledge that exist. At each of these levels the four central stages to identification are firstly to establish the standards of performance that are required; secondly to identify the extent to which these standards are met; thirdly to identify and articulate the gap between them; and finally it should be established whether the gap may be addressed by a training intervention or if it arises from a source which does not have a training solution, such as a lack of resources or inappropriate technology.
Organisational level At each of the three levels different approaches to identifying training needs may be utilised. At the organisational level there are three central approaches that may be used: a global review, the competence approach and critical incidence analysis. A global review of training needs is a time-consuming and detailed process requiring the examination of organisational objectives and the competences, skills and knowledge of each organisational job category that are required to meet these objectives. Each employee must then be assessed against the appropriate job category to establish the gap that requires training interventions. The scale of the organisation as well as the variety of job categories and other organisational dimensions (such as the number of sites over which it operates) all contribute to the complexity of the task in a global review. The competence or performance approaches seek to measure the performance of staff against competences defined for every member of staff through job descriptions. The resources and expertise required by a consultant undertaking a global review or a competence or performance review in a large organisation
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are considerable. This is particularly true if the contract requires either the review of competency standards throughout the organisation, or establishing them in the first place. The critical incident analysis approach also operates at the organisational level, however, its focus is narrower than a global review and therefore may be more appropriate for a small-scale consultancy to undertake. The critical incident analysis approach (Reid et al., 2007) aims to identify incidents that are critical to an organisation’s success and to provide training solutions to respond to any gap in performance. Such critical incidents may require specialist knowledge, for example, a study of a police force may require an organisational analysis for the introduction of a training programme focusing on dealing with domestic violence in which expert knowledge of domestic violence is required. It is with this form of organisational analysis that a psychologist may engage in a forensic setting most effectively because the needs of the organisation require their specialist expertise. It is important for a consultant conducting any form of organisational level identification to ensure that thorough communication has taken place involving all employees in respect of the aims of the review. Without such communication, employees may be wary of answering questions or providing information, and further be unclear on the level of confidentiality and anonymity that they will be afforded. The data necessary for the review may come from a variety of different sources. Obvious starting points are organisational charts and perhaps a flow diagram or mapping of how processes work and groups interact. Policies, procedures and other company documents can be useful in determining the official view. However, an exploration of attitudes, climate, frictions, criticisms, perceptions and views of line manager commitment and support can prove equally fruitful. It is also important to gather information and an understanding of the priorities of the organisation lower in the hierarchy. There are many sources of data about the organisation. Some of these are publicly available such as company accounts and company web page information. However, with wider access to the organisation there are a plethora of sources of data. Whilst the following list is not exhaustive it is fairly comprehensive. This list can consist of human resource based data including interviews, questionnaires, personnel statistics (e.g. leavers’ exit interviews, demographics, disciplinary hearings, grievances, pay data, staff performance ratings), job descriptions, observations of jobs, accident records, sickness records, training evaluations and appraisals. Broader organisational data that may also be of use includes minutes of meetings, strategic plans, accounts, wastage data, error logs, complaints, quality systems, committee members/project team views, experiences, mystery shopper data, response times, returns of product, delivery times, and quality assurance records and reports. These data enable consultants to gain a much wider understanding of how the organisation operates. Following this data-gathering process the consultant needs to interpret and make sense of the information: it is then usual to produce an interim report. Good practice in this situation would be to ask a senior manager who has been identified as a ‘sounding board’ to give her/his view on the interim report so that it can be adapted before being disseminated more widely within the organisation.
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Occupational level At the occupational (also known as the job) level the identification of training needs in the traditional approach for British industry has typically been driven by the training boards and focused on the job description or person specification. In some organisations these have begun to be supported, or replaced, by competences. There are a number of different approaches to identifying training needs through a job description, person specification or competences, including functional analysis, key results analysis and problem-centred analysis. Functional analysis in this context focuses on identifying the competences required for the effective achievement of a role. Key results analysis is pertinent if a job is made up of a range of tasks or experiences change in emphasis. This form of analysis focuses on identifying training needs in the tasks that impact most directly on the achievement of organisational objectives. Problemcentred analysis focuses on a process that is problematic, at an occupational or job level, and which is anticipated to have a training solution. Further, it may be productive to focus on specific tasks or parts of a competence at the occupational level and this may be achieved by a number of techniques including critical incidence analysis and role analysis. Data for occupational or job level analysis may be drawn from the range of sources identified during the previous discussion of an organisational review. The key difference will be that the data collected, such as minutes, disciplinary hearing records or job descriptions, will focus on a specific occupation or job rather than data that relates to the organisation as a whole. Organisational parameters, such as size and the number of those within the specific occupation or job, will clearly impact on the complexity of the task and the resources required for its successful completion. Once the data have been collected and analysed it is valuable to produce an interim report for the client.
Individual level Identification of individual training needs seeks to establish the performance gap for an individual, or range of individuals, within the organisation. Buckley and Caple (2000) provide a detailed discussion of a variety of techniques for job analysis. Key techniques for this analysis include the use of performance appraisal, development appraisal and assessment centres. The appraisal process is usually based either on the goals established at a previous appraisal or on a competency framework. A form of rating scale is then used to establish the level of performance. 360-degree appraisals, which seek to gather an all-round view of an individual’s performance, draw on a range of sources to generate a measure of the individual’s performance. The gap between actual and desired performance may then be established and the training interventions, if appropriate, may be used to meet this gap. Assessment centres utilise a range of activities (including interviews, tasks, teamwork) to assess competence, skills and knowledge and hence identify the gap. Instead of being required to undertake an organisation, occupation or individual identification of training needs it is likely that an organisation, or professional body, will have already identified needs for which the consultant will be required to provide
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training. Before moving to the design stage in such a case it would be valuable to establish how identification has taken place; if this process is valid and reliable and if targets for the evaluation of the success of any training interventions have been established then progression is less risk laden for the consultant.
Designing Whether the learning needs have been identified by the organisation, established during the contracting stage of the cycle, or a full organisational review has been undertaken by the consultant, the identified needs should form the basis of the design of the training. During the design stage the learning objectives of the training intervention should be established, consideration should be given to the learning styles of the participants, the delivery methods must be decided upon, the scheduling of the event must be undertaken and logistical aspects should be considered. For example, if the consultant has been asked to deliver training on crisis (hostage) negotiation, there will be the requirement of a large and isolated venue to accommodate role-play activities that may present with a certain degree of noise and disruption.
Learning styles In the design of training interventions the work of Kolb (1981) on experiential learning, as developed by Honey and Mumford (1986), remains influential. The four modes of learning proposed by Kolb (1981) were an activist style that requires concrete experiences through which to learn; the pragmatist style which involves reflective observation; the theorist style of abstract conceptualisation and the reflector style of active experimentation. Kolb (1981) argued that these led to four different approaches to learning: the diverger, the assimilator, the converger and the accommodator. Each of these approaches effectively draws on two of the four modes of learning. Firstly, the diverger draws on the activist and pragmatist style; secondly, the assimilator draws on the pragmatist and theorist mode; thirdly, the converger draws on the theorist and the reflector; and lastly the accommodator on the reflector and the activist. Kolb’s (1981) approaches were adopted by Honey and Mumford (1986) who developed his work, as illustrated in Figure 11.2, suggesting that all learners will prefer one of the four styles but some may be able to perform well in two or three of them . However, activists would much rather seek out the next experience than reflect on the last one. Reflectors may prefer to dwell on what happened in the last experience than try to draw conclusions from it. Theorists may prefer to pontificate about models than move on to practical application. Planners (pragmatists) may prefer to spend more time on perfecting the plan than actually putting it into action. The work of Honey and Mumford (1986) can be usefully combined with Argyris and Schön (1978) who developed the idea of ‘single-loop learning’ and ‘double-loop learning’, which was further developed by Hawkins (1991) with the addition of ‘treble-loop learning’. Figure 11.3 illustrates their approach.
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Activity
Planning how to put it into practice
Reflection
Theory building
Figure 11.2 The learning cycle (adapted from Honey & Mumford, 1986)
Governing variable
Action strategy
Consequences of action strategy
Single-loop learning Double-loop learning Treble-loop learning
Figure 11.3 Treble-loop learning (adapted from Argyris & Schön, 1978, pp.2–3)
Single-loop learning occurs where learning remains within its own frame of reference. It requires errors to be rectified through relatively minor changes and subsequent monitoring to evaluate the impact. This form of learning provides rapid feedback to enable further corrective action to be taken if necessary. For example, when delivering training on the application of motivational interviewing when working with violent forensic clients, the learning is retained to this population, and the methods and techniques are not extrapolated from this, but kept within the remit of working with violent forensic clients. Double-loop learning occurs where a new perspective is found on the single loop. It requires a ‘willingness on the students’ part to challenge and/or change their current mental models in light of their experience’ (Parker & Stone, 2003, p. 125). Double-loop learning is associated with greater strategic changes resulting
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in significant alteration to a strategy or process and usually means a higher level of understanding has to be achieved. For example, and using the earlier example, double-loop learning may occur from the trainee where they demonstrate a willingness to change and modify the provided motivational techniques from the training to accommodate changes in the presentation of the violent offender. This is opposed to simply attempting to apply the same techniques in the same way to all violent forensic clients. Treble-loop learning occurs where the learner can stand outside the single- and double-loop processes and without initial value judgement perceive the whole and uncover a greater purpose. This level requires an even higher level of understanding and knowledge. For example, here the trainee may apply their learning outside of working with violent forensic clients, to other forensic clients, such as those who have committed sexual offences. Further, they may begin to consider greater application outside of the initial training, such as the use of motivational approaches when working in an organisation. Drawing the idea of loops and cycles together enables us to identify that in delivering a training intervention people learn in different ways and are at different levels of awareness and development. Some may not appreciate the broader perspective of treble-loop learning and feel more comfortable dealing with error correction at the single-loop level, whilst others may find this incredibly frustrating. Some may seek more activity, reflection and theorising or practical application. All these needs have to be accommodated to maximise the learning potential from the intervention. Usually, the learning styles can be accommodated by supporting individuals through the whole cycle. In particular, reflective techniques such as learning logs can help delegates to consider what they have learned and how it is applicable back in the work situation.
Learning objectives The learning objectives of an event ‘define what attitudinal, behavioural or performance outcomes are to be achieved’ (Harrison, 2005, p. 122). Once the learning objectives have been established then how these will be achieved becomes a focus of the design process. Learning objectives are usually output driven and as such are frequently associated with the behavioural perspective (see Chapter Three). The learning objectives may fall into one, or more than one, of three domains of knowledge: cognitive, psychomotor, affective. To design effective training the different domains of knowledge should be taken into consideration. The cognitive domain relates to six areas in the development of knowledge and intellectual skills that develop in complexity from knowledge through comprehension, application, analysis, synthesis and evaluation (Simmonds, 2003). If the training intervention is designed to communicate knowledge, then training methods that provide information, such as lectures, can be adequate. To support the development of comprehension and synthesis, training methods that engage the delegates in activities that require them to demonstrate comprehension and synthesis will be more appropriate. For example a training intervention may have the learning objective ‘To
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enhance managers’ understanding of stress management techniques so that they may be applied appropriately within a department’. To achieve this objective requires that delegates have knowledge of what stress is and the techniques that are available for its management. In addition it requires comprehension of these techniques so they may be applied within a given manager’s department. The training intervention should therefore be designed to incorporate a range of methods to meet the learning objective including lecture-style input to impart knowledge and activities such as a case study or a role-play that require delegates to comprehend the material and also to apply the knowledge within an organisational situation. The psychomotor domain involves seven areas which are: perception, set, guided response, mechanism, complex overt response, adaptation and origination in the development of skills including both physical and motor skill areas (Simmonds, 2003). Training interventions focused on developing psychomotor skills would tend to be concerned with work roles including the development of such skills as driving or the use of manufacturing machinery. The affective domain involves those aspects of a role with which we deal emotionally, such as developing awareness of others, responding to situations, understanding the value that others attach to events or objects and internalising certain values that will then control a delegate’s behaviour (Simmonds, 2003). The requirement by an organisation for all staff to adhere to an equality of opportunity or management of diversity policy could lead to the development of learning objectives that seek to change staff attitudes in relation to those with whom they work. Serious consideration should be given as to whether it is possible to design a training intervention to target the affective domain, which will depend on a range of factors including the percentage of staff who will undertake the training, the length of the intervention, senior management support for it and the follow-up measures that the organisation will put in place. In the case of equality of opportunity, a training intervention that aims to change attitudes but is only undertaken by 5% of staff is very unlikely to have a significant organisational impact. It is also very difficult to measure affective change in the individual and the organisation as a whole. If affective change does form part of the learning objectives then detailed consideration must be given to the stages through which delegates will need to move for affective changes to be possible.
Delivery methods For training interventions to be successful the domain or domains with which the intervention is concerned must be considered when selecting delivery methods, along with issues such as cost and the experience of the trainer. To engage delegates’ interest, maintain motivation levels and respond to the variety of learning styles within the cohort of delegates, a range of methods is usually the most effective approach. Therefore it makes sense to use several methods so that there is a mix of activity, reflection, conceptualising and planning for implementation in the workplace. Activities will also need to incorporate visual, auditory and kinesthetic learning styles. The use of a mixed or blended learning approach is likely to be needed to ensure the
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learning objectives are met and have an impact within the organisation. For example, to develop awareness for staff of a client’s risk of self-harm, it could be valuable to design a training intervention that incorporates some lecture-style input to provide a theoretical overview. To enhance the learning experience, the use of group discussion could be valuable to develop delegates’ understanding of self-harm. The additional inclusion of a case study would enable delegates to apply the theory of selfharm to a work-based situation. It may also be appropriate to offer ongoing support through coaching to enhance the application of learning within the delegates’ workplace. When deciding which of the methods of training to use the consultant should consider utilising an appropriate range of methods to engage and interest the delegates as well as balancing the time constraints, previous experience of the delegates with any organisational political issues and their own skills and abilities. Table 11.1 shows a number of different learning methods and a brief review of benefits and issues.
Scheduling training interventions The order in which the training methods are used, and the order in which information is provided, will impact on the extent to which learning objectives are achieved. For example, in the development of cognitive skills, that is the six areas that relate to the cognitive domain (Simmonds, 2003), comprehension cannot be achieved before knowledge is established, as was discussed earlier in this chapter. Practicalities such as meal times, comfort breaks and concentration levels must also be considered during the scheduling of an intervention. When scheduling the training event it is most effective to first establish the elements of the training that are fixed, such as any constraints on the length of the session or day and meal or break times (Truelove, 2006). For example, delegates’ working hours may require that training be delivered between 8.30am and 5.30pm with a one-hour break for lunch and a 15-minute break during the morning and the afternoon periods. A training intervention should also include an introduction to the event, trainer and delegates, ‘housekeeping’ issues (in an environment unfamiliar to the delegates this should include fire and emergency drills, toilet facilities, drink and food arrangements) a conclusion, review of learning objectives, and time for any questions or concerns that have not been resolved during the day. If delivering a single-day training event, the mapping of these elements may then dictate the length of time available for elements of the training as demonstrated in Table 11.2.
Practicalities The practicalities of design include giving adequate consideration to the accommodation available, the requirements for equipment that result from decisions made about the training methods to be used and the constraints that are placed upon the consultant by the contract and the available budget.
Table 11.1 Learning methods and associated benefits and issues Method
Benefits
Issues
Lecture/ Presentation(trainer delivers to delegates using visual aids with little or no delegate interaction) Workshop/Lesson (occurs over a set period of time and often incorporates a lecture element with group interaction)
Control over the content and order of delivery Can teach large numbers Can cover more material quickly May be used to support cognitive development Flexible and adaptable Enables participation Interaction draws on experiences and skills of participants Assessment can be built in May be used to develop comprehension and synthesis Enables participation Interaction draws on experiences and skills of participants May be used to develop comprehension and synthesis of knowledge Realistic Activity generates interest and motivation Make decisions in low-risk environment Can be used to measure skills and competences Draws on experience May be used to apply knowledge
Unless lecturer is highly skilled there can be a lack of interaction and participation Not good for skill development and application of knowledge
Group discussion (focused delegate discussion on relevant topics facilitated by the trainer) Role-play/Case study (trainer provides a scenario in the form of a role-play or case study for the delegates to work on)
Group sizes tend to be small which can be problematic if training is to be delivered to large numbers of delegates
Group sizes tend to be small Can be time consuming in comparison to lectures if a number of the group engage in the discussion Requires a trainer skilled in interaction and participation Can be time consuming to prepare Need to regularly update cases Can be expensive to prepare due to the time involved in writing a role-play/case study or simulation or due to the cost of purchasing these materials High level of skill needed to facilitate Interpersonal issues may be difficult to resolve, such as delegates who behave inappropriately during role-play/ case study or simulation
Table 11.1 (Continued) Method
Benefits
Issues
Action learning sets (a learning experience that occurs in the workplace, but is led by the trainer)
Work-based project used Learning focused on work and the individual Develops teamwork and draws on the experiences of a number (or all) delegates May be used to develop comprehension and synthesis Content can be paced to suit individual Constant feedback and one-on-one tutoring
Confidentiality Problems caused by lack of inability of other action learning set members to provide support, e.g. if one member of the set has a significantly lower level of skills, knowledge and experience it can be challenging for them to offer appropriate levels of support The facilitator must be skilled in supporting the development of constructive group dynamics to enable an effective learning set to develop Time consuming Can interrupt work activity because the coaching is most likely to occur during work time Work, rather than the coach, determines the learning priority because this is the focus of the coaching Need compatibility between coach and individual in relation to skills, knowledge and experience, to provide an appropriate environment for learning Trainer needs professional or technical competence such as an appropriate understanding of forensic psychology to coach a forensic psychologist Tend to be expensive Material may not fully fit unless it is tailor made
Coaching (one-to-one sessions between trainer and delegate)
DVD/Video (use of recorded material within a training session) Computer based (use of computer-based packages within a delivered training session or independently)
Useful in reinforcing inputs and discussions Tend to be stimulating and maintain interest Self-paced, time managed and interactive Can be attractively and consistently presented Can provide deeper learning for those who want to do more work (e.g. reading) After start up it tends to be cost effective Can be managed in ‘digestible chunks’
Does not appeal to all learning styles, some may feel isolated or an aversion to technology Design of packages is time consuming Skills training is difficult to design Costly to set up and update and develop to be user friendly
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Table 11.2 Training plan Time 8.30am
9.00am–10.30am 10.30am 10.45am–12.30pm 12.30pm 1.30pm–3.00pm 3.00pm 3.15pm–5.00pm 5.00pm
Activity Introduction to trainer and delegates (this may include an activity) Introduction to the training intervention ‘Housekeeping’ issues Session Break Session Lunch Session Break Session Conclusion Review of learning objectives Questions
Delivering The design and delivery stages of the training cycle have much in common, as the factors that are key in the design stage, such as the learning styles of the delegates, the aims and objectives of the training, all influence the delivery of the training intervention. As these issues have already been considered in the previous section, here we will focus on the skills required to be an effective trainer. Developments in the theory and practice of learning, development and training, as discussed in Chapter Three, have resulted in a shifting role for the provider of training interventions within organisations. In turn, this impacts on the expectations of consultants engaged in delivering training. This move, characterised by Reid et al. (2007) from a pedagogic to an andragogic approach (that is from trainer to learner centred), has implications for the skills required by those delivering training. An andragogic approach, in which the trainer facilitates learning, requires a higher level of interpersonal skills during the delivery of training, including a trainer who is open to constructs and beliefs that differ from their own (Buckley & Caple, 2000). Further, it could also be argued that the trainer’s level of knowledge exceeds the material which is presented as part of the training. When undertaking a facilitation role in a training intervention it is necessary to encourage discussion, generate involvement and participation of all delegates and hence engage in a Socratic rather than a didactic approach. This requires the development of the ability to pose questions effectively to delegates, including the use of open and probing questions to generate participation. Closed questions can be useful for drawing discussions to a close, but leading questions are best avoided, as they can be experienced as patronising by delegates. The use of training methods such as lessons or group discussion (see Table 11.1) requires questioning techniques and also an awareness of group dynamics, an ability
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to pace the session and direct the content without resorting to overt control techniques. As discussed in Chapter Three adult learners may be particularly receptive to democratic participation, rather than approaches that could be considered to be patronising. For the majority of training methods, but particularly if using lectures, a high level of presentation skill is required alongside facilitation skills to engage participants. Presentation skills include embodied elements such as the pitch and level of voice, posture and physical presentation. The ability to design effective visual aids, operate relevant technology and pace the use of such aids so that the comprehension of delegates is enhanced are also essential. The new role for trainers as facilitators also requires the trainer to know more about learning than the delegates, as well as knowing more about the topic (Reid et al., 2007, p. 5). For those engaged in delivering training interventions in the specialist field of forensic psychology and forensic settings, this can result in the need not only to be a subject specialist, but also to have a thorough understanding of the approaches to learning, training and development within organisations that are discussed in Chapter Three. The skills required of the consultant (discussed in Chapter One, this volume) engaged in providing training interventions underpin this activity, in particular the subject specialism of the psychologist, the ability to listen and to inquire, and the competence of self-awareness.
Evaluating The evaluation of training interventions encompasses the internal validation of training which measures the achievement of learning objectives, and the external validation of training which measures the extent to which the learning has impacted on delegates’ performance within the organisation (Buckley & Caple, 2000). The evaluation of training should measure the value of the training intervention for the organisation (Stewart, 1999, Harrison, 2005). Evaluation has four main purposes: to assess the effectiveness of the intervention for the organisation; to provide justification for the training; to provide data to support the improvement of the organisation; and to provide justification for the training function within the organisation (Bee & Bee, 2003). Reid et al. (2007) identify five main reasons for evaluating training: to measure the investment that has been made; the competence of the training; the improvements that need to be made in the training intervention; review delegate learning; and to identify if the objectives of the learning have been successfully met. These approaches demonstrate the importance of evaluation for an organisation’s training or human resource development department, and they also illustrate the importance of evaluation for the consultant. In particular, for a consultant, it will be critical to demonstrate the value of the training provided for the organisation if one wishes to secure further work. How such value is expressed should be agreed during the contracting stage of the training cycle. Though being able to demonstrate a financial return on investment would provide one form of justification, this is not always possible, or desirable, during the different levels of evaluation that may be undertaken.
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The complexity of the process of evaluating the training intervention’s effectiveness depends on what has been contracted and the subsequent aims and objectives established during the development phase. Of particular importance are the ‘level’ at which it has been agreed that the training will be measured and whether quantitative, qualitative or a mix of approaches has been agreed. The levels at which evaluation of training occurs is still frequently underpinned by Kirkpatrick’s (1976) model of evaluation that proposed five levels: the reaction of delegates; the learning achieved by delegates; the subsequent behaviour of delegates; the results to the business; and the impact of the training on the organisation. Reaction-level evaluation seeks to establish the initial reactions of participants to the training. This level of evaluation is useful for gathering information on feelings towards training, tutors, facilities, materials used and learning methods employed, and is commonly gathered by questionnaires at the end of a course, referred to as ‘happy sheets’. Whilst this level of evaluation may be significant in the launch of a large-scale intervention in which the reports of a positive experience from early delegates may impact on subsequent attendance and motivation levels, it fails to measure what and how much has actually been learned. Reaction-level evaluation cannot be used to establish a financial return on investment. One may intuitively feel that learning has been achieved if participants have enjoyed the intervention (Bee & Bee, 2003), however, it provides little evidence to justify the expense of training for the organisation. Learning-level evaluation may provide evidence to justify training expenditure as it measures a participant’s ability to demonstrate knowledge and skills from the training course. This can be achieved through observation of practical application, tests of long-term retention of knowledge, line manager pre- and post-training assessments or participant self-assessments. Establishing the extent of learning arguably requires the level of knowledge or skills in existence prior to the training to be established, which can be difficult to measure, but may be attempted through a pre-course test. It is very difficult to establish a financial return on investment at the learning level of evaluation as demonstrating a direct correlation between, for example, an increase in the knowledge of managers of how stress can be effectively managed, and baseline performance may be influenced by other organisational variables. However, demonstrating an increase in the knowledge or skills of delegates who have undertaken training interventions can be extrapolated to suggest that organisational benefits exist. For example one may be able to suggest that there is a correlation between an increase in managers’ knowledge of effective stress management techniques and a reduction in staff absence rates due to stress. Behaviour-level evaluation is concerned with measuring the impact of the training intervention on an individual’s behaviour in the workplace. Typically this is measured through pre- and post-training tests, observations in the workplace and the ability of the individual to undertake new assignments. This kind of evaluation needs to be repeated if it is to test permanent or longer term behavioural change. A qualitative measure of the success of a training intervention may be provided by the use of reflection bound into a learning plan. This can be particularly beneficial if tied into professional processes such as reflective practice or organisational processes such as periodic appraisals.
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Results-level evaluation is concerned with correlations between training interventions and business results, and would usually tie in with the annual appraisal process (assuming one exists). If the training intervention has taken place over a short time period (such as a two-day training event) and the relationship between consultant and organisation is not ongoing then this level of evaluation is, in practical terms, very difficult for the consultant to measure. This highlights the need for a clear and detailed agreement between consultant and client in the contracting and identification stages about how the training will be evaluated and who will carry this out. This level of evaluation may incorporate processes such as 360-degree feedback and pre- and post-measurement against statistical performance data (e.g. labour turnover, errors, complaints). Such tangible results-level connections are notoriously difficult to evidence and may be hampered by changes in other non-training variables. This form of evaluation also tends to neglect the intangible benefits such as selfdevelopment and confidence. For example, if delivering training on awareness of self-harm in a forensic population, evaluation may identify that there have been an increase in the number of occasions where the risk of self-harm in the population has been identified than prior to the training intervention. It is important to note that this increase may be due to other factors such as an increase in staff operating within this area of expertise. Organisational-level evaluation is perhaps the most complex as it attempts to measure investment in organisational training in relation to bottom-line results and performance. In public-sector organisations/agencies it may be necessary to justify spending public funds. This level of evaluation is often a ‘leap of faith’ rather than a scientific process. However, since the publication of the Kingsmill report (2003) there have been recent developments in human capital theory (CIPD, 2003, 2007b; IiP, 2008), as discussed in Chapter Three, and there may soon be more robust measures available for such evaluation.
Case Study The following case study provides an example of how the stages of the training cycle may be used by a consultant within a forensic setting. Please note that for reasons of confidentiality this case study is not based directly on one organisation and the name of the forensic psychologist is fictitious.
Overview The chief constable of Largeton Metropolitan Police had expressed concern about the high levels of absence throughout his constabulary – running well beyond national figures of 8.4 days per officer per year (this national figure is also regarded as unacceptable). His initial investigation of the problem suggested that many officers were absent as a result of stress-related illness. In an attempt to reduce this high level of absenteeism Dr Judy Parry, a forensic psychologist, was asked to investigate the situation and to provide a training intervention designed to help officers recognise the
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symptoms and to cope with the effects of stress. Dr Parry used the five-stage training cycle as a basis for her approach to deliver a successful outcome.
Consulting Initially Dr Parry interviewed a random selection of officers from every level of the force from the chief constable down to the most recently appointed officers, in an attempt to identify the key causes of stress and to determine what, if any, common factors were behind the high levels of stress-related illness/absence, and thus allow her to provide the consultancy intervention. Dr Parry identified from this process that there had been a number of issues that were causing stress amongst the police force. Some of these were mainly inherent in policing a vast metropolitan area such as Largeton and others which were apparent nationwide. Dr Parry also acknowledged that because of the very nature of police work, some of the stressors would prove very difficult to eradicate and could not be addressed through a training intervention. At this stage in the training cycle Dr Parry agreed with the chief constable that the evaluation of the training would be undertaken at post-course stage and at either six or 12 months following this. However, future clarification of the evaluation procedures and measures was deferred until after the identification stage had been undertaken.
Identifying Meetings with a random stratified sample of 20% of the force and qualitative interviews with a sample of 10% of the force identified the following key issues:
• • • • • •
Government-imposed targets required officers to achieve set levels of prosecution, requiring officers to intervene where previously they would have turned a blind eye, e.g. playground disagreements, leading to high-spirited youths being dealt with by the police, rather than by the headmaster/parents. The targets were considered by many of the police officers to be unachievable. The targets led to increased levels of paperwork, requiring more of the police officers’ time to be spent in bureaucratic/administrative procedures and therefore leaving less time available to deal with ‘real’ criminals. This in turn led to officers becoming disenfranchised and the public in the area viewing the police as being ineffective. An increasingly negative public perception of the police developed in the region which resulted in officers being verbally abused in the streets. Public resistance to cooperating with police officers resulted in offenders remaining undetected and mistakes being made in prosecution. Local racial tensions were heightened between different ethnic groups leading to ‘no-go’ areas in certain parts of Largeton for the public and police alike. Increases in knife and gun crime, predominantly amongst youths, resulted in a number of fatalities which received widespread national media attention.
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Addressing the issues identified above was clearly beyond the original brief given to Dr Parry. As a consequence of her investigation Dr Parry produced an interim report of the findings for the chief constable of Largeton Metropolitan Police. The report also clearly established that the key issues listed above could not be solved by the training intervention and hence would not form part of the subsequent evaluation. In the report Dr Parry restated the initial brief which was to reduce high levels of absenteeism and outlined the design, delivery and evaluation approach that she recommended. Having gained approval from the chief constable, Dr Parry proceeded with the steps of the cycle as outlined in the following sections of the case study.
Designing and delivering On the basis of the investigation Dr Parry decided to provide training interventions in the form of a series of group discussions and workshops (see Table 11.1) designed to allow members of the force at every level to participate. Combined these would take the format of 12 half-day sessions, held in Largeton HQ Training Suite. It was decided that the first two group discussions would be for senior members of the force only, thus minimising the chance of senior officers dominating the discussions to the detriment of junior officers, and ensuring that all participants had the opportunity to air their views. The facilitator also recognised that, given the sensitive nature of the topic, some officers would be reluctant to discuss their very personal feelings and experiences. These initial sessions were designed to allow the senior officers the chance to identify what they perceived as ‘non-negotiable’ stressors (e.g. national targets which were externally imposed and difficult to change) and also to explore other causes of stress. Four subsequent group discussions were carried out and were available to officers of lower rank and were designed to encourage them to explore not only the national initiatives which were stress producing, but also to identify and explore issues which were more closely related to their own experience at local level. The facilitator video-recorded all group discussions and subsequently used the information obtained in them to produce a list of those factors which had been identified as stress producing. It was made clear to the group discussions that the video material would not be passed on to the organisation and views taken from it would be anonymous. This list was further divided into issues which were outside the force’s control, and those which could be dealt with in an attempt to reduce stress and improve attendance at work. Following the group discussions the four initial awareness workshops were conducted during a combination of morning, afternoon and early evening slots to increase attendance levels. The workshops were designed to demonstrate that stress is a very personal experience, as is the response of each individual, and that a measure of stress is natural and a degree of stress is not unhealthy – the key issue is the distinction between pressure and stress. The sessions were designed to ensure that 20% (as agreed with the chief constable) could attend one session. The session involved facilitator-led sections encouraging participants to:
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Explore what stress is and acknowledge that individuals feel stress in different ways – and that stress is the result of a person being pushed beyond the limit of his or her natural capacity. After the cause is removed the person does not return to his/her previous state. Identify how stress can be caused: a variety of scenarios were developed, drawing on some of the information from the group discussions and designed to explore in more detail various causes of stress including: – workload (underemployment, confused working, overworking); – personality (internal and external responses to stress); – physical factors (physical stress, personal crises out of work).
Individuals were encouraged to relate their own experiences as far as possible.
• •
Explore how the individual can identify stress including such issues as unusual behaviour, ‘flying off the handle’ more than usual, tiredness, not getting the job done, blaming others, abuse of drugs or alcohol, acute stress from major strain, chronic stress from long-term strain. What action can be taken to avoid stress: suggestions included keeping fit and sleeping enough, plan relations and limit work time (although it was acknowledged that given the nature of police work this was not always feasible).
The final two workshop sessions involved five facilitators in a series of action learning set sessions (see Table 11.1) whereby the facilitator arranged to meet small groups of officers on a mutually agreed basis to allow them to explore their individual perspectives on stress. Participants were encouraged to discuss their own experiences, to identify how stress affected them, and to share their own coping strategies. The need for sensitivity and confidentiality was also reinforced in these sessions, with ‘rules of engagement’ being established at the outset.
Evaluating Evaluation of the intervention was carried out at three levels, as had been agreed with the chief constable: 1
2
Reaction level, which was undertaken through a post-course questionnaire. Each participant was given a questionnaire at the end of the workshop session to allow them to identify what they felt they had achieved as a result of the workshop, and what they might now do differently as a result. The questionnaires demonstrated a high degree of satisfaction with the course and suggested that 87% of those attending the training would alter their behaviour as a result. Behaviour level, as undertaken through an analysis of follow-up action learning sets to test whether coping strategies were working, and to identify which were the most/least effective. These results suggested that the success of
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coping strategies were dependent on individual preferences and peer group support of the individual. Results level, for which analysis was undertaken at six and 12 months after the course to determine whether absenteeism through stress-related illness had reduced. The results were determined through the use of absenteeism data collated by the organisation which established that 12 months after the last delivery of training there had been a fall by 3% of the number of days of absence reported as due to stress.
A report summarising the results of the evaluation was submitted by Dr Parry to the chief constable and as a result further negotiations took place between them to establish a protocol to roll out the training across the organisation.
Conclusion Dr Parry’s approach to this client broadly follows the training cycle identified in Chapter Three and elaborated in this chapter. Implicit in her approach is an understanding of the theoretical underpinning of training interventions identified in Chapter Three. Her knowledge of learning styles and triple-loop learning is also evident and is demonstrated through the variety of training methods that she utilises in the design and delivery of the training interventions. What emerges as of particular significance through the case study is the importance of establishing a sound client–consultant relationship as emphasised by Kakabadse et al. (2006). Further, the maintenance of this relationship through appropriate communication and the establishment of client agreement at different stages of the cycle are highlighted. This chapter sought to provide psychologists working within a forensic setting with an introduction to the stages of a training cycle that may be utilised when providing training interventions within a range of organisations. This has been highlighted through the fictitious case study of Largeton Metropolitan Police, however, it is particularly important to emphasise that when engaged in the provision of a training intervention within a forensic setting there is no one correct way of proceeding. Instead the applied psychologists providing training interventions should seek to enhance their understanding of the theoretical underpinnings outlined in this chapter and Chapter Three and apply them to specific organisational contexts following careful analysis of the organisation and subsequent deliberation over the most appropriate training intervention for the context.
Chapter
Twelve
Systemic Failure and Human Error Adrian Needs
The interplay between adversity, striving and fallibility is at the heart of fictional drama and has long been a staple of journalism. Perhaps such events have a resonance with the challenges and crises we experience in our own lives, and with an awareness of life’s more extreme and less foreseeable possibilities. Even viewed at a distance an episode of adversity may raise wider questions concerning predictability, vulnerability and integrity in human existence. It may prompt an attempt at explanation. In this we might acknowledge the benefits of hindsight (a ‘wonderful thing’), empathise (‘there but for the grace of God …’) and, if there are any lessons relevant to ourselves to be gained, we may be relieved that this time we did not have to learn them the hard way. Alternatively, reconciling the potential implications of negative occurrences and outcomes with sustaining assumptions about the world (Napier et al., 2006) can contribute to stereotyping and a readiness to ascribe blame. These may serve to ensure that the episode remains at a relatively comfortable distance. When failures and errors occur in organisational settings with a responsibility for protection of the public and a duty of care it is clearly very necessary that lessons are learned. Many revisions of policy and procedures, and improvements and safeguards in a range of associated areas, have their origins in things having gone wrong. It can be tempting to talk of stable doors and bolting horses but usually the reality is more complex. Organisations are subject to numerous and often competing pressures and concerns. These range from economic, political and strategic considerations to their day- to-day operations whilst some, like personnel issues, relate to the organisation’s own maintenance and ability to function. Personnel, in turn (including those
Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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in positions of authority), have all that one might expect of human beings. Here we could include a capacity for constructing a working understanding of the situations that they face based largely upon previous experience, an ability to engage in routine tasks with economy of effort, a tendency to be influenced by other people in immediate or anticipated contexts as well as propensities to fatigue and the experiencing of emotions. The added twist is that some environments are especially demanding. Work within or linked to criminal justice is concerned with some of the most intractable problems in society. Much of this work takes place away from the gaze or understanding of the public. Some work is routine and monotonous, but some is highly charged and extremely demanding or even life threatening. Some tasks (such as investigations or risk assessment) involve situations that are inherently ambiguous and frequently there is tension between different roles (such as security and rehabilitation, community relations or operational policing, treatment and restraint). It is also a characteristic of work in these kinds of setting that it will include regular exposure to individuals who sometimes see it as justifiable or in their interests to manipulate, deceive, subvert or exploit, or overtly or covertly to resist compliance or cooperation. Such work also includes regular exposure to individuals who are acutely distressed. One consequence of living with such factors is the probability at any one time of stress being a significant issue for a fairly substantial part of the workforce. Another can be the perpetuation of occupational cultures that can promote insularity, cynicism and some questionable informal practices. Apparently incessant change and increased managerial demands, paperwork and bureaucracy will be covered in more detail later. If there is any surprise to be expressed, it is that crises do not happen more often. Consultants who work in criminal justice settings cannot distance themselves from adverse events. They are not in the business of blame and should exercise hindsight with humility and caution. They are usually concerned with promoting good practice. They should, however, be aware of major points where failures can occur and the factors that can contribute to these. As they go about a variety of applications of consultancy and advisory work they need a clear picture of what is before them and possible developments including (but not confined to) potential courses of action and their consequences. It is suggested here that such pictures become clearer if they include shade as well as light. This is especially important in contexts where the consequences of failure can be extremely serious. The present chapter provides a short introduction to some aspects that are relevant to a field that in forensic psychology, from an academic point of view, is only just beginning to take shape. It outlines certain influences on both its development and subject matter. It presents a view of adverse outcomes as usually multifaceted in origin even in apparently clear-cut cases of ‘human error’. In doing so it alludes to a number of examples from criminal justice but also ones from other areas. This is partly because of the need for more research into related areas in criminal justice and partly because of issues concerning confidentiality in relation to actual incidents. It is also because since the author began training staff in this area over a dozen years ago, he has found that historical incidents such as the sinking of the Titanic can be used to stimulate thinking and draw parallels in a relatively non-threatening way.
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An Emerging Field Until very recently there has not been a great deal of published work by forensic psychologists on systemic failure and human error. To date, published work in this field has focused upon police investigations and the management of critical incidents involving public safety (e.g. Alison & Crego, 2008; Rossmo, 2008). In part this has been prompted by high-profile inquiries into cases such as the murder of Victoria Climbie in 2000 (Laming, 2003) and the murder of Stephen Lawrence in 1993 (Macpherson, 1999), whilst at the time of writing the inquest into the shooting of Jean Charles de Menezes by firearms officers of the Metropolitan Police is still in progress. The author’s professional involvement in this field dates back to earlier episodes in prisons such as the escapes from Whitemoor and Parkhurst prisons in the mid-1990s (Woodcock, 1994; Learmont, 1995). Such events might be seen as the counterparts of occurrences that helped instigate a concern with adverse events and their prevention and management amongst psychologists from other backgrounds. These include the partial meltdown of the reactor core at the nuclear power plant at Three Mile Island in the USA in 1979, the explosion on the Piper Alpha oil platform in 1988, the capsizing of the car ferry Herald of Free Enterprise in 1987 and the fatal failure in crowd control at the Hillsborough football stadium in 1989. The analysis of such examples can be instructive, and has contributed to the formulation of conceptual models and insights that demonstrate the universality of many processes (Reason, 1990; Dixon, 1994; Flin, 1996). The need to reduce hazards and prepare for emergencies in contexts such as aviation, medicine, the military, fire and other emergency services has become a driving force behind many important advances in research and practice. One of the distinctive features of some of the most valuable research in this area generally is a move away from laboratory-based experiments of questionable validity to the use of realistic simulations and debriefings (Eyre, Crego & Alison, 2008; Borodzicz, 2000; Flin, 1996). Reason (1990) presented a very influential model of the genesis of accidents in technological systems in which he distinguished between ‘active failures’ (errors and violations by operators at the sharp end) and ‘latent failures’ (the consequences of decisions at higher levels in areas such as design, training, procedures and resources). These typically work together. Latent failures ‘create the local conditions that promote the commission of errors and violations’ (Reason, 2001 pp.15–16). Latent failures may exist for so long that they are taken for granted, and errors and violations can come and go without serious overt mishap as long as there continue to be adequate defences in the form of controls, checks and back-up systems. Sometimes, of course, defences are penetrated. Analyses of disasters and crises have often identified deficiencies in performance going all the way to the top of an organisation (Toft & Reynolds, 1994; Collins & Leathley, 1995; Granot, 1998). As Reason (2001, p.16) suggests, decisions regarding policy and design are ‘nearly always a compromise’. However, he also quotes the comments by Mr Justice Sheen on the Herald of Free Enterprise that ‘From top to bottom the body corporate was infected with the disease of sloppiness’ (Reason, 2001, p.14). Generalisable or not, this does reflect that, when mishaps occur, the
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consequences of evolved practices as well as earlier decisions higher up the organisational chain should be seen as an important part of the context. Latent failures become all too apparent when defences are breached and they interact with each other and with the local events and active failures alluded to above. Until then, like the inadequate number of lifeboats on the Titanic that actually exceeded the Board of Trade’s requirements, they might even have been accepted as normal. Widespread demoralisation in the Prison Service combined at local level with increasing laxness in security practices, increases and changes in the mix of the prisoner population and a sense of grievance amongst the prisoners over conditions set the scene for the riot at Strangeways prison in 1990 (Woolf, 1991). One might be tempted to think that such an event might have been anticipated. ‘Hindsight bias’ is itself a recognised cognitive tendency through which judgement can be skewed (Almond et al., 2008). It might also be objected that agencies within the criminal justice system are used to operating in suboptimal conditions in the face of numerous challenges, or that certain risks are never far away, or that lowering the threshold for the prediction of trouble could actually be provocative and disruptive of ordinary functioning. Clearly, any unsafe practices and situations that are apparent need to be acted upon. However, a more realistic option than prediction might lie in the routine management of risk through a systematic focus on identifying, analysing and controlling sources of system failure, human error and underperformance within an overall emphasis on promoting quality; this approach has made considerable strides in recent years in the field of medicine (e.g. Vincent & Taylor-Adams, 2001). In addition, quality and, to use a currently fashionable phrase, ‘fitness for purpose’ is self-evidently important in its own right. Professionally and morally indefensible practices in patient care such as those identified at Ashworth Hospital in the 1980s (Blom-Cooper, 1992) need to be tackled anyway. So, too, do managerial practices (see below) that distort the activities of organisations away from the purposes for which they were created. These might be regarded either as latent failures or ‘slow-burn’ crises, and even if not the prelude to a climactic event other than exposure by the media, official review and a loss of public confidence they are clearly harmful and unacceptable. The activities which forensic psychologists as consultants might perform in relation to systemic failure and human error are for the most part the same as, or variations on, those that they perform in other areas. There are many with far greater experience and expertise in particular aspects, but, by way of illustration, the present author’s forays into this territory have included:
• • • • • • •
secondment to inquiries; developing and delivering training in response to high-profile failures of security; initiating a strategy for institutional change to reverse a loss of staff control; team building for personnel in exceptionally challenging environments; advising on hostage negotiation and other operational emergencies in prisons (and occasionally with the police); conducting debriefings; becoming a ‘prisoner’ to test security;
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contributing to the development of an assessment system for incident commanders.
In relation to adverse events these might be seen as spanning stages of ‘before, during and after’. The remainder of this chapter is concerned with providing a sketch of some of the areas that might be identified as relevant to this emerging field. Space does not permit a detailed exposition of every possibility, process, or more than a sprinkling of examples. It will be divided into four main sections:
• • • •
the organisational context; the performance system; errors and biases; emergencies and crises.
The Organisational Context Space certainly does not permit a comprehensive description and analysis of factors in organisational management that can contribute to the genesis or mishandling of adverse events, or to an unsatisfactory normal state. As noted by Reason (2001) and others (e.g. Granot, 1998), decisions in the upper echelons that can sow the seeds of latent failures are typically influenced heavily by constraints and compromise amongst competing priorities and values. In addition, aspects such as communication styles may reflect aspects of organisational culture and longstanding practice even when repackaged according to current philosophy. Thus Loveday (1999, 2000) described indications of a ‘top-down’ style of management in certain police forces that showed little interest in listening, in being open to alternative views, or anything other than compliance with achieving performance targets; meanwhile the latter were sometimes being met in some very questionable ways including under-recording or misclassification of offences and encouraging convicted criminals to ‘confess’ to crimes of which they were innocent. Drawing largely upon the Glidewell Inquiry (1998) into the Crown Prosecution Service, Loveday (1999) similarly highlighted some unintended consequences of New Public Management with its emphasis on curbing professional autonomy, an ethos of competition and improving performance through measuring attainment of performance targets. These included widespread demoralisation, job insecurity, a blame culture, high levels of sickness absence, and a proliferation of paperwork and bureaucracy. Especially worrying is evidence of the discontinuation of potentially difficult cases at an early stage, or downgrading of the seriousness of charges, in order to achieve set targets for successful prosecutions. Loveday noted that ‘how the targets were met may have become incidental to the primary goal of attaining them. Managerial efficiency and commitment to the measurement of performance appeared to undermine the effectiveness of the service as a whole, while also serving to undermine public confidence in the CPS’ (p.20).
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Others, too, have criticised the sometimes pernicious effects of ‘a performancedriven environment where only things that are measurable count and those that are difficult to measure just don’t get measured’ (Crego, 2008, p.21). Crego was writing of the police. Bryans (2000) made some rather similar points concerning the dominance of ‘managerialism’ in the Prison Service also pointing to, for example, the increasing amount of staff time being taken up by headquarters’ need for information, the short-term focus encouraged by having to achieve 12-monthly targets, and a general concern ‘that managerialism itself will become the end rather than the means’ (p.9). In particular, Bryans questioned the appropriateness of quantitative measures that tend to ignore both context and issues of quality. On the other hand it is only fair to point out that since Bryans the Prison Service has shown a willingness to consider such aspects and it has been claimed that clarity and consistency of objectives (including long-term goals) has helped promote stability at a time of unprecedented increase in the prison population (Wheatley, 2005; also see Liebling, 2004). This might suggest that, whilst a ‘performance culture’ has the potential to undermine an organisation, if management is effective in other respects then it might actually have its uses. This brings us back to elements that constitute or contribute to less effective management or leadership. It has long been suggested that decision makers and their advisors can be heavily influenced by psychological processes such as ‘groupthink’ (Janis, 1982). A starting point for the latter concept was the Bay of Pigs fiasco, a USbacked attempted invasion of their homeland by 1500 Cuban exiles that arose rather surprisingly from the Kennedy administration in 1961. Groupthink, a deliberately Orwellian term, is associated with a belief in the superiority, moral and otherwise, of one’s own side, a closed-mindedness to dissenting views or inconvenient information, strong pressures to conform and an overestimation of consensus. The formulation as a syndrome is not without its critics, and it has been recast in terms of the profound influences of social identity on decision making (Haslam, 2004). It does touch upon some powerful processes that have been implicated in, for example, some fairly wellknown military disasters. A Punch cartoon of 1 March 1879 has a caricature of a Zulu writing the words ‘Despise not your Enemy’ on a blackboard in front of a seated and humbled John Bull. It refers to the massacre at Isandhlwana of over 1300 British and allied troops five weeks before. A failure to deploy troops effectively, the principal cause of the disaster, seems to have been related to an unquestioning belief in the superiority of European discipline and firepower over native spears. A pattern of overconfidence and underestimation has been repeated throughout history, long before spectacular examples such as Agincourt in 1415 and certainly since the fall of Singapore in 1942. It can contribute to ignoring or dismissing inconvenient information that might imply that a change of plan or perspective is necessary (Granot, 1998). Before Operation Market Garden (centred on Arnhem) in 1944 reassuring rationalisations about the likely combat status of newly arrived enemy divisions were made despite the implications of emerging intelligence reports. An implicit belief in invulnerability and a corresponding unwillingness to consider other possibilities appears to have contributed to the loss of the ‘unsinkable’ Titanic with over 1500 passengers and crew in 1912, and arguably to the escape of six prisoners from the ‘impregnable’ and ‘escape-proof ’ Special Security Unit (SSU) at HMP Whitemoor (Woodcock, 1994).
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In management teams and commanders a tendency to overconfidence and underestimation of potential difficulties may go with the presumed successes that led to promotion (Staw, 1997). As Staw noted, this can be a factor behind ‘escalation of commitment’ where a plan is persisted with regardless of consequences. (Such as when the Shoreham nuclear power plant in the USA went from costing $70 million to $5 billion over a period of nearly 20 years before finally being sold for $1; it never operated at commercial levels.) It has even been suggested that promotion in hierarchical or commercial organisations (maybe under managerialism the distinction is now becoming blurred) can be associated with traits such as self-interest, competitiveness and obsequiousness (e.g. Hodgkinson & Stewart, 1991; Glidewell, 1998). Dixon (1976) has discussed how British military culture of the past (authoritarian, exaggeratedly masculine, rigid and anti-intellectual) appears to have been perpetuated by promotion of individuals with these characteristics, who in turn promoted commanders in their own image. It may be tempting to think that there could be parallels with promotion practices in contemporary public-sector organisations. It is important not to stereotype, however. Even with regard to the World War I, Terraine (1981) has challenged the popular view of ‘lions led by donkeys’, and it is of course essential that any consultant works with rather than against managers, establishing an effective working relationship and remaining resolutely objective. (Ones with a delinquent streak and a healthy disregard for personal ambition may care to study Sutton, 2002.) There is, however, an increasing recognition that organisational culture can have a major influence on decision making. Rather than the view of decisions as isolated and rational choices that has emanated from the laboratory and economics, many decisions are more accurately seen as socially determined (Staw, 1997). Often influenced by traditions and routines, they are made in the context of ongoing interpersonal relationships and may be coloured by a concern with the image of self that is presented to others (for example as competent, incisive, tough or sensitive) or the need to justify one’s decisions to colleagues, the public or those in authority (March, 1997). In an environment such as a ‘blame culture’ where there is a degree of competitiveness between individuals and groups, possibly scrutiny by the media and concerns over both credit and potential blame, decisions are sometimes made with an acute awareness of potentially negative consequences for oneself or one’s organisation; or, often crucially for a situation of actual or potential crisis, they are sometimes not made. Decision avoidance or inertia has until recently been a neglected field of study, despite inquiries such as those by Macpherson (1999) and Laming (2003) identifying a lack of decisions and action as key elements leading to failure. Decision inertia can be seen as an ‘outcome of the constraining effects of organisational structures’ (Eyre, Alison, Crego, & McLean, 2008, p.203).
The Performance System What any job performer does is likely to be affected by a range of influences. A simple and very practical approach to this that has considerable utility in settings such as prisons is Rummler and Brache’s (1995) ‘human performance system’. This is part
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of a larger framework that includes additional levels: ‘organisation’ and ‘process’, the latter being concerned with tasks that need to be done in order to, for example, deliver a service. It is noted that latent failures relevant to process, including ergonomics, can be very relevant to crises. At Three Mile Island, for example, 30 operators in the control room had to contend with 1900 displays, approximately 100 alarms and a computer printer that was running two and a half hours late and prone to jamming. The complexity of the system meant that interactions between failures within it were impossible to comprehend, contributing to a mistaken interpretation of a rise in pressure that led to action being taken (overriding the automatic operation of an emergency cooling mechanism) that was the reverse of what was needed (Perrow, 1999; Eyre, Crego & Alison, 2008). However, given a need to understand how professional behaviour can be compromised as a precursor to a crisis or become a source of concern in its own right, it is analysis of the ‘job/performer’ level that will be examined here. The following account is based on the blueprint presented by Rummler (1996) as well the extended coverage to be found in Rummler and Brache (1995). It will be elaborated principally with reference to the escape from HMP Whitemoor (Woodcock, 1994). The model identifies five major components of the human performance system. These are outlined below and should be regarded as forming a loop.
• • • • •
input; performer; output; consequences; feedback.
Input refers to the quality of the performer’s understanding of reasons for intended performance (including clarity), the degree of interference from other (particularly incompatible or extraneous) tasks and the availability of necessary resources (such as time, equipment, staff and information). The picture painted by Woodcock of the SSU is one of confusion and erosion of standards. The media, at least, alleged a political context (given the still fragile peace process in Northern Ireland) to what was widely seen as ‘appeasement’. There can in any case be ambiguities surrounding care and control, or just relatively peaceful coexistence between staff and prisoners, in high security institutions. Many staff (unlike the prisoners) lacked experience in these or any other sorts of establishment. Service-wide procedures and standards relating to security and privileges were eroded by a series of complaints and confrontations by prisoners. Prison officers were expected to shop for food and other items on behalf of prisoners, sometimes completing 50-mile round trips. In addition there were problems with the siting, operation and understanding of the purpose of CCTV, staff were often unaware of prisoners’ histories and there was a lack of briefings, debriefings and staff meetings. An ethos summed up by staff members as one of ‘don’t upset the inmates and don’t rock the boat’ (Woodcock, 1994, 4.20, p.24) seems to have taken over. The performer must have the necessary skills and knowledge to do what is required, along with sufficient motivation, capability and resilience.
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Staff in the SSU received little training that would have made them better equipped to handle the demands they faced. This might have ranged from the use of security intelligence to the operation of x-ray equipment in scanning objects being brought to the unit. Ironically, there were also complaints of a mismatch between the skills and experience that individual members of staff did possess and the work to which they were assigned. With the erosion of standards came widespread demoralisation, and one suspects that these became the elements of a vicious circle that was readily exploited by the prisoners. There was ‘a sense of resignation amongst SSU staff and a feeling that it was not worth confronting any abuses’ (Woodcock, 1994, 6.53, p.44). Output should be based upon familiarity with clear and appropriate (including attainable) standards for desired performance. The SSU lacked written operating instructions. This contributed to uncertainties regarding procedures and deprived staff of benchmarks (perhaps ‘rallying points’ would be a better analogy) in areas such as surveillance, monitoring, searching, private cash, telephone access, record keeping and auditing of property. The situation in relation to property held by prisoners in cells, other locations or in storage that Woodcock described is remarkable for the volumes involved and the nature of the items: two repatriated prisoners had 82 boxes between them, one prisoner had a bicycle, many items held were not on the ‘approved’ list of 135 items and Semtex explosive was found in a paint box in storage. The lack of explicit standards for the SSU or even adherence to generic ones seems to have contributed to gains in control by prisoners, and a corresponding loss of control by staff, as uncertainties led to inconsistencies in enforcement that were then open to challenge. Consequences need to be aligned as far as possible to support desired performance; they should be timely, meaningful from the performer’s viewpoint; ideally there should be sufficient positive consequences (incentives) and few if any negative consequences (disincentives) for desired performance. Challenges from prisoners appeared to play a major role in shaping practices in the SSU. By now it may be suspected that the prisoners were actually a more cohesive group than the staff. Cohesiveness can play an important role in organised attempts at manipulating and out- manoeuvring captors in ways that are hardly new (one only needs think of the ‘prisoner of war’ genre, and it is in these terms that the Republican prisoners on the SSU would have seen themselves). It seems mistaken, however, to regard what Woodcock (using a term that may have its origins in Sir James Hennessey’s 1984 report into the escape from HMP Maze in 1983) referred to as ‘conditioning’ as a kind of sinister secret weapon used only by paramilitaries. Many techniques exercised by mainstream prisoners in the USA have been described (Allen & Bosta, 1981; Kalinich & Pitcher, 1984). The area has also been examined in relation to the experiences of nursing and other staff in secure mental health services (Bowers, 2002), whilst the Ronnie Barker comedy series Porridge remains a favourite with many prison staff. As ‘conditioning’ has specific meanings in psychology it is perhaps better that this term is used to refer to specific techniques involved in, for example, creating complacency through use of routines or shaping ineffective searches through the selective use of reward and punishment; these would be examples of classical and operant conditioning, respectively. Other techniques discussed in the literature
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include exploitation of relationships, use of diversion and distraction (even deception!) and intimidation. This varied repertoire of seemingly universal techniques that presumably can be learned in a variety of ways suggests that ‘conditioning’ should be replaced by ‘manipulation’ as the generic term; this practice has been adopted by Bowers (2003). There are indications of a number of forms and episodes of successful manipulation in Woodcock’s exploration. Exclusion of staff from the exercise yard, effectively preventing movement of CCTV cameras, suspension of rub-down searches of visitors, securing attention by placing lines between cell windows, blocking windows in cell doors and placing drawn curtains over the window of the hobbies room (where escape equipment was made) were some of the outcomes. Another limitation of the ‘secret weapon’ idea is that it can cause a focus on techniques to the exclusion of contextual factors. Aspects such as confusion and demoralisation have been described above, and these appear to have provided fertile ground for successful manipulation that may by the end have come for many prisoners to be an automatic response to any obstacle to their interests. Other situational factors that worked in favour of the prisoners appear to have been the reduction of vigilance through boredom and monotony and pressure amongst the staff group itself not to upset the status quo. For example new members of staff who were supposed to monitor visits were told by colleagues to ‘sit down and not move about, as the prisoners don’t like it’ (Woodcock, 1994, 6.44, p.42). In terms of the model of the human performance system it is difficult to see what incentives staff had for doing their jobs as expected. Until the escape actually happened, their only encouragement and consolation would have been the belief that physical security meant that the SSU was escape-proof. Feedback gives information to performers about their performance and ‘tells a performer to change performance or to keep on performing the same way’ (Rummler & Brache, 1995, p.72). It should be relevant, accurate, timely, specific and easy to understand. Feedback is difficult to formulate in the absence of recognised standards or defensible norms. Management of the SSU seems to have been left almost entirely to one senior officer per shift. Higher grades may have been preoccupied with incidents and tensions elsewhere in the prison (there are precedents for this kind of process, for example in Hennessey’s report on the Maze escape). There is also a suggestion that they might have been manipulated into not setting foot on the unit by intensive lobbying every time they did. Combined with the lack of briefings, debriefings and other meetings it seems that little feedback was given. It should be apparent that the above factors hardly operate in isolation, and any attempt at improving such a state of affairs must be similarly multifaceted and mindful of contextual issues. There are aspects of a team-based approach that might be especially helpful, even necessary, in such circumstances (Needs & Capelin, 2004). There is also compatibility between the human performance system model outlined here and the operant approach to leadership and supervision propounded by Komaki (1998). The model cautions against regarding training as the only, or in some cases even a relevant solution to performance difficulties; and, while it often does have a part to play the other components of the human performance system should not be neglected if the benefits of training are to transfer and be maintained
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where they are needed. It should be emphasised, however, that the model is versatile and can be applied to any work setting, though the specific content will differ. For example, in secure mental health services the needs of different groups of patients present particular challenges (Davies, 2004) whilst any staff team working with personality disordered individuals can benefit from practice being informed by an awareness of unconsciousness mechanisms such as projection and splitting (Campling, 2004). Some processes can be widespread. Without effective support, the intimidation and violence commonly experienced by social workers in the field of child protection can lead almost inexorably towards helplessness and compliance (Ferguson, 2007).
Errors and Biases Unlike latent failures, active failures have almost immediate consequences (Reason, 1990). In Reason’s framework distinctions are made between ‘unsafe acts’ at the ‘sharp end’ on the basis of causal factors. Unsafe acts or active failures can be divided into errors and violations. An error is defined as ‘the failure of planned actions to achieve their desired goal’ (Reason, 2001, p.11) and involves a failure in the processing or availability of information. In this framework errors are divided into slips and lapses (failures in carrying out activities as planned due to failures in attention, behavioural output, perception or memory) and mistakes. In slips and lapses the plan is adequate but the execution is not. They usually occur during the performance of some routine task, usually in a familiar environment, as a result of distraction, preoccupation or a change in the plan or environment. Mistakes, by contrast, are failures of intention; the execution is adequate but the plan is insufficient to achieve its intended goal (due, for example, to poor judgement, knowledge or problem solving). Mistakes can arise when a change is needed to a current plan (i.e. when a problem is apparent). They can be divided into rule-based and knowledge-based varieties (Rasmussen, 1986). The former ‘derive from an inappropriate application of old solutions to a new situation’ (Hockey, 2002, p.29). It should be noted, however, that much of the time the application of old solutions is both economical and effective, if one is concerned with ways forward that are adequate rather than optimal. Events are likely to take a turn for the worse when the situation is actually rather different to the appraisal that was made, or when the appraisal was essentially accurate but the solution was inappropriate. Knowledge-based mistakes do not involve reaching for old solutions. Instead, they occur as the product of attempts to understand situations that are unfamiliar, unclear or still unfolding. Attempts to make sense of what one faces involve drawing upon elements of existing experience and understanding in the construction of a viable, working representation. At least some of this will involve conscious deliberation, rehearsal and imagination. While this is going on some automatic and well-worn ways of structuring meaning may be exerting a subtle but powerful influence (Reason, 2001). Much of the judgement and decision making that takes place in both everyday life and emergencies can be seen as channelled by these sorts of implicit matching (Skriver, Martin & Flin, 2004). However, cognitive shortcuts or rules of thumb that facilitate speed and economy of processing can
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also lead to systematic biases and errors (Tversky & Kahneman, 1974; Almond et al., 2008). Reason (1990, 2001) also distinguished between errors and violations. Violations are ‘deviations from safe operating practices, procedures, standards or rules’ (Reason, 2001, p.13). They occur in a social context and are linked to motivational problems such as low morale, poor supervision and a lack of incentives for desired performance. Opportunistic cutting of corners, indulging personal benefits such as the alleviation of boredom or the avoidance of onerous tasks, and setting aside rules and procedure that are seen as inappropriate are all recognised forms of violation. The previous section might be seen almost as a case study in violations, although it is one where full recognition would need to be given to the very active role of ‘hostile acts’ by prisoners. Latent failures were outlined earlier. A notable example of one such failure, the existence of inadequate systems for handling and communicating information, can be found in the report of the inquiry into the Soham murders (Bichard, 2004). It was also noted previously that latent failures make active failures more likely, as well as tending to amplify the consequences when active failures occur. Slips (such as pressing a wrong button) and lapses (such as forgetting to do something or failing to notice a critical change) are especially likely to occur on secondary tasks under conditions of high workload or environmental complexity where there is competition for cognitive-processing resources (Hockey, 2002). Environmental stressors such as noise can also lead to impairment on primary tasks that are not well learned, as reflected, for example, in the failures to take cover before firing back in a police marksmanship exercise found by Vrij and Barton (2004). Dror and Fraser-Mackenzie (2008) have examined mistakes in several areas of criminal justice in terms of cognitive biases. As Reason (2001) suggests, the most universal of these is confirmation bias. Once a conclusion has been reached (a conclusion that may itself be based on preconceptions) it becomes self-sustaining: people tend to gather further information that appears to confirm their ideas whilst ignoring or discounting evidence to the contrary. This bias can feed the tendency to overconfidence, underestimation and limited use of intelligence data noted above in command settings. It can be discerned in episodes such as the shooting of Jean Charles de Menezes, where the unwitting and innocent actions (such as running to catch a train) of the individual mistakenly suspected of being a suicide bomber came to be taken as proof of his identity and intentions. It can also be discerned in the erroneous conclusions drawn by fingerprint experts that nearly resulted in a miscarriage of justice in the case of an individual suspected of involvement in the Madrid train bombings in 2004, or the flawed statistical argument used by Professor Sir Roy Meadow in the Sally Clark cot deaths case (Dror & Fraser-Mackenzie, 2008). The latter authors note that such biases are likely to be exacerbated under conditions of time pressure and emotional arousal. Along with other hypothesised errors such as the representativeness heuristic (assuming similarity to a prototype however unlikely in terms of probability) and the Barnum effect (constructing a profile that could fit any number of people), confirmation bias has been seen as a possible process in the case brought against Colin Stagg, suspected of the murder of Rachel Nickell on Wimbledon Common in 1992 (Alison, 2008). It may conceivably have contributed to failure of psychiatrists to
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obtain corroborating evidence of lack of risk in the Christopher Clunis case of 1992 (see Prins, 1996). On the other hand it would be ironic indeed to fall into the trap of seeing confirmatory evidence of confirmation bias wherever one looks. Equally, however, the area of heuristics and biases generally is certainly one with which professionals who conduct risk assessments should be familiar. Aside from knowledge-based mistakes psychologists, in particular, should be wary of rule-based mistakes. In 1978 a riot occurred when psychologists in the prison in question, assiduously collecting data under the auspices of a model based on catastrophe theory, predicted that it would not. A primary reason was that the number of prisoners reporting sick was falling. This was presumed to indicate a state of relative well-being and lack of tension. When the riot occurred a major grievance was lack of confidence in medical provision, and this was the real reason for the fall in numbers. There are dangers in overreliance on a limited range of cues, particularly ones that can be inappropriate in certain circumstances. In this respect similarities might be drawn with the Boeing 727 that flew into a mountain in Tenerife in 1980. The ground proximity indicator, used to alert the crew to a danger of crashing, failed to sound. This was because the aircraft was passing over a small valley (Dixon, 1994). On the other hand this prison example might be taken as an argument for the importance of listening, integration and awareness of context rather than the operation of detached and impersonal systems.
Emergencies and Crises Both latent failures (usually an accumulation of these, distributed widely over the organisation and over time) and active failures interact with local events in the development of an emergency, crisis or catastrophe. Active failures can precipitate such an escalation by themselves, as at the Chernobyl nuclear power plant in 1986. Or the challenge can be initiated from without whether by natural hazard (such as extreme weather conditions), failure in another part of a system (as in many industrial accidents) or hostile acts (such as a military offensive). It was noted previously that local events in criminal justice settings often involve hostile, subversive or evasive acts. Much of the time local events are handled more or less effectively: sometimes very well, other times less so but still stopping short of a significant problem. Latent failures can be part of the organisational landscape and even active failures can often be absorbed. On many occasions what Reason (1990) has termed organisational defences (such as contingency plans, back-up systems, training and the availability of experienced and resourceful individuals) will be sufficient to deal with events. Sometimes, as mentioned earlier, defences are penetrated, even overwhelmed. This can be instigated by an unusual configuration of circumstances, but where defences are inadequate it is often due to latent failures (sometimes involving inflexible systems) or to active failures (such as failing to carry out a key procedure or role) that in effect disable the defences. Beliefs along the lines of ‘it couldn’t happen to me’, ‘I can’t see what the fuss is about’ may offer a degree of comfort and a sense of continuity in existence but they are no substitute for properly constituted defences. Ignoring unsettling possibilities
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can also help to avoid disruption, expenditure or loss of income, loss of face or panic – in the short term (see Dixon, 1994). Interestingly, many assumptions about ‘panic’ have little basis in fact (Simes, 1980). Responses to an emerging situation can be similarly inadequate and perhaps by now will be all too familiar. The authorities charged with formulating the response to Hurricane Katrina in 2005 exhibited a number of ‘psychological pathologies’ such as overconfidence, wishful thinking, insensitivity, bureaucratic complexity and conflict in the system, though part of this may have been due to a preoccupation with civil emergencies due to terrorism in the wake of 9/11 (Boin & McConnell, 2007). As the latter authors suggest, the abilities to respond and recover quickly are properties of a healthy system, and these were not shown. In the riot at Strangeways prison in 1990 a background of administrative disorganisation was entangled with a failure to shift to a more crisis-oriented style of management in the deteriorating circumstances that preceded the riot (Boin & Rattray, 2004). At this point it may be helpful to distinguish between different levels of adversity. A useful perspective was outlined by Borodzicz (2000). The perspective highlights that different forms of incident require different forms of preparation and response. ‘Emergencies’ are relatively predictable and circumscribed events where risks and parameters are readily apparent (such as a ‘normal’ fire in a block of flats). Emergencies can be, and need to be, brought under control by a rapid and highly structured response. ‘Crises’ are of a different order of complexity. They are ‘ill- structured’ situations, where there are poorly defined aspects, the effects of one’s actions may be unclear and there is a sense of threat to the core values of an organisation (see also Boin & McConnell, 2007). Crises make greater demands on assessment and require a flexible rather than a routine response. The main problem lies, of course, in distinguishing in practice between the two levels. Approaching a situation as a crisis rather than as an emergency might result in loss of time and missed opportunities for an early resolution. On the other hand approaching a potential crisis as an emergency – executing a highly structured response to an ill-structured situation – can create an example of a rule-based mistake such as the Waco siege in 1993 or the Dubrovka theatre siege in 2002. An additional problem is that crises can begin as emergencies, as at Hillsborough. Like Hillsborough, some escalate further into disasters if they are not successfully handled as crises. Whilst a disaster may be seen as a ‘crisis with a bad ending’ (Boin, 2005, p.163), part of the psychological impact of such occurrences is due to their overturning of a culturally- based sense of order and understanding, a sense of discontinuity with previous experience (Borodzicz, 2000; Boin & McConnell, 2007). This is not purely an academic point. A shattering of assumptions and dislocation of understanding can leave survivors and frontline workers numbed and searching for meaning; this creates a need for great sensitivity in any subsequent inquiry. For others a belief in the effectiveness and the integrity of the relevant systems must be defended at all costs, even if this involves blaming the victims. This certainly seems to have occurred following Hurricane Katrina (Napier et al., 2006). In one way or another, much of what has been touched upon in this chapter revolves around attempts to make sense of events in the face of challenges to understanding. Investigations as well as ‘command and control’ incidents typically involve
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situations that are ambiguous, complex and time pressured; they also occur in a context of accountability and a need to be mindful of any subsequent legal proceedings (Mullins, Alison & Crego, 2008; Punch & Markham, 2000). Either can usefully be seen as involving the application and refinement of mental models, sometimes punctuated only occasionally by a systematic evaluation of salient options of the sort that has been described and advocated by traditional decision theorists (March, 1997; Ormerod, Barrett & Taylor, 2005; Skriver et al., 2004). There seems no good reason for an almost exclusive emphasis on the latter style in relation to planning and training for emergency situations (Flin, 1996). This emphasis might be replaced by greater consideration of the style that is most appropriate to different stages of an incident or investigation and different levels of command (e.g. Gold, Silver and Bronze) (Mullins et al., 2008). Parallels might be drawn between decisions as rule-based actions or as rational choices (March, 1997) and the modes of engagement in social interaction referred to by Athay and Darley (1981) as ‘routinization’ and ‘contextualization’. These might be extended to Kelly’s (1955) idea of the ‘creativity cycle’ that involves cyclical movement between ‘pre-emption’ (committing to a particular interpretation and associated action) and ‘circumspection’ (weighing up all the alternatives). Problems arise when an individual fails to move as appropriate between the two modes, leading to either rigidity or indecision. Some decision makers are less tolerant of ambiguity than others. They are less likely to develop multiple models of situations and to either generate or accept challenges to a dominant view (Alison, 2008). Conditions of high demand can lead to single-minded pursuit of a primary task (Hockey, 2002). This may be adaptive, even screening out a conscious awareness of stress, but where multiple tasks and considerations are necessary it can lead to inappropriate preoccupations and being overtaken by events (Flin, 1996); ‘tunnel vision’ under stress has been implicated in a variety of forms of accident (Dixon, 1994). There is of course also scope for the heuristics and biases mentioned earlier. At the opposite pole to rigidity, some commanders appear to freeze, concern themselves with trivia or flit, in butterfly fashion, from one aspect of a problem to another (Charlton, 1992, cited in Flin, 1996). Some onshore managers have been felt by offshore installation managers to be more hindrance than help in the context of crises concerning oil platforms, for example questioning decisions from a position of ignorance of local conditions and not consulting on arrangements (Flin, 1996). The present author has experience of two incidents where lives were endangered by impatience from on high that the incidents were taking too long (i.e. hours) to resolve, despite the role of the time factor in strategy and the indications that the incidents were progressing to a peaceful conclusion. (The first needed prompt remedial action to restore dialogue after an illjudged tactic, the second was deflected by encouraging Silver to view the incident as a wonderful opportunity to test procedures and give the large numbers of personnel deployed some on-the-job training.) Being an administrator does not automatically prepare an individual for a command role in a serious incident, especially if frontline experience is now a distant memory. Inconsistent messages from ‘too many chiefs’ can also cause confusion (Whitfield, Alison & Crego, 2008). The importance of social influences on decision making in emergencies and crises needs to be emphasised. In addition to the groupthink, escalation of commitment and
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decision inertia mentioned earlier may seem out of place in professional contexts, but they will be familiar to many readers in organisational context and may have very profound effects. Picking up some points made about the influence of organisational context we may accept that unquestioning obedience to a leader’s decisions can be demanded by hierarchical structures (Dixon, 1994), that people can be concerned with potential blame or the prospect of damage to their career, even by an ethos of ‘watching their backs’, rivalries or lack of understanding with regard to other agencies (Eyre et al., 2008). We might even accept that sometimes decision makers surround themselves with advisors whose main function is to offer psychological support and validation of decisions rather than objectivity and critical evaluation (Frei, 1983). Sometimes, however, it is personal, as in the fear of confronting a forceful commander that contributed to the sinking of HMS Victoria in 1893, or the impatience and rivalries between particular individuals that contributed to the Charge of the Light Brigade in 1854. Returning to a more task-oriented perspective, it should be recognised that the social context of critical incidents usually involves one or more teams. Particularly in an extended episode, issues of communication, coordination and support in relation to teams are likely to be pressing concerns (Whitfield et al., 2008). Distortions of messages must be guarded against (Thompson, 1985), and there are always dangers in demoralisation and a sense of exclusion (Manning, 1991; Needs & Capelin, 2004). Agitation, aggression or becoming withdrawn are not unknown within ostensible teams in crisis situations (Flin, 1996), and there is little doubt that what some saw as indiscipline amongst control and restraint teams, however understandable, prolonged the Strangeways riot. Such reactions are not simply due to stress, or an affirmation of team spirit: the author (who was there as a stress counsellor) vividly remembers the sense of dislocation and invalidation felt by the Manchester staff. Maintaining a focus on tasks rather than emotions is another reason why it is vital that teams as well as individuals know their own roles and responsibilities, and also those of others; coordination and flexibility rather than confusion and fragmentation should be the order of the day. Devolved responsibility for particular functions can help structure a flexible response and prevent overload, whilst allowing for the formulation of situational models at command level from multiple sources (Flin, 1996). The benefits of well-functioning teams in reducing errors in medical and other settings have been emphasised by Firth-Cozens (2001). In view of some striking developments in research and training focused upon teams in emergency situations within fields such as aviation and the military (Flin, 1996; Paris, Salas & Cannon-Bowers, 1999) it is regrettable that some public-sector organisations have chosen to turn their backs on training in this area; but then that is the sort of thing this chapter has been about.
Conclusion Attempting to put things right is a rather two-dimensional business unless one knows how things can go wrong. It is recommended that consultants in criminal justice settings acquaint themselves with human and organisational fallibility in all its forms. This can be useful in a variety of roles, such as investigation and training. It can also
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enable them to be alert to pitfalls and other possibilities in ongoing episodes, and therefore to alert others and help them formulate an effective response. It might even make them wary of falling into certain types of aberration in their own judgements, decision making and working practices!
POSTSCRIPT Since writing this chapter an important addition to the field (Mears & Bacon, 2009) has been published. This paper identifies several types of decision-making errors (and associated systemic influences) that can occur in criminal justice settings; it draws parallels with medical decision making and highlights the importance of monitoring. On a separate note it is a sad fact that since the chapter was written there has been no shortage of further instances of human error and systemic failure in contexts of, or related to, criminal justice. These include the failures of child protection linked to the death of ‘Baby P’, allegations of inappropriate policing at the G20 protests, and most recently the misclassification of risk and failure to rearrest a violent offender that set the scene for the sadistic murder of two French students in London. As ever, analysis and action must go beyond scapegoats and platitudes.
Chapter Thirteen
Project Management: Towards More Effective Applied Psychology Roisin Hall and Donald Darroch
Psychology is enjoying a period of unprecedented popularity. To turn on the television or open a magazine is frequently to encounter a psychologist busy solving crime, taming unruly children or explaining how to improve the complex tangle of everyday life. No wonder that psychologists are often asked to provide advice in forensic settings and believe that they have much to offer. Yet, whilst applied psychologists may be trained to think of themselves as scientist practitioners, they are often given little guidance on how to translate their academic learning and research evidence into operational reality. Most experienced practitioners are only too well aware that there are significant challenges for applied psychology if it is to be truly effective in the real world. This chapter argues that the principles of strategic management and good governance are competences which psychologists need to embrace and suggests that the discipline of project management can address many of the obstacles and frustrations of applying psychology and turning vision into reality. The scientist–practitioner paradigm set the context in which the majority of present-day psychologists have trained. However, the model was essentially a training model and, as noted above, the translation to practice is not always straightforward. The disjunction between the research world and the realities of service delivery has challenged many psychologists working in the applied field. Debates have ensued regarding the validity of the traditional empirical approach to the manage-
Consultancy and Advising in Forensic Practice: Empirical and Practical Guidelines Edited by Carol A. Ireland and Martin J. Fisher © 2010 John Wiley & Sons, Ltd.
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ment of many psychological problems. New developments and approaches in psychology have posed questions about the nature of scientific knowledge and there has been a movement to a more creative, dynamic vision of the scientist–practitioner model (Lane & Corrie, 2006). In the applied setting there has also been scepticism as to how the model can be applied, given the varied operational constraints on practitioners which limit their opportunity to carry out traditional research (Rupp & Beal, 2007). Shapiro (2002) argued that the scientist–practitioner model is still valid, but that its application in the current applied field of psychology requires psychologists to integrate science with practice both conceptually and operationally; to develop new core competencies and to think at a strategic level about their application of psychological principles and findings in both the research and practice setting, engaging with other disciplines and with the organisational structures and policy setting in which they work. Some of the challenges to the effective application of psychology in organisational settings arise from the limitations associated with an individual focus. One is the predominance of the focus in forensic work, as in clinical psychology, on individual pathology, whether this is in assessment or treatment. Another is the well-defended concept of the professional autonomy of chartered psychologists, a concept which has challenged many a line manager, psychologist or otherwise. The preoccupation with the single case and an individualistic standpoint does not readily lend itself to the more systemic, strategic approach needed for generalising and managing best practice across organisational settings. Psychologists have often been attributed expert status and left to their own individual devices in moving from academic findings and theory to practical application. The result may be that the desired outcome of carefully applied specialist knowledge and skills is not fully realised, not because of any inherent weakness, but because systemic and contextual issues have been overlooked in the operational implementation. So, what skills can those working in the field of forensic psychology develop to manage all the relevant factors which determine effectiveness? A simple plan–do–review framework can oil the wheels remarkably and does not need to impose bureaucratic or unduly complex structures. The objective here is to illustrate how project management can be used to provide a framework for action planning and a process or guidelines for effective implementation, management and monitoring in applied psychology. Project management is nothing more or less than a formalised version of the problem solving and planning which people undertake on a regular basis in their own lives. Getting married, going travelling, and making a career move: the preparations for and the management of these events show remarkable parallels with the principles of project management. First, scope the situation and work out the benefits to see if they outweigh the costs and the risks before committing to a decision; then plan and monitor progress, and then spend a lifetime reviewing the merits or otherwise of your actions. In the work setting, as in our private lives, the management of projects cannot be separated from the management of the whole business. Many of those who work in the applied setting are familiar with a relatively reactive culture, sometimes not unlike crisis management, where the psychologist is called in to address an acute problem, or when things have gone wrong. In the Scottish Prison Service in the 1980s, there
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was a period of significant unrest characterised by hostage-taking situations and rooftop protests, (see Fisher & Ireland, Chapter Six of this volume for more detail). Psychologists were asked to help and there is no doubt that the introduction of psychological approaches contributed to the successful resolution of many of these situations. As a result, psychologists gained credibility and a new-found status. They were consequently asked to advise on the introduction of new procedures and staff training, and indeed eventually to introduce offending behaviour programmes and systems for the assessment and management of the risk posed by offenders, a more managed and proactive way of working. Over this period, psychologists found themselves part of a move to risk management at both the corporate and the individual level, as the culture in criminal justice moved from crisis management to a more proactive approach that sought to anticipate problems and to minimise their likelihood and impact. The move to more proactive management has not only necessitated change in the organisational cultures within which psychologists work, but has also challenged the competences of psychologists. Not many professional psychology training courses extend their professional skills course into detailed consideration of corporate management and governance, of business planning, or financial issues such as procurement, commissioning, budgeting and the field of audit and quality assurance. Yet the development of governance structures has had profound implications for corporate management and the organisations and systems in which psychologists work, whether these be an NHS or a custodial setting, or other areas of criminal justice. The way corporate risk registers are now constructed reflects the changing values in society from the dominance of scientific certainty to the development of a social construction of knowledge over the last two decades (Beck, 2002). The present culture embraces uncertainty and recognises that risk is not a finite entity but a set of interacting factors that have to be managed (Breakwell, 2007). It is no longer enough for psychologists to apply their academic knowledge, innovative ideas and expert skills to their work with the problems of individuals, for example to address serious sexual or violent behaviour or the effects of trauma on the behaviour of individual colleagues or clients. Psychologists can now find themselves asked to take responsibility for the introduction and effective operation of new initiatives and to translate their ideas into new ways of working which can be adopted by the organisation and by other disciplines and colleagues. Many practitioners have had to develop such competences on the job and whilst they may rejoice in some great breakthroughs for applied psychology, most would have to admit that it has been a steep learning curve and that they have not always been as effective or efficient as they would have liked. Many practitioners could have benefited greatly from learning and using a project management approach as part of a more strategic and structured approach that recognised the requirements of applying psychology in a systemic way. The principles of good governance, for example of transparency and accountability, are increasingly reflected in current approaches in the practical work of applied psychologists, such as forensic psychologists. Offender risk assessment has developed from the subjective and unstructured clinical approach criticised by Grove and Meehl (1996), through the actuarial approaches where static characteristics are used to make probability statements about re-offending, into an integrated, evidence-based
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framework taking account of a wide range of factors (Beech & Craig, 2007). Actuarial instruments are based on findings about groups of offenders and have inevitable limitations both in terms of predictive accuracy (Hart, Michie & Cooke, 2007) and risk management planning when they are applied to individuals. Vess (2008) argues that assessors need significant competences to structure a risk formulation which can take account of both actuarial assessment and dynamic risk factors and to communicate this in a way which can be understood by the courts. Vess (2008) notes that an overreliance on the actuarial approach or inaccurate assessment of whatever nature is an affront to the offender’s human rights. Instruments such as the HCR20 provide a structured professional judgement approach (Webster & Hucker, 2007), in which formulation and scenario planning require an objective, structured assessment of stable and acute dynamic, as well as static risk factors and an analysis of how these may interact in different situations to create different levels of probability and risk of harm (Risk Management Authority, 2006). Risk management has become a key objective in offender management in recent years, rather than risk assessment undertaken purely for its own sake and this has set new requirements for treatment approaches. These require formulation, action planning and multi-disciplinary, multimodal integration of planned packages of care and treatment (Risk Management Authority, 2007). Unstructured individual therapy may have a ‘feel good’ value for both parties, but unfortunately this does not appear to generalise to the desired outcome of a long-term reduction in offending behaviour and does not lend itself to the information sharing and multi-disciplinary collaboration required for effective risk management.
So What is Project Management and How Can it Help? There has been a great deal written about project management (Cook, 2005; Newton, 2006; Roberts, 2007) and there are a wealth of experts, courses, software and different project management tools to use, as any internet search will reveal. Project management can be as complex or as simple as you wish, or as the situation demands. For a major piece of work, or a multimillion pound contract, a detailed project plan will be required, with a nominated project manager probably reporting to a project board. But conversely, how can the principles of project management help if what you want to do is assess and manage the risk of harm posed by an individual? If, as many others, you like to simplify processes and procedures as much as possible and to cut down on the jargon and paperwork, then the simple phrase ‘plan– do–review’ may be just what is needed. This work may not be constrained by procurement processes, but keeping processes and procedures simple and straightforward will make the project management side of managing risk a bit easier. That is not to propose that things can be skipped, or vital steps missed out, but rather that the project management planning process can be adapted to suit the occasion. Depending on whom the assessment report is for or who will implement the risk management plan, there could be an approval process involved, possibly not for the assessment itself, but at least for some elements of the plan, which require, for instance, the commitment of resources.
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Project management can help to develop an idea or a proposal, gain necessary support or permissions, identify resource requirements, budgets, timescales, issues, risks, put in place quality controls, identify outcomes and evaluate and close the project. There are clear analogies between project management and risk management planning, particularly in the consideration of details on resources, early warning signs, contingency plans etc. The project manager’s role is to oversee the project, to make sure timescales, costs, resource demands etc. do not overrun, and that the ‘goods’ or outcomes being delivered are on time, within budget and of the appropriate quality. Contact has to be maintained with the other parties involved, contractors, colleagues, end users etc. Depending on the project this could be a full-time role or just a small part of the day job. In undertaking these activities in their work in offender assessment and management, for example, psychologists may have to work closely with other agencies. They will probably have a good deal of information that may be needed in order to corroborate or challenge the offender’s version of events. So, at different stages of the assessment process, ‘goods’ will be required from other people. Outcomes need to be defined and the type of risk assessment and management report will be specific to the situation. For example, a plan for sequencing interventions will be different to a report for the Parole Board. The customers will want to know whether the report was fit for purpose, what was the quality of the work, was it produced on time, and within budget. They will ask whether they would use the same psychologist again, would they recommend the quality of their work, or did they need to bring someone else in to complete the task? What lessons have been learned, do procedures need to be revised or new plans put in place? Reviewing outcomes will enable people to respond to issues as they develop, so it is not a process that takes place solely at the end of a project – there could be various stages with quality controls, checks, and interventions all related to outcomes at different stages. The ‘plan–do– review’ approach to the management of an offender is illustrated in Figure 13.1. The ‘planning’ stage involves the risk assessment process, formulation, scenario planning and the development of a risk management plan, including early warning signs and contingency planning. The ‘do’ part is all about the implementation of the plan, putting in place all the control measures, checks and balances – supervision, monitoring, intervention and victim safety planning. The agencies involved need to be able to respond to situations and changes that develop, e.g. evidence of changes in dynamic risk factors, protective factors or behaviour. This can be at both the ‘do’ stage of intervention, and during the ‘review’ process that again informs the planning stage, and so the cycle goes on. In terms of offender management, the development of a risk management plan does not mean that the project is complete. It has to be continually reviewed depending on new information coming to light as the plan is implemented. Are the protective factors still in place and are they working? Has the offender participated in any treatment programme, attended meetings, gained suitable employment or established pro-social relationships? What about the risk factors? What relationships are being built up, what activities is the offender involved with, any substance abuse? These all have an impact on the risk management plan and early warning signs and contingencies need to be built in. So unlike other projects where production of an outcome led to closure,
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Plan Information gathering/analysis Risk assessment Formulation Scenario planning Risk management plan
New information/behaviours Outcomes Review plan/control measures
Review
Do
Supervision Monitoring Victim safety planning Intervention
Figure 13.1 Project management principles used in offender risk management
the risk management plan is just an early part of the process in actually managing the offender. In terms of managing an offender, closure could be several years down the line when the risk of offending behaviour has been minimised to such an extent that it no longer needs to be managed by the various agencies involved. Conversely, the offender may breach some condition of their licence and be recalled to custody – even then the offender still has to be managed, but in a different setting. The quality control process in managing the offender should run through everything from corroborating information, the quality of information passed on to the case manager or other partners involved, the communication process itself, even down to the availability of contact telephone numbers amongst the risk management team, to knowing who is responsible or accountable for specific actions within the plan. Regular reviews are an essential part of the quality control process and all partners should realise the importance of their role in this. The principles behind project management should improve communication between agencies, make people accountable, put in place timescales, schedule reviews, provide the ability to react as early warning signs develop and contingency plans need to kick in. Figure 13.2 illustrates how this can be applied to the Multi Agency Public Protection Arrangements (MAPPA) process. The MAPPA process was established in the UK following the enactment of legislation in both England and Scotland concerning the risk assessment and management of violent and sexual offenders and others
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Risk assessment
Responding to change
Formulation
Collaborative working
Accommodation
Risk management strategies
Figure 13.2 The MAPPA process
who fall within the specified risk group. The legislation places responsibility on the police, prisons, criminal justice social work, local authorities, health and others to work together within the MAPPA framework. The legislation is supported by guidance documents and concordats signed by lead agencies, to inform and guide practice throughout the UK (Kemshall et al., 2005). Specific actions may be the responsibility of individual agencies, e.g. housing, but the management of the offender requires to be integrated across all the agencies involved in the MAPPA process. The coordination and management of this falls mostly on the role of the case manager from the lead authority with support from the MAPPA coordinator who has a key role to play in the administration and organisation underpinning the MAPPA process.
Could Project Management Principles Benefit Your Work? Projects are steps in the performance change of an organisation (Roberts, 2007). They may be big or small; discrete initiatives or part of a wider programme. Project management defines what is involved in a new piece of work and builds this into a structured framework to manage the work to achieve the desired outcome, change or ‘deliverable’, see Table 13.1. This should ensure agreement and progress on the following issues:
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Table 13.1 Characteristics of an effective project A project requires
To be effective, a project should deliver
• • • • • • •
Well-specified and agreed objectives Clearly defined start and end dates A planned budget The ability to draw on a wide range of resources in and beyond the organisation The input of different people at different times To specification On time On budget
What outcome is required? Why is this necessary? Who will do what? How it will be done? When must the outcome (and the interim milestones) be delivered? What will be delivered for each milestone? What will this cost in terms of resources: money, delivery and staff time?
How is Project Management Different from Business as Usual? Some work activities occur on a regular, repeated basis. These may be activities that are necessary to keep the job ticking over, for example financial management or staff development. Or they may be the routine delivery of services that have been previously agreed. These are often described as the ‘ongoing’ activities in a business plan. Examples might be staff supervision, or the provision of an advisory service to managers or a prison mental health team on individual cases. Another might be the regular delivery of a well-established offending behaviour programme. This routine work is the familiar ‘business as usual’. A project, by contrast, is a discrete piece of work which has a defined product or deliverable. The desired outcome is an effective change, which seeks to meet the specification, and adds value to the organisation and the service it provides. Examples might be the introduction of a new offending behaviour programme, the provision of a training exercise or a research project, or the setting up of a multi disciplinary information-sharing group for the different agencies involved in offender management. There may also be activities which fall under the heading of business as usual which will also benefit from some aspects of the forward planning and structured framework of project management. A seminar or conference is an example where the deliverable may be the generic development of best practice rather than one which constitutes discrete organisational change, but it will nevertheless benefit from effective event management which shares many of the principles of project management. As noted in the examples given above of risk management, there may also be some
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types of work with individuals where the principles of a structured project management approach can increase effectiveness.
How to Sell Project Management to the Team? The team may ask whether all this is not just about common sense and getting organised. No one likes being told how to do their job and there are often objections to introducing the principles of project management to busy work schedules. Doubts which are often voiced about the introduction of project management may arise in a number of ways, but each can be outweighed by the benefits, see Table 13.2. From the organisational perspective, resistance may occur when project management is imposed from on high. Some psychologists may argue that their team’s limited budgetary resources and marginal place in the organisation’s power hierarchy make it difficult and somewhat irrelevant for them to concern themselves with corporate governance and to carry out complex processes to demonstrate accountability. In the situation where the project manager is brought in from outside or from another part of the organisation to manage a psychology project, a power struggle may develop with complaints from staff of bureaucratic interference and a concern that the wrong people are being placed in the driving seat. Accountability for process may again be rejected because it is claimed that those without the appropriate specialist knowledge and skills are making decisions and designing the regulations. Rather than pursue a separatist existence, psychologists need to always ensure they build a healthy relationship with their organisational management and earn their say in the decisionmaking process. At a more practical level, many practitioners may object that they are already too busy and that project management will just create a lot of extra work and form filling. They may argue that their current priorities do not include introducing new systems
Table 13.2 The benefits of project management Organisational
Practical
Philosophical
Objectives are specified and operationally defined Milestones provide a common understanding on progress Transparent processes enable monitoring Corporate risks are identified and managed Quality controls are built in Changes are authorised and recorded Costs unlikely to go over budget unnoticed Standard information recording reduces duplicated effort Clarity of procedures prevents confusion and stress Defined lines of authority, responsibility and accountability Prevents unmanaged change Frees people up, enables richer shared input Enables customer and supplier participation which encourages motivation, understanding and information flow
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and will find it hard to recognise the benefits which project management can bring by providing templates and organising information in a way which can be easily accessible and shared, thus freeing them for other work, as well as recording their achievements. All staff need to understand how the form filling and record keeping can make a vital contribution to successful and well-recognised outcomes by enabling effective monitoring, review and information management. The principles of motivational psychology can improve compliance when people realise how the use of templates and records cut the aggravation and stress of searching for information and how impressed and appreciative their managers and users are when this can be supplied efficiently.
Defining the Principles of Project Management The path to successful project management has a number of steps. Many of these will seem very familiar, drawn as they are from psychological research on topics such as problem solving, decision-making and organisational management. An all too common experience is to witness initiatives where failure to think through the necessary processes and to pay due attention to the steps of the implementation process have led to things going wrong or being omitted and the initiatives suffering or even crashing as a result. This is unfortunate not just because of the failed outcome, the lost opportunity to improve efficiency and effectiveness and the wasted effort and costs; but because of the loss of morale, recriminations and reputational damage which can be associated with poor outcomes. In the early days of NHS quality assurance monitoring, data returns were imposed by management on practitioners without adequate training or explanation. This increased anxiety rather than motivation and returns were either not made, or were full of errors. It should not be considered surprising then that the results were meaningless and that the system took years to be accepted. Project management can avoid such problems by providing a clear framework and due consideration of process at each stage and each step will pay dividends.
Stage one: Plan The secret of good project management is planning. The more comprehensive the planning, the more easily the project will run and the higher the chance of an effective outcome.
Step 1: Check that the organisational environment is geared up for a project management approach The senior management in an organisation and the bodies to which it is accountable should recognise that they will be required to promote, endorse and maintain a systemised approach and that they may be required to play an active part as project
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sponsors and owners. The most common project management system used by government bodies in this country is the methodology of Prince 2 (Bentley, 2001). Many public organisations have trained their staff in this approach, but there has not always been the will to ensure that the principles are adopted as part of everyday practice and that staff develop project management competences which go beyond textbook knowledge. As with the introduction of any new approach, mentoring, onthe-job coaching and supervision are important to help the training to generalise to real projects. It is important to remember that success will come from following the basic principles and the structured process, rather than a software system per se. Many software systems are very clever – and equally expensive – but if people do not use them properly they will be worse than useless. The organisational culture should be taken into account, and in order to enable a supportive culture, it is important to give staff at all levels a basic understanding of project management principles and some awareness training as to the implications for their own roles and responsibilities, even though they may never be asked to act as a project manager. At the strategic and senior management level, project management should be set in the context of programme management, as typically a number of projects will have to be juggled against each other and the demands of business as usual. Usually each sector or department in an organisation will identify its business objectives and set out a plan consisting of business as usual plus some projects. This can be inefficient where there are interdependencies and duplication of projects. It may be preferable to consider projects at the level of organisational targets and manage them as part of the overall business programme, but this may require some organisational change and restructuring. The use of portfolio or programme management to enable the overall management of competing priorities is a necessary adjunct to project management and enables the organisation to have a coherent management strategy. For example, the concepts and practice of offender risk management may have developed in individual psychology departments in particular organisations, but they have relevance in and across the different agencies and professions working with offenders. Projects in this field need to be managed as an integrated programme and, whilst the need for new approaches may be identified in one part of the system, the project may best be managed elsewhere. In Scotland, the Risk Management Authority (RMA) is working closely with the Scottish Government and the different criminal justice and mental health agencies to set up common systems and integrated approaches for interagency working with serious offenders. This has the twofold benefit of improving information sharing and effective management and also reduces duplicated effort and costs. Some of these shared initiatives are managed by the RMA, some by the Scottish Government. Similarly, the introduction of a new approach usually requires the management of a programme consisting of a number of projects which may be individually managed by different groups. The introduction of a suite of offending behaviour programmes, whether in the custodial or community setting, is one such example. Following the meta-analyses which demonstrated that rehabilitation could be effective and the achievements of the ‘what works’ movement (Losel & Schmucker 2005; Andrews & Bonta, 2007), psychologists were often responsible for the introduction of structured group work programmes in custodial and secure
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environments and in the community (McGuire, 2002). Initially the prime focus was on the validity of the individual programme, whether for thinking skills, sex offending, drug abuse or violent behaviour. However, experience demonstrated that even the most psychologically sophisticated programme could not be effective if it was not presented in a supportive context. Problems began to emerge in implementation, with professional rivalry and arguments about ownership and authority. A reduction in treatment effect was noted in some instances, and contributory factors included inappropriate selection methods and corners being cut in implementation. These were often due to pressure from other organisational objectives, such as performance targets. These issues eventually led to the recognition that the parent organisations had to accept responsibility for overseeing and resourcing the organisational and cultural change that would allow the successful implementation of the new approach. This went beyond projects on particular treatment programmes to the introduction of a new approach with many component parts. The overall programme management needed to include projects to set up accreditation and approval processes, to provide the evaluation and outcome studies, or to look at the wider resourcing, timetabling and interagency cooperation required. It also needed to ensure that staff not directly involved in treatment programmes support the work to help offenders to generalise the learning which they had made in the treatment group. Finally it needed to address the sequencing of behaviour change programmes to develop a seamless transition in offender management from custody to the community. The introduction of the National Offender Management Service in England and Wales and the National Advisory Body on Offender Management in Scotland are examples of attempts to ensure that the different agencies are working to a strategic and integrated approach to programme management.
Step 2: Agree what is wanted and why So, it’s a great idea. A new approach is needed to improve practice and you think you have the solution. Can project management be used to ensure its success? It is important to remember that project management is a tool, not a magic wand. It will facilitate the implementation of a new approach, but if that new approach is inappropriate or flawed, no amount of good implementation will secure the desired outcome. Therefore, even before work starts on the project initiation steps, first must come the basic best practice steps of ensuring that the idea has a sound evidence base and of carrying out a contextual analysis and scoping of the existing demand. Look at how the potential project fits the wider programme for the team and their organisation, their strategic objectives, their business plan, as discussed above. Can the proposal compete with the other priorities? Can it be demonstrated that the project will benefit your managers and their managers and political masters? In the forensic setting psychologists may be able to offer an outcome which will contribute to reduce offending or to improve detection, to help in decision making and sentencing. In a rapidly developing field, make sure that you are right up to date on the research findings and use the internet and other networks to complement your understanding of what others are doing in this area before getting into the project itself. Just as a
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research proposal may evolve significantly from the time of the initial idea to the written proposal, so an important factor in the success of a project will be the exploratory work done at this preliminary stage.
Step 3: Sell the project Project management requires the development of sales skills and learning how to pitch for the right sponsor. In seeking an appropriate source to commission the project, look for a sponsor with authority as well as money. To ensure the viability of the project you not only need to access resources but to engage the sponsors, stakeholders and potential users and convince them to agree to support the idea from the development and implementation stage right through to using the final product. Think through the membership of the target audience and their respective interests and power base at an early stage, as their characteristics will influence how to present the business case and whom you will want to act as the project sponsor. The key task at this stage is to write the business case, see Table 13.3. This will be an outline proposal which justifies the project to managers and sponsors alike. It will include a specification of the proposed actions and what the outcome will be, what benefits this outcome will bring and what the requirements are. It does not need to be much more than a page, as much of the information should already have been discussed with the sponsors and any necessary background information can be provided as an appendix. Now to sell the case to the organisation in which you wish to implement the change. Maybe this is a government department, another agency, or your own unit. The target audience may be an NHS board of directors, a prison governor, a chief
Table 13.3 Project outline or business case Current owner Stakeholders Title Objective Related projects Benefits Key products Timescale Resources and costs for start up and implementation stages Resources and costs for roll out of delivery Risks
Who is currently responsible, or driving the idea? Who are the interested parties? Name of the project? Why is this needed? Fit with other parts of the business programme? Planned outcome and justification? What will the project deliver? How long will this take, what will be the key stages and their timeline? Financial and human resource implications? Financial and human resource implications? What may go wrong and what can be done to manage this?
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probation officer or the programme managers in your own organisation. Whilst only one sponsor is needed, discussing the plans with a range of stakeholders and convincing them of the benefits of the project will encourage them to provide support for the case which will improve the chances of getting the project authorised, sponsored and resourced. It will probably also provide useful new perspectives which will sharpen up the proposal and make for a better project. However, be careful not to let the project get taken over or modified by other people’s agendas. In the example of the prisoner programme movement above, the suggestion that the outcomes might reduce the recidivism rate was very attractive to managers and their masters, but recidivism is a risky target as inevitably the rates and reoffending behaviour itself are influenced by many factors. It may be more convincing to argue that the outcome of the project may be a demonstrable behaviour change, which can contribute to the higher order goal of reducing reoffending (Friendship, Falshaw & Beech, 2003). When selling the project, be alert for the possibility that the goals of the sponsors may unduly influence the outcomes. The integrity of prisoner programmes in Her Majesty’s Prison Service, England and Wales and in the Scottish Prison Service were threatened by the attraction to managers needing ammunition for key performance indicators and targets. The consequent danger was that the focus would move from outcome to output and the ‘numbers through’ would become more important than careful targeting and implementation (for a further explication see Dale, Chapter Nine, this volume). Formal authorisation of the commissioning of a project is important. Memories can be short and allegiances may change, so a written project outline and a cover paper, which can be signed off and/or minuted as approved, are very worthwhile to have when questions or obstacles are raised at a later stage.
Step 4: Initiate the project The project has been commissioned: now what happens? The planning which translates the sponsored business case into operational reality is essential to provide a secure framework and there are a number of tasks which will pay dividends if undertaken at this stage before the project is set in motion. Completion of these tasks will enable the project manager to draw up the project initiation document (PID) or work plan and to submit this to the sponsor and steering group for the formal authorisation required before the project goes ahead. Essentially the PID will require more in-depth scoping of the potential for the project and a fuller statement of what it is intended to achieve. Outcomes will need operational definitions and more detail will be expected on quality assurance, change controls and risk management. This work plan will be an important reference point and once completed should be formally authorised and recorded by the sponsor. The first task is for the project sponsor to formalise the appointment of the project manager. Often this may be the original owner of the idea or one of their staff. Next, a project steering group should be set up consisting of the key stakeholders. These stakeholders will represent the interest of the different groups implicated in the project,
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for example, expert advisors, suppliers and users; each may head up small subgroups of like interests. Consolidation and expansion of the business case is also crucial at this stage, particularly in terms of the specifications. The issue here is to produce operational definitions and specifications for the desired outcomes and products which are true to the original objectives and requirements of the business case and are robust enough to mean the same thing to all those who are using them. Both process and outcomes should be as tightly defined as possible, just as in a research proposal. If the outcome desired is a reduction on violent behaviour, what is actually meant? Is it about lack of anger control, or instrumental or extreme violence? Is the intended target population to be teenagers with knives, sex offenders, perpetrators of domestic abuse, male or female offenders? Now is also the time to clarify who does what, the different roles and responsibilities and levels of decision-making, accountability and responsibility. The project sponsor as the owner will hold organisational accountability and, hopefully, will act as an ambassador for the project. The project manager will hold responsibility for the project and will be accountable to the sponsor for managing the project processes to achieve the desired outcome. There will also be a wide range of stakeholders, from those who commission and finance, those who implement, right through to those who will use the end product. Some of the stakeholders with whom the initial idea was discussed may usefully be represented on the project board or steering group. The group might include a representative from the supplier(s), one or more representatives of the potential users and an expert advisor. The group itself should be small to enable efficiency and should reach clear agreement as to its remit. Good relations should also be maintained with the wider group of stakeholders. This may be a diverse group which includes those who may benefit or those who may lose out as a result of the project; those whose participation and support are essential and of immediate use and those whose interest is long term, or even those potential allies who are initially suspicious about the aims of the project. It is important to map the positions taken by the individual stakeholders and what their expectations will be. In the prison setting, failure to engage and reassure prison officers of their role in the early days of prisoner programmes led to some hostility to the programmes and a culture which was not conducive to prisoners practising their new learning or generalising it from the group setting. Communication about the project should also be planned before the start to ensure continuous engagement and to reduce confusion. Never assume that others know what you are doing and why. Communication can vary from briefings for management and staff; progress meetings with the project steering group and team to the use of newsletters and websites for a wider audience. The planning of realistic timelines is important. This involves not only setting target dates for the delivery of products and outcomes, but also breaking the progress down into key milestones for the intermediate deliverables and providing a timetable or schedule, for example a Gantt chart. This is a tool which can be used to transform a task list into a chart which shows when each task should start and finish, in what order the tasks need to be carried out and which tasks overlap, or are inter dependent. This not only enables planning and monitoring of progress but also provides information for when and what resources are needed. Software is available for building and
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managing Gantt charts (Microsoft Project, 2007), although many project managers prefer to design their own using an Excel spreadsheet. Target dates will make a prompt start more likely, which enables resources and interest to be engaged before they disappear; targets also prevent projects running on and blurring into other business and will enable monitoring which can flag up potential problems where remedial action or change control may be needed. It is important to be realistic about how long different activities will take. A training programme may be scheduled for a week but remember to allow sufficient time for all the associated work, such as preparation of materials and the inevitably lengthy negotiations with managers about staff attendance. In addition to progress reports on deliverables, other key activity dates should also be scheduled at the outset. These include the launch, the regular steering group meetings, reports and events for the stakeholders and the project review meetings. Quality assurance measures should also be planned before the start, such as methods for monitoring how accurately the project is in meeting its objectives; how closely targets for time and costs are being observed; what security provisions have been made; and how compatible, maintainable and flexible the outcome product will be in the operational world. A system of change control should be set up so that any changes required can be noted and recorded. Projects should further have a risk register which assesses what may go wrong, its probability and impact and notes contingency planning and countermeasures. The PID should summarise these considerations and the planned actions. It should then be formally authorised by the sponsor and distributed to the steering group and key stakeholders, before checking you are ready to move to the next stage (Table 13.4).
Stage two: Do This stage is about managing the work and keeping control of all the different activities required for an effective outcome.
Step 5: Keep an eye on progress. The project manager is responsible for the progress of the project. This involves delivering on time, so make sure that you are familiar with the timelines which have been
Table 13.4 Ready for action go? Business case formally endorsed? Project sponsor in place? Project manager in place? Stakeholder roles identified? Product or outcome defined? Work plan, PID completed, approved and signed off?
YES/NO YES/NO YES/NO YES/NO YES/NO YES/NO
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set and arrange triggers to remind you to check progress against these on a frequent basis. It is important not just to check progress when a milestone is approaching. Failure to do so on an ongoing basis may result in slippage being overlooked and only noticed at the milestone report, when it may be too late to remedy problems which could have been rectified. Checking progress means ensuring that even the most obvious activities are taking place at the right time. Sometimes the complexities of the procurement process delay the start of a research project and the signing of contracts becomes the most important goal. The result can be that, once this is achieved, people pause to rest on their laurels, reflect on the comfort zone that they find themselves in, and neglect to move quickly to start the real project work. Furthermore, if the timelines prove to be unrealistic, this should be raised as an issue and addressed as early as possible. Credibility is threatened when projects do not deliver on time. If progress is slow, it can be useful to see whether alternative ways of working, reordering or reallocating tasks will help the team to work more effectively before asking for changes to the timelines which should only be done for very good and well- evidenced reasons, see the discussion on change control, below. Monitoring progress also requires ensuring that the content of the interim outputs is in line with the objectives of the project and does not indicate a drift into other agendas. As the project proceeds, the team and customers may suggest related work which they feel would enhance the product. Change control is crucial to project management and any potential to stray from the original specification should be identified and flagged up as an issue for consideration. This is where the value of a clear and well-defined specification and project plan becomes apparent.
Step 6: Update the risk management register and the issue log Risk is not just about reoffending and the concept of corporate risk will be familiar to anyone who has experience of business planning and management. The harm which needs to be managed may include immediate threats such as the potential for costs to go above the budget allowed, deadlines to be missed, resources lost or drift from the specified objectives. This may also lead to higher level or resultant threats such as poor outcomes and loss of business confidence or credibility, team morale and commitment. Risk management is about monitoring issues as they arise before they turn into high risks. Having said this, it is important not to be paralysed by the idea of risk: as anything worth doing will hold a degree of risk and, in learning how to manage this, a better product may be achieved. It is advisable to log problems when they occur in an ‘issues log’ and to note the risk that they may pose to the project. As noted earlier, each risk should be accompanied by a record of how different contingencies will be managed. The similarities with the formulation of risk factors and scenario planning for offender risk management plans are no coincidence. Once an issue is resolved or contained, this should be recorded and the risk log updated. An example of a common issue can be difficulty in ensuring adequate commitment from others. If this is noted, it can be addressed by increasing effort on communication and negotiation to deal with it before it reaches the level of a risk which threatens the product or outcome.
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Monitor the risks identified on the risk register, noting any changes in level and ensuring that the contingency management measures are working. A risk faced by many projects is that key personnel will change, for example staff may be promoted, leave or transferred and crucial competences and experience lost as a result. Managing this contingency could include prior agreements about staff retention over the period of the project, ensuring that you have alternative resources and that you will be told of potential changes in time to make replacements. Good communications will help so that information can be shared at an early stage and the project manager can enlist the help of others to advise, help out and lend a sense of perspective. Note the actions taken and any changes made to the project plan as a result of the ongoing risk management and record any lessons learnt.
Step 7: Manage and record all changes to the plan One of the most useful features of project management is that it provides a framework and boundaries, a discipline by which a piece of work can be organised. Once the plans have been agreed, the expectation is that these will be followed. A common problem, however, for the project manager is to patrol the boundaries to deal with all the bright ideas and additions that the team may wish to add. Enthusiastic team members will often argue that it only makes sense to take just a little longer, incur just a few more costs in order to get the ultimate quality product. An argument may be made to add to the sample size to increase reliability, or to fit in an extra customer because of the popularity of the project. Or there may be the issues of timelines or resources given as examples above. The project manager has to decide whether change is justified, or whether in fact the suggestions and proposed changes could cause a drift in the project or a redefinition of the outcomes. This requires a process called change control, and before any proposed changes are submitted to the sponsor or the steering group for approval the questions in Table 13.5 must be answered. All extras have some cost, so changes need to be recorded as soon as they are requested and given an identifier or number. Changes should not be put into action until they have been assessed and, if agreed, the actions approved. Otherwise costs and timing will spiral out of control and the resultant chaos will sow dissension, ruin morale and threaten the project outcome.
Table 13.5 The change control questions What is the change? When did it appear? What will be affected? What will be the impact on cost? What will be the impact on time? Who will pay? Who needs to be consulted?
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Step 8: Manage the technical aspects The role of the project manager at this stage is largely that of an overseer and coordinator. Many applied psychologists are accustomed to working autonomously and may find that their active scientist–practitioner role is challenged by having to ensure a good result from the work of other people, rather than to be able to do it themselves. There should be little need for the project manger to be involved in the technical details which should be delegated by the project manager to the supplier or the experts. The challenge for the project manager is to ensure that the specification is accurate, well defined and clear so that there is no need for corrective interference. The team will in any case find it unhelpful if they are not trusted to get on with their tasks by themselves and will quickly become confused or discouraged, or both, if they perceive interference. There is sometimes a danger that the project manager may get overly involved in the details, especially if the project is close to their area of interest, with the resulting risk that not enough attention is given to managing or driving the project to meet the progress targets and to monitor timelines and cost.
Step 9: Manage the team Managing the team members may also challenge the psychologist’s customary way of working. Managing a project is first and foremost about achieving the desired outcome; it is not about providing personal growth experiences for the rest of the team. Clarity of direction and a robust approach to targets are required and, if handled appropriately, will prevent the types of situation which lead to team tensions. The change control process can be used for objective discussion and to air issues. It is advisable to ensure that there is a range of opportunities and project meetings where the team can safely raise issues and seek feedback with the project manager and each other, whilst not forgetting the framework within which they are working. Project work may often have a high profile within an organisation, with reputations resting on a good outcome. At the same time it can be frustrating and sometimes hard to keep up the momentum. Briefings and team meetings are useful not only to manage the work and any conflicts which may be arising, but also to maintain morale and recognise the interim progress achieved.
Step 10: Communicate progress It is worth remembering that however important the project may be to the project team, it will be only one of many concerns for the stakeholders and customers. Remember too, that good practice is often less noticeable than crisis management, so do not assume that the achievements will always be noticed by the world outside. It is important to make sure that all interested parties are regularly updated on the progress of the project for a number of reasons. Firstly, communication about progress is important for customer relationships. There is a need to cultivate users and custom-
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ers and maintain a continuous dialogue and feedback process. They are the target audience and their commitment and active cooperation should be maintained throughout the project and potentially for further work in the future. Newsletters, websites and events all have their place here. It is also valuable for the project team to hear that the outside world knows and hopefully appreciates what they are doing. Discovering that their carefully constructed manuals are gathering dust in a client’s office is not good for team morale or for the progress of the project and requires immediate action. For business purposes for the team and the project board, steering group and customers, progress reports can consist of standard templates which show current status and are simple to update and monitor. These should be produced to the schedule agreed in the work plan. Regular meetings are important to enable monitoring of progress, positive feedback and discussion of any changes required. These meetings do not need to be frequent but they should be planned ahead and they should have a formal status with agenda and papers sent out a week ahead. It is imperative to keep to the agenda and circulate the minutes and action list to all members of the group.
Step 11: Close the project Finally, there is a finished product and the sponsor and steering group are satisfied that it can be used. This is not, however, quite the end because the product now needs to be delivered to the intended users and the project team should test out that it works as intended and provide any help and support which the users require to make the product work effectively and efficiently. Handover is a delicate operation which involves ensuring that the customer is ready to take over and will take full responsibility for taking on and operating the product. The specification should have included training and piloting the use of the product by the customer, so it is useful to limit the project team’s involvement at this stage to an advisory role and to define the period for which such advice will be available. If further work is required, agree to commission a new project. A formal closure, with a written paper or report including customer feedback, is important to prevent the project drifting on into new areas which have not been fully scoped, commissioned or resourced. Team members should recognise that their involvement finishes with the closure of the project. Ongoing unfinished business will have a spiralling cost and can be counterproductive. When previous members of the project team continue to work on and to tweak the product after closure, even with the best of intentions, this can be at the expense both of their own new duties and of the integrity of the product. For example, in a project in which a new assessment method was introduced for use by the police, anxieties were raised by some members of the police as to their competence after the closure of the project. These were dealt with by suggesting a further training project, rather than by attempting to provide individual coaching or an extension of the original project to alter the product.
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Stage three: Review The final review is an essential part of a good project. This stage involves identifying and addressing any unresolved issues and loose ends and ensuring that the project outcomes are appropriately shared and recognised.
Step 12: Debrief and review the project Internally there should be a full debriefing and consideration of the lessons learned, what problems were identified and how they were dealt with, what went well and what could have been done differently. The project board and the project team members will welcome the opportunity to air their views, especially whilst these are still fresh in their mind. An objective analysis will provide indicators for further projects which may be needed and highlight any areas where methodology needs to be amended. A formal review of the benefits achieved by the project should be scheduled into the plan for an appropriate date. This will include taking feedback from the full range of stakeholders and customers and it may be useful to use an independent agency to carry out this review. One point to bear in mind is the need to allow sufficient time for any benefits to materialise and to be recognised and to check whether the perceived benefits outlive the ‘honeymoon period’ and are not due to a halo effect.
Step 13: Celebrate and publicise the outcome All involved, from the project team members to the user and supplier groups should be congratulated on their specific contribution. The achievements should be made known to those who commissioned the project, to those who will benefit and to a wider interested audience. A newsletter and an event such as a launch or conference may be helpful to do this and will also provide a public recognition of the work and effort involved. The project and the issues which it has raised could be written up in a paper for publication and submitted to an academic journal, a BPS publication such as Forensic Update or the house journals of the relevant stakeholders.
Conclusion This chapter has extended beyond the bare bones of project management to include considerations of the wider strategic context and the organisational issues which need to be addressed when the principles are to be delivered in an applied setting. The plan–do–review model of project management described above can be simple or complex. In either case, it provides a framework or routine which well repays the initial effort, will be of benefit to the work and will add to the understanding and appreciation of the sponsors and stakeholders. Whilst psychologists may decide that some of the detailed and highly technical software systems are not always
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essential or appropriate, the use of the basic principles of project management will achieve more effective outcomes and save time and energy. The challenge of effective applied psychology is how to use a professional grasp of wider psychological principles to ensure the best outcomes from each speciality. The examples given show how project management, building on these principles, can be utilised in the forensic setting.
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Index
Note: Italic page numbers denote illustrations. action learning 42, 132, 194 active failures 205–6 active listening 10–12 step in negotiation process 99–101 actuarial risk assessment 222–3 adult learners 47–8 adverse events 203–7 advertising consultancy services, ethical issues 60–1 Agle, B.R. 22 Alban-Metcalfe, J. 126 Alimo-Metcalfe, B. 126 allegations, reporting as facts 115 Alonso-Quecuty, M. 88 Anderson, R.C. 76 Andrews, R.C. 65 Anscombe, J. 126 Argyris, C. 18, 188–9 assessment, ethical issues in 54–9 Athay, M. 217 ‘atomisation’ 31 Attica Prison incident 92 attrition tactics, negotiation 103 audit practices difference from inspection 164 treatment programmes 65, 66 work-related stress 153–4 autonomy and control of client 9–10, 26, 29 Avolio, B. 126 awareness, consultant skill 6–7
Barker, R. 125 Barker, S. 125 Bartel, A.P. 156–7 Barton, J. 214 Bass, B. 126 Bateman, T. 129 Bee, F. 50, 184 Bee, R. 50, 184 behavioural change 123–4 negotiation process 102 practical intervention framework 137–41 theories of 124–5 theory-based intervention strategy 125–36 behavioural change stairway model (BCSM) 99–100 behavioural influence stairway model (BISM) 99–100, 102, 104, 107 behavioural perspective on learning 43–4 Bellvue Hospital case (1900) 120–1 Belschak, F. 128 Bennis, W. 126 Benson, J.K. 47 Berger, P.L. 47 Beslan School crisis 93 biases and errors 213–15 Block, S. 133 Boag, D. 95, 103 Bonta, J. 65 Borders, L.D. 6 Borodzicz, E.P. 216
266
INDEX
boundaries of an organisation 22–6 in relationships with clients 63 Bowers, L. 212 Brache, A.P. 209–10 ‘brain storming’ 14–15 British Psychological Society (BPS) Code of Ethics and Conduct 52–3, 56, 61, 65, 105, 179 expert witness guidelines 59 Bryans, S. 208 Buckley, R. 38, 50, 187 Campbell, J. 142 Caple, J. 38, 50, 187 career-oriented commitment 133–4 change, organisational see organisational change change perspective instruction, cognitive interview 76 Cherry, S. 157 Child Exploitation Online Protection (CEOP) Centre 124 Civil Procedure Rules (CPR) 108 practice direction on report presentation 114 Clark, M. 126 Clarke, C. 83–4 client-consultant relationship, development of 10–12, 18 in a crisis situation 95 closed questions to detect dishonesty 119–20 Clutterbuck, D. 42 coaching 42, 133, 141, 194 Cockman, P. 22 Code of Ethics and Conduct (BPS, 2006) 52, 53, 56, 61, 65, 105 cognitive biases 214–15 cognitive hurdles, change promotion 30 cognitive interview (CI) 71–2 advice for consultants 89–90 evaluations of 80–5 police investigations importance of witnesses to 72–4 management of witnesses 85–9 technique of 74–80
cognitive learning 44–6 Cohen, J. 149–50 ‘cold spots’, resources 30 commitment ‘foci/targets’ career 133–4 occupational 132–3 measuring 134–6 and personal initiative 128–9 competence(s) BPS Code of Ethics 52, 106 consultant role 5–7 criteria for 59 review of employee 185–6, 187 working within areas of 56, 116, 120 complaints 30, 53 conditioned learning 44 ‘conditioning’ of prison staff 211–12 confidentiality issues 58, 60, 61–2, 105, 194 confirmation bias 214–15 conflict, perception of 32–3 conflicts of interest 60, 179 consent, ethical issues 56–7 consultancy process 17 effective consultant, qualities of 19–20 key stages in 18–19 organisational boundaries 22–6 organisational change, promoting 29–32 organisational culture 26–9 stakeholder analysis 20–2 traps in 32–4 consultant-client relationship 10–12, 18 consultant role 3, 7–8, 18 changing over time 8–10 focus of consulting 4–5 key competences 5–7 problem solving 12–16 process consultation model 8 relationship development 10–12 context reinstatement, cognitive interview mnemonic 74–5, 78, 79 control systems, cultural web 28, 29 conversation management, interviewing technique 81–2, 88 Cornwell, D.J. 95, 103 Crant, J. 129
INDEX
creative problem solving 12–14 Crego, J. 208 Crighton, D.A. 45–6, 96 crisis situations 91–3 characteristics of a crisis negotiator 95–6 crisis negotiation models 96–104 ethical considerations 105–6 failures in responding to 215–18 increase in 94–5 role of consultant advisor 4, 93–5 cross-examination, expert witnesses 117–21 cultural web, organisations 26–9 custodial institutions, greater risk of crisis incidents in 94 Dale Akiko, court case (1991) 111 Dando, C.J. 83, 84 Darley, J.M. 217 Daubert Criteria 113 Davis, M.R. 84–5 Dawson, S. 21–2 De Bono, E. 12–14 De Gilder, D. 128 decision making avoidance or inertia 209 decisional balance construct 134 social influences on 217–18 Den Hartog, D. 128, 132 diagramming techniques 15, 16 disaster analysis 205–6, 208, 216 discretionary effort harnessing 155–6 individual’s achievement of 161 role of line manager 156–9 dishonesty, detection of using the cognitive interview 88–9 using closed questions 119–20 Dixon, N.F. 209 Dobby, J. 126 Dostoevsky, F.M. 143 double-loop learning 189–90 Downs, S. 48 Dror, I.E. 214 economic factors, STEEP analysis 25 education, definition of 37–8
267
Eileen Lipsker, court case (1992) 111 Ellemers, N. 128, 132, 133 emergencies, responding to 215–18 emotional labelling, active listening skill 101 emotive language, avoiding in legal reports 116 empathy demonstration of by consultant 11–12 negotiation process 102 employee engagement 146–7 improving by discretionary effort 155–9 link to performance 148 measurement of 147–8 negative effect of stress 153–4 enhanced cognitive interview (ECI) 71, 77 field study of detectives trained in 82–3 nine stages of 77–80 environmental factors, STEEP analysis 25 errors and biases 213–15 ethical considerations 51 acting within areas of competence 56–8 advertising consultancy services 60–1 client assessment 54–6 codes of ethics and conduct 52–3 communicating psychological knowledge 56–8 in crisis situations 105–6 group work with clients 65–7 independent practice 59–60 multidisciplinary teams 63–4 professional relationships 63 staff assessment 58–9 supervision of others 61–2 training others 64–5 Evans, B. 22 evidence, expert psychological 109–10 admissability of 112–13 historical examples of 111–12 exit surveys 177 Expectations (HM Inspectorate of Prisons) 169–72
268 expert psychology witnesses 59–60, 108–9 history of 109–13 legal reports 113–17 facts vs. opinions, court evidence 113–21 failures, active and latent 205–6 Farquharson, G. 66 Fay, D. 128 feedback inspection of secure institutions 176–7 on job performance 212 and supervision 61, 62 Fenichell, S. 155 Firth-Cozens, J. 218 ‘fishbowl management’ 31 Fisher, R.P. 74, 76, 84 focus groups with detainees, inspection tool 170 with staff in Prison Service 150–2 forensic psychological service key stakeholders 20 interests and needs of 21 Porter’s five forces 23, 24 STEEP analysis 24–6 Fraser-Mackenzie, P.A.F. 214 free report phase of cognitive interview 78–9 Freeman, L. 96 Frese, M. 128 Fuhrer, U. 46 Furnham, A. 160 Fuselier, D. 97 Gabbert, F. 84 game theory 103–4 Geiselman, E. 74, 80 George, R.C. 81–2 Gherardi, S. 46 Gilbert, J.A.E. 76 Girodo, M. 126 government interventions, training 36–7 Grant, A. 133 Grawe, K. 134 Greenwood, K.M. 84–5
INDEX
group therapy, ethical issues 65–7 ‘groupthink’ 208 Grugulis, I. 39 Guest, D.E. 40 Guzzo, R. 125 Haigh, R. 66 Harding, R. 177, 178 Harrison, R. 50, 184 Hatcher, C. 95–6, 97, 107 ‘hearsay’, court evidence 114–15 Heilbrun, K. 56 Hennessey, J. 211, 212 Hernandez-Fernaud, E. 88 Hess, A.K. 59 hijacking scenario 103–4 Hitt, M.A. 20 HM Inspectorate of Prisons see Prisons Inspectorate HM Prison Service see Prison Service Honey, P. 188–9 Hope, L. 84 ‘horse trading’, resources 30 Hoskisson, R.E. 20 hostage taking incidents 91–2, 93, 94 negotiation strategies 92–3, 95–6 hostile witnesses, interviewing 88 ‘hot spots’, resources 30 human capital theory 40–1 human error see systemic failure and human error human performance system 209–13 human resource development (HRD) see training hypothetical questions, cross-examination 118–19 influence, step in negotiation process 102–3 informed consent 55, 56–7, 66 initiative-taking behaviour 127 and commitment levels 129–34 and workplace targets 128–9 inspection of prisons see Prisons Inspectorate integrity, BPS Code of Ethics 52, 106
INDEX
interviewing inspection of secure institutions 170 interview advisors for murder enquiries 86, 87, 89 see also police witness interviewing intimidated witnesses 87 Jane’s Police Review (Alimo-Metcalfe) 126 Janis, I.L. 134 Jette, R. 125 job level analysis of training needs 187 job/performer analysis 209–13 Jones, K.H. 45 Kakabadse, N.K. 5–7, 9–10, 12, 183–4, 202 Katzell, R. 125 Kazén, M. 134 Kebbell, M.R. 83 Keith-Spiegel, P. 56, 60–1, 63, 64 Keslake, S. 126 key performance targets (KPTs) 148–9, 151–2 key witnesses, interviewing 87–8 Kim W. 29–32 ‘kingpins’ 31 Kingsmill report, human capital 41, 198 Kirkham, J. 159 Kirkpatrick, D.L. 197 Koeck, C. 129 Kolb, D. 188 Komaki, J.L. 212 Koocher, G.P. 52, 56, 60–1, 63, 64 Koole, S. 134 Kuhl, J. 134 latent failures 205–6, 207, 210, 213, 214, 215 Lave, J. 46 leadership behaviour leading to miltary disasters 208 transformational leadership 125–6 leading questions, cross-examination 120–1 learning and development definition of 38 learning methods 191–2, 193–4
269
learning objectives 190–1 organisational support for 41–3 value added to organisations 39–41 ‘learning organisations’ 42–3 learning theories 43 applied in the training setting 47–9 behavioural perspective 43–4 cognitive perspective 44–6 learning styles 188–90 levels of learning 48–9 social perspective 46–7 Leddick, G.R. 6 legal consulting 108–9 history of expert witness 109–13 oral testimony 117–21 written evidence 113–17 legitimacy of stakeholders 22 Leitch report, training 37 Levesque, D. 130 Lewin, K. 131, 133 lie detection, value of cognitive interview 88–9 Lillie and Reed vs. Newcastle City Council case (1998) 112 Longford, G. 83 Loveday, B. 207 Luckmann, T. 47 managers line managers coaching role 42 discretionary effort, bringing about 156–9 supervisory role 61–2 role in systemic failures 207–9 see also project management ‘manipulation’ of prison staff 211–12 Mann, L. 134 Margerison, C.J. 42 marketing of services, ethical issues 60–1 Marton, F. 48–9 Mauborgne, R. 29–32 ‘maxim of quantity’, communication rule 75 ‘McJob’ training 39, 40 McLean, M. 73–4 McMahon, M. 84–5
270 memorising, understanding and doing (MUD), levels of learning 48 memory, characteristics of 72–3 mentoring 10, 42 military disasters 208 Milne, R. 75, 83–4 mirroring, active listening skill 100–1 mistakes 213–15 Mitchell, R.K. 22 mnemonics, cognitive interview 74 change order of recall 76–7 change perspective 76 context reinstatement 74–5 report everything 75–6 motivational hurdles, change promotion 31 Multi Agency Public Protection Arrangements (MAPPA) process 225–6 multidisciplinary teams, ethical issues 63–4 multiple-cause diagrams 15, 16 Mumford, A. 188–9 Munsterberg, H. 109 Murder Investigation Manual (MIM) 85, 87–9 negotiation strategy 96–8 models of 98–104 negotiators, characteristics of 95–6 Newell, S. 53 Nickerson, R. 132 Nicolini, D. 46 ‘no witness, no justice’ programme 72 occupational commitment 132–3 Odella, F. 46 offender risk management 222–6 On the Witness Stand (Munsterberg) 109 open questions 11, 77, 79, 82, 101 opinions vs. facts, court evidence 113–21 oral testimony 117–21 organisational boundaries 22–6 organisational change behavioural baseline 129–31 ‘commitment targets’ 132–4 hurdles blocking 29–32
INDEX
importance of behavioural change 131–2 models and theories of 131 psychological aspects of 125 and the transtheoretical model (TTM) 130–1 organisational culture 12 assumptions about changing 33 and the cultural web 26–9 influencing decision making 209 influencing ethical standards 53–4 organisational learning 7, 42–3, 46 organisational politics, impact on learning 46–7 organisational structures, cultural web 28, 29 organisations improving staff engagement 160–1 management failures 207–9 supporting staff learning and development 41–3 paraphrasing, active listening skill 101 Pavlov, I.P. 44 PEACE training course 83–4, 86 Pendlington, I. 126 performance appraisals 42, 151–2, 187 audits 164 human performance system 209–13 ‘performance culture’, dangers of 207–8 and prison staff perceptions 143–62 and training 40–1 Piaget, J. 44–5 Pichert, J.S. 76 plane hijack scenario 103–4 police investigations importance of witnesses to 72–4 management of witnesses 85–9 police witness interviewing after using original CI technique 77 deficiencies of 73–4 following training in ECI 81–3 PEACE training course 83–4, 86 with simplified and shortened CI 84–5 political factors, STEEP analysis 26
INDEX
political hurdles, change promotion 31 ‘pool method’ 15 Poole, M.S. 124–5 Porter’s five forces 23, 24 power of stakeholders 21–2 power structures, cultural web 28, 29 prejudicial language, avoidance of in reports 116 Prison Service 143–4 and employee engagement 146–7 engagement-performance link 148 factors motivating staff 150–1 interests and needs of 21 ‘managerialism’ in 208 measures of performance 148–9 operational and organisational changes 144–6 performance rating system 149 and staff perceptions of engagement 149–50 staff survey 147–8 Prisons Inspectorate 163–5 evaluative feedback 176–7 four tests of a healthy prison 172–4 good practice 176 human rights focus 165–6 impact of inspection 177–9 inspection methodology 169–72 legislative remit 166–7 programme of inspection 168–9 role of applied psychologists 179–82 staff structure 167 transparency 174–6 proactive behaviour 127, 128, 129 problem solving methods 12–16 process consultation model 8 Prochaska, J. 130 project management 220–3 benefits of 228–9 differences from business as usual 227–8 and offender risk management 223–6 principles of 226–7 defining 229–40 psychological testing confidentiality issues 58–9, 60 see also psychometric tools
271
psychology consultants, qualities of effective 19–20 psychometric tools issues with reliance on 32 validity and reliability 54–6 when to use 19–20 Purcell, J. 40, 156 questioning during cross-examination 118–21 phase 4 of cognitive interview 79 witnesses at scene of crime 86–7 questions asked by witness interviewers 73–4 closed questions, honesty detection 119–20 hypothetical questions, crossexamination 118–19 investigatively important 79 leading questions, cross-examination 120–1 open questions 77, 79, 82, 101 Ramona vs. Isabella (1990) 111 rapport building as part of negotiation process 102 building between management and staff 146, 156 phase of cognitive interview 77, 83 Reason, J.T. 205–6, 207, 213–14, 215 recording of witness interviews 87–8 reflective practice 6 Reid, M.A. 37–8, 195 relationship building 10–12, 18, 19 relationships with clients, ethical issues 63 reliability of psychometric tests 54–6 reluctant witnesses, interviewing 88 ‘report everything’ instruction, cognitive interviews 75–6 reports, written 114 expert witness 113–17 good practice guidelines for 57–8 HM Inspectorate of Prisons 148, 174–6 project management 239 ‘repressed memory’ trials 110, 111
272
INDEX
resource hurdles, change promotion 30 respect, BPS Code of Ethics 105–6 response style, psychometric tests 55–6 responsibility, BPS Code of Ethics 52, 106 Revans, R.W. 42, 132 Reynolds, P. 22 Rickards, T. 126 Riketta, M. 132 risk assessment 52–3 actuarial tools 222–3 Inspectorate of Prisons 168, 173 reporting findings from 58 training in 64 risk management of offenders 222–3 and project management 223–6 register, updating 236–7 Risk Management Authority (RMA), Scotland 65, 230 rituals and routines, cultural web 27, 29 Robertson, I.T. 36, 45 role-play 188, 193 Romano, S.S. 10 Rummler, G.A. 209–10 Sadler, P. 10, 14 Salem Witch Trials 110, 112 Säljö, R. 48–9 Schein, E.H. 8, 19–20, 32–3 Schlossberg, H. 96 Schön, D. 188–9 scientific evidence, admissability criteria 113 scientist-practitioner model 220–1 self-administered interview tool (SAI) 84 self-awareness, consultant skill 6 self-efficacy vs. temptation, behavioural change 134–5 senior investigation officer (SIO), role in police investigations 85–9 Shapiro, D.A. 221 significant witnesses, interviews with 87–8 single-loop learning 189 ‘situated curriculum’ 46 ‘six-hat thinking system’ 13–14 Skiffington, S. 159 Skinner, B.F. 44
SMEs (small and medium sized enterprises), training issues 39–40 social learning 46–7 sociological factors, STEEP analysis 24–5 solutions, potential, discussing with client 18–19 Sonnenfeld, J.A. 22 Sonnentag, S. 129 Sorabji, D. 21–2 Soskis, D.A. 96 Special Security Unit (SSU), Whitemoor prison, erosion of standards 210–12 ‘spectral evidence’, Salem Witch trials 110, 112 staff assessment of, ethical issues 58–9 clinical supervision of 61–2 Inspectorate of Prisons 167 interests and needs of 21 performance-engagement link 143–62 stress of Prison Service staff 153–4 see also training stakeholders 20 and change promotion 31 feedback from 176–7 interests and needs of 21 power, legitimacy and urgency 22 Stamper, N. 126 standard error of the mean (SEM) 55 Staw, B.M. 209 STEEP analysis 24–6 Stober, D. 133 ‘Stockholm syndrome’ 97 stories, cultural web 27, 29 stress, work-related, Prison Service staff 153–4 Sturdy, A. 36 summarising 101 active listening skill 101 phase 7 of cognitive interview 79–80 supervision of staff, ethical issues 61–2 surveys detainee 168, 170, 171 employee engagement 146 Prison Service staff 147–8, 149–52 stakeholder 176–7 training 39
INDEX
symbols, cultural web 27, 29 systemic failure and human error 203–7 emergencies and crises 215–18 errors and biases 213–15 human performance system 209–13 organisational context 207–9 teams in crisis situations 218 inspecting custodial institutions 167 multidisciplinary, ethical working 63–4 selling project management to 228–9 technological factors, STEEP analysis 25 Terraine, J. 209 therapy ethical issues 65–7 reasons clients fail to engage in 5–6, 16 ‘tipping point leadership’ 29–30 Towers Perrin, engagement research 146 Towl, G.J. 45–6 training 35–6 application of learning theory 47–9 definition of 37–8 ethical issues 64–5 historic context 36–7 learning perspectives 43–7 potential role of consultant 9 supervision of trainees 62 supporting staff 41–3 value of to an organisation 39–41, 160 see also training cycle training cycle 49–50, 184 case study 198–202 contracting stage 184–5 delivery stage 195–6 design stage 188–95 evaluation stage 196–8 identification of needs 185–8 transformational leadership 125–6 transparency, Inspectorate reports 174–6 transtheoretical model (TTM), intervention design 130–1, 134–6 treble-loop learning 189, 190
273
trust, development of 10–12, 95, 102 Tuffin, R. 126 Turner rule 109 validity of psychometric tests 54–6 Van De Ven, A.H. 124–5 Van den Heuvel, H. 128 Van Dick, R. 132 Van Hasselt, V.B. 10, 99–100, 102 Van Zandt, C.R. 96 Vecchi, G.M. 10, 101, 104 Vess, J. 223 victim behaviour and negotiation strategy 97–8 violations 205, 213, 214 Vrij, A. 88–9, 214 vulnerable witnesses 80, 87 Vygotsky, L.S. 44, 45 Weiner, I.B. 57–8 Wellman, F.L. 119–21 Wenger, E. 46 Westwood, A. 39 Whitemoor prison, SSU escape 211–12 Wilcock, R. 84 Winstanley, D. 21–2 witnesses management by modern police force 85–9 memory, fallibility of 72–3 police interviews, low standards of 73–4 see also cognitive interview (CI) Woodcock, J. 210–12 working methods, need for flexibility 33–4 Wrightsman, L.S. 59 written evidence, expert witness 113–17 Yankelovich, D. 155 Yukl, G. 126 Zeus, P. 159 Zimbardo, P. 107
