Loading...
HomeMy WebLinkAbout04- Goal-Setting Workshop r CITY OF SAN BERNARDINO - REQUEST FOR COUNCIL ACTION From: Fred Wilson Subject: Date and time for Goal-Setting Workshop Dept: City Administrator Date: October 4, 2000 Synopsis of Previous Council Action: October 1998 — Mayor and Council adopt goals and priorities for the City. September 1999 — Mayor and Council receive and file the September 1999 Action Plan Update. June 2000 — Mayor and Council receive and file the May 2000 Action Plan Update. Recommended motion: That a Goal-Setting Workshop be scheduled for Saturday, December 9, at 9:00 a.m. in the EDA Board Room. AV k1_ Signature Contact person: Fred Wilson Phone: 5122 Supporting data attached: Staff report Ward: All FUNDING REQUIREMENTS: Amount: To be determined Source: (Acct. No.) (Acct. Description) Finance: Council Notes: A/dry Agenda I f / STAFF REPORT Background In the spring of 1998, the Mayor, Council, and the City's Management Team began the process of developing a set of strategic goals and priorities. This process included a series of workshop discussions, small group meetings, and a community survey. The resulting shared values, mission, vision, goals, and priorities were adopted by the Mayor and Council at a signing ceremony held in October 1998. As a follow-up to that event, City staff developed action plans concerning each of the goals. These action plans included many ideas developed during the strategic planning sessions. Since the goals were adopted, staff has provided the Mayor and Council with semi-annual updates concerning progress towards the established goals. Now that 2 years have passed since the City's goals were adopted, Mayor Valles has directed that a new process be conducted with the Council and staff to discuss and set new goals for the City, and develop corresponding action plans. An outside facilitator, who has yet to be selected, will structure and provide guidance through this process. As a first step, the facilitator will conduct individual interviews with the Mayor and each Councilmember. Following that process, a half-day facilitated goal-setting workshop will be held with the Mayor and Council. It is proposed that this workshop be held on Saturday, December 9, from 9:00 a.m. to approximately 2:00 p.m. in the EDA Board Room. Recommendations It is recommended that the Mayor and Council set a Goal-Setting Workshop for Saturday, December 9, at 9:00 a.m. in the EDA Board Room. CITY OF SAN BERNARDINO MAYOR/COUNCIL/ADMINISTRATOR GOAL SETTING WORKSHOP DECEMBER 1, 2000 L OBJECTIVES A. To celebrate our achievements B. To explore our long-range vision for the community C. To determine 2001-2002 priorities D. To develop action plans on those priorities E. To resolve specific issues raised by individuals II. FACILITATORS Tom Robertson Shirley Poitras III. PROCEDURES Friday,December 1 10:30 a.m. Gathering • Introduction to workshop • Objectives • Procedures • Standards • Celebrating achievements 11:30 a.m. Our 10 year vision 12:15 p.m. Lunch and discussion: Priority Issues 12:45 p.m. Review of Priority Issues 1:30 p.m. Identify short-term priorities 2:30 p.m. Action planning 3:15 p.m. Action planning reports—Discussion 4:15 p.m. Loose ends 4:30 p.m. Summary • Next steps • Evaluation • Public Comment 5:00 p.m. Close i CITY OF SAN BERNARDINO CITY ADMINISTRATOR'S ICE MEMORANDUM' � - "L ljoi TO: Mayor and Common Council .00 �lnV —2 P12 .36 FROM: Fred Wilson, City Administrator SUBJECT: Upcoming Goal-Setting Workshops DATE: November 1, 2000 COPIES: Department Heads At the October 16 Council meeting, the Mayor and Council set Saturday, December 2 as the date for the goal-setting workshop. The purpose of this memo is to outline how the goal-setting process will be conducted to ensure that the process is constructive and useful. We have selected Mr. Tom Robertson to facilitate the entire process. Tom has many years of experience as a trainer and facilitator, and was previously the Fire Chief for the City of Palm Springs. Tom comes highly recommended by David Jones of Sentient Systems, as well as his other client cities. Tom will begin our process by conducting individual interviews with the Mayor and each Councilmember. These one-hour interviews will help to identify concerns and issues that will then form the basis of the workshop to follow. These meetings will be scheduled for the week of November 6. Following the interviews, the Mayor and Council workshop will be conducted on December 2. This workshop was originally set to be held in the EDA Board Room, but at the facilitator's suggestion we are seeking an alternate location that is more conducive to a relaxed, team-building session. The continental breakfast will be served beginning at 7:30 a.m.; the workshop will begin at8:00 a.m. and end at 2:00 p.m. During this session, the Mayor and Council will review data from the individual interviews and develop a consensus list of current community issues. They will then identify and develop priorities for FY 2001-2002, and develop policy action plans for those priorities. Except for Gary Van Osdel and myself, Department Heads will not attend this session; it is meant to involve only the Mayor and Council. Lunch will be provided. On December 7, a day-long facilitated workshop will then be held with the Department Heads. The group will review and discuss the short-term priorities and policy action plans developed by the Mayor and Council, and review current priorities for additions or revisions. They will then develop specific implementation action plans around the short-term priorities. In January, a third workshop will be held to bring together the Mayor, Council, and Department Heads. During this workshop, the results of the first two sessions will be reviewed, including the action plans developed by staff. The approved action plan will be completed in time to be incorporated into the FY 2001-02 budget process. At the end of the workshop, the Mayor and Council will discuss, modify, and/or approve the action plans. The date for this third workshop has not yet been determined. My staff will be working with the Council Office to schedule your interviews with Tom Robertson. If you have any additional questions regarding this process, please contact me. idt-- Fred WA son City Administrator Citizen Quick Poll 2000 1. Indicate whether you AGREE or DISAGREE with the following statement: I enjoy living in San Bernardino. 1998 results: 66% agree, 30% disagree, 4%no opinion 2. Indicate whether you AGREE or DISAGREE with the following statement: Problems that residents in my neighborhood care about have been diminished in the last 2 years. 1998 results: 46% agree, 39% disagree, 15%no opinion 3. Indicate whether you AGREE or DISAGREE with the following statement: My fear of crime has been reduced over the last 2 years. 1998 results: 32% agree, 60% disagree, 8%no opinion 12] z 'c 4. Indicate whether you AGREE or DISAGREE with the following statement: My� V� neighborhood receives adequate attention from the city. 1998 results: 51% agree, 44% disagree, 5%no opinion T 5. Considering the City AS A WHOLE,what is the one biggest need you feel your City Council should do something about over the next 2 years? 1998 results: 23% - Attract business/industry to provide higher paying jobs (top 10) 18% - Reduce crime and gun violence 18% -Neighborhood upkeep and destruction of old buildings 9% - More youth programs 9% - Improve upkeep of the city as a whole 9% - Gang prevention and intervention 7% - Drug intervention and enforcement 6% -Repair streets and keep them clean 4% - Improve schools and make them safe 3% - Improve police services 6. What is the one biggest need in your own NEIGHBORHOOD that you feel your City Council should do something about over the next 2 years? 1998 results: 25% -Neighborhood upkeep and property maintenance (top 10) 23% - Street maintenance and street lights 22% - Increase and improve police services and response times 10% -Urban blight and abandoned houses 9% - Gang reduction and intervention 6% - Drug dealing and drug use 5% - Community recreation/learning centers for children 4% -New business 4% - More parks and better upkeep 2% -Keep city clean and new CITY OF SAN BERNARDINO MAYOR/COUNCIL/ADMINISTRATOR GOAL SETTING WORKSHOP DECEMBER 1, 2000 CITY OF SAN BERNARDINO low MAYOR/COUNCIL/ADMINISTRATOR GOAL SETTING WORKSHOP DECEMBER 1,2000 TABLE OF CONTENTS I OBJECTIVES II FACILITATORS III PROCEDURES IV SUMMARY OF PRE-WORKSHOP INTERVIEWS V ISSUES FOR DISCUSSION VI THE PROCESS OF CHANGE VII NEGOTIATION �l P"'� VIII UNDERSTANDING YOUR ORGANIZATION'S CHARACTER IX COMMUNICATION }- . B c X DECISION MAKING L-T XI LEADERSHIP FOR THE 21ST CENTURY 131 �E XII SERVING CUSTOMERS OR ENGAGING CITIZENS XIII NOTEBOOK PAPER CITY OF SAN BERNARDINO MAYOR/COUNCIUADMINISTRATOR GOAL SETTING WORKSHOP DECEMBER 1, 2000 1. OBJECTIVES A. To celebrate our achievements B. To explore our long-range vision for the community C. To determine 2001-2002 priorities D. To develop action plans on those priorities E. To resolve specific issues raised by individuals Il. FACILITATORS Tom Robertson Shirley Poitras Ill. PROCEDURES Friday,December 1 10:30 a.m. Gathering • Introduction to workshop • Objectives • Procedures • Standards • Celebrating achievements 1 1:30 a.m. Our 10 year vision 12:15 p.m. Lunch and discussion:Priority Issues 12:45 p.m. Review of Priority Issues 1:30 p.m. Identify short-term priorities 2:30 p.m. Action planning 3:15 p.m. Action planning reports—Discussion 4:15 p.m. Loose ends 4:30 p.m. Summary • Next steps • Evaluation • Public Comment 5:00 p.m. Close i CITY OF SAN BERNARDINO MAYOR/COUNCIL/ADMINISTRATOR GOAL SETTING WORKSHOP DECEMBER 1, 2000 SUMMARY OF PRE-WORKSHOP INTERVIEWS COLLECTIVE VISION ELEMENT (Listed from highest number of responses to least number of responses) THE CITY OF SAN BERNARDINO: 1. Has a strong and diversified economic base and high employment 2. Is a clean, attractive city with a positive image 3. Has a good range of attractive housing 4. Has good infrastructure that is well maintained 5. Has a wide range of recreational and entertainment resources for youth and adults 6. Has an active and vital downtown 7. Has high quality educational resources 8. Embraces and celebrates its cultural diversity 9. Has abundant cultural activities 10. Good Public Safety services MAYOR/CITY COUNCIL COLLECTIVE VISION ELEMENTS 1. Has a strong and diversified economic base and high employment a) We are a working community. There are many people employed by the industries at Norton. The industrial area has an international flavor—esp. Asian b) We have thousands of new industries/businesses and thousands of new jobs. Our unemployment rate is lower than the national average. c) We are a transportation hub and home to a huge cargo shipping operation/industry d) We have a diverse, well trained and educated population with a very low rate of unemployment e) The Mount Vernon corridor(1987 RDA project area) is completed. The Santa Fe depot is fully refurbished and a new theme shopping area has been built across from the depot(ex: The Mercado in L.A.) f) The Paseo de Las Plazitas is completed with a mix of commercial, restaurants and professional offices g) Our image of a real urban center is tied to our water resources. We have incorporated lots of fountains, lakes and small streams into our design. h) The Norton use plan has been completely implemented. All previously blighted property has been re-developed into industrial, distribution and manufacturing. i) The first two phases of the Lakes and Streams project have been completed j) Norton is a thriving International airport with a great deal of industrial and recreational use: large cargo operation; sports arena. k) There has been a large, positive change in our socio-economic levels and the city has an excellent economic base. 2. Is a clean, attractive city with a positive image a) There has been a dramatic improvement to the appearance of the City's core. A true signature has been created with a pedestrian core, green belts and Lakes and Streams. b) Historic districts have been formed c) We have very attractive "Gateways"to our city. (Hospitality lane and Airport) d) There has been a dramatic turn-around in our housing stock. There are several new, high quality developments and high activity in the rehabing of older homes e) We are a thriving community of involved citizens and enjoy an excellent quality of life f) All of our neighborhoods have been upgraded. Our political leaders are committed to providing equal attention and services throughout the City g) Much of the blight is gone and has been replaced by new residential and commercial property. Many inexpensive homes have been bought and rehabed for first-time homebuyers/owner occupied h) All of our resources are being well utilized i) We are cosmopolitan but still retain a small town atmosphere j) The city is well lit with lots of pedestrian traffic. The neighborhoods are clean— people friendly—children playing on sidewalks and streets. 3 k) Mount Vernon Park has been enlarged to the east. It is a valuable element of Paseo de Las Plazitas and a popular social gathering spot 1) Neighborhood pride is high,homes and yards are well maintained m) There is a system of electric powered, wheeled trolley cars to provide downtown transportation and atmosphere 3. Has a good range of attractive housing a) We have a better mix of residential housing in the middle and higher income range b) We have assembled and re-developed some of the older, troubled residential areas c) We have lots of upscale, new housing with a large, young, upwardly mobile, middle class population d) The housing stock in the inner-city has been upgraded, renewed and improved e) There has been a dramatic turn-around in our housing stock. There are several new, high quality developments and high activity in the re-habing of older homes f) Much of the blight is gone and has been replaced by new residential and commercial property. Many inexpensive homes have been bought and rehabed for first-time homebuyers/owner occupied g) There are several upper scale hill top homes ( like Highland Ranch) h) We have several active retiree communities 4. Has good infrastructure that is well maintained a) Our commercial corridors (Highland Ave) have been rehabed and have the look and feel of State street in Santa Barbara b) There have been great improvements in our infrastructure. We have a fwy off-ramp going west. c) There has been light commercial development at Arden Guthrey and a large parking facility at the soccer fields d) The sound walls are in place along the 30 fwy and there is a north to west transition to the 215 e) The master repaving plan has been completed along with sidewalk replacements f) We have a natural habitat area that has grown and is being maintained in a County flood control area g) The freeway between the 30 freeway and the mountains has been built h) There is a system of electric powered, wheeled trolley cars to provide downtown transportation and atmosphere 5. Has a wide range of recreational and entertainment resources for youth and adults a) The housing stock in the inner-city has been upgraded, renewed and improved b) We are considered to be the Youth Sports Capital with Soap Box Derby; Little League; etc. Our after school centers are highly utilized c) We have a highly developed and successful entertainment center that acts as a magnet for tourism 4 d) We have a riverwalk like San Antonio with lots of parks; open space; trees; flowers. It is very popular and there is a good mix of families; young adults;seniors—lots of cultural diversity. There is an atmosphere of safety with good police presence through foot and bicycle cops. e) Mount Vernon Park has been enlarged to the east. It is a valuable element of Paseo de Las Plazitas and a popular social gathering spot 6. Has an active and vital downtown a) New/revitalized downtown south of Baseline b) The downtown is active and vital—lots of out-door dining, small intimate shops, street activities c) We have a riverwalk like San Antonio with lots of parks; open space; trees; flowers. It is very popular and there is a good mix of families; young adults;seniors—lots of cultural diversity. There is an atmosphere of safety with good police presence through foot and bicycle cops. d) The Mount Vernon corridor(1987 RDA project area) is completed. The Santa Fe depot is fully refurbished and a new theme shopping area has been built across from the depot(ex: The Mercado in L.A.) 7. Has high educational resources a) The University has increased in size to accommodate the demand. A large%of its graduates now live and work in San Bernardino b) We have an excellent educational system and the SAT 9 test scores reflect this 8. Embraces and celebrates its cultural diversity a) We are a diverse community and we celebrate our diversity b) We are a working community. There are many people employed by the industries at Norton. The industrial area has an international flavor—esp. Asian c) There is a higher awareness and celebration of the Latino culture. The entire community takes pride in and celebrates its culture diversity 9. Has abundant cultural activities a) There is a renewed interest in the fine and performing arts. The California Theater is a centerpiece of our cultural activities. b) There has been a revival in the cultural arts c) We have many activities in our downtown—parades; outdoor craft fairs; arts and crafts exhibits; concerts. There is no gang presence 10. Good Public Safety services a) We are virtually crime free and we are no longer the parolee capital of Calif. 5 b) We have a riverwalk like San Antonio with lots of parks; open space; trees; flowers. It is very popular and there is a good mix of families; young adults;seniors—lots of cultural diversity. There is an atmosphere of safety with good police presence through foot and bicycle cops. 6 COLLECTIVE PRIORITY FIRST STEPS TO ACHIEVE VISION (Listed from highest number of responses to least number of responses) F 1. To improve the perception/image/appearance of San Bernardino 2. To become more streamlined, less bureaucratic 3. To enhance the relationship between City Hall and the Community 4. Develop a signature project for San Bernardino (Norton/Lakes and Streams) 5. To develop a consensus vision and goals for San Bernardino 6. To develop new sources of funding 7. To create jobs 8. To address Council/staff relationships and non-safety staffing needs 9. To create more partnerships toward achieving goals 10. To provide more financial incentives to spur development E COLLECTIVE PRIORITY FIRST STEPS TO ACHIEVE VISION 1. To improve the perception/image/appearance of San Bernardino a) To move forward on a successful project that will prove to the community and investors that we can be a destination—that SB is an area worthy of investment b) Build consumer/citizens confidence (ex: Lakes and Streams project. This is not about getting rid of people—this is about building a community that will enhance the lives of all the citizens) c) To make SB more attractive through better code enforcement/blight abatement d) To work toward increasing neighborhood pride e) We need more middle-upper class housing. Our inexpensive housing draws a lot of lower income population. f) To enhance the image of the city. Change the perception. Market the city as a safe community g) We (elected and staff)need to model the type of community that we want to become. We need to be perceived as professionals. The community needs to see the council working as a team—respecting one another—to give the community a sense of promise and security h) We need to create ways to celebrate small victories. The community needs to see a measure of improvement/incremental progress so that people have a sense of movement i) We need a focused, funded and fast track process to rid the blight around the Lakes and Streams project. We need to give this project a high chance to succeed j) That we continue to be a credible, non-self interest, ethical and visionary political body that makes decisions that will benefit the entire community k) We need to get more people—diverse groups—neighborhood associations, CBO's- to carry the banner—articulate the vision. (ex: Lakes and Streams—everybody needs to be excited and talking about this. Yes, there are issues to be resolved,but we need to be talking about the and getting excited about the promise.) 1) Our problems are economic in nature. We need to become much more creative in attracting investment so that we are not spending the majority of our resources (time and $)treating the symptoms(ex: funding for public safety and code enforcement) 2. To become more streamlined, less bureaucratic a) Streamline the development process and work toward a"fast-track" and"developer friendly environment. b) To develop ways to become more business/developer friendly without sacrificing our standards( ex: the design review commission has evolved into a bureaucratic barrier—it has become a mini-planning commission) c) Develop a criteria for minor/major development approval issues. Fast track the minor issues (ex: Tenant improvements in existing buildings) 8 d) We need a focused, funded and fast track process to rid the blight around the Lakes and Streams project. We need to give this project a high chance to succeed e) Unite the CVB and the Chamber—both are in the same business. ( Chamber is the first place that people go to for info on business/tourism) To work toward reducing duplication of effort and to leverage the resources that we have (ex:joint marketing;shared web-site) 3. To enhance the relationship between City Hall and the Community a) The community needs to better understand the value of our proposed projects—we need to do a better job of communicating and involving them b) We (elected and staff)need to model the type of community that we want to become. We need to be perceived as professionals. The community needs to see the council working as a team—respecting one another—to give the community a sense of promise and security c) We need to create ways to celebrate small victories. The community needs to see a measure of improvement/incremental progress so that people have a sense of movement d) Gather more citizen/community support for our projects- (ex: Lakes and Streams) We need to get everyone behind our projects. e) Develop more effective ways of getting the citizens involved in the council's vision and goals f) Do a better job of educating the community as soon as we have specific information(ex: Lakes and Streams) g) We need to get more people—diverse groups—neighborhood associations, CBO's- to carry the banner—articulate the vision. (ex: Lakes and Streams—everybody needs to be excited and talking about this. Yes,there are issues to be resolved,but we need to be talking about the and getting excited about the promise.) 4. Develop a signature project for San Bernardino (Norton/Lakes and Streams) a) To move forward on a successful project that will prove to the community and investors that we can be a destination—that SB is an area worthy of investment b) To find ways to increase hi-tech jobs. c) Focus on Norton—it is the best choice/highest potential to provide the economic engine to a create a strong job base for SB d) To continue our strong efforts to bring in a master developer for Norton. The success of this project will give us %s the economic impetus that we need. e) A FTZ at the airport f) Do a better job of educating the community as soon as we have specific information(ex: Lakes and Streams) g) We need to get more people—diverse groups—neighborhood associations, CBO's- to carry the banner—articulate the vision. (ex: Lakes and Streams—everybody needs to be excited and talking about this. Yes, there are issues to be resolved, but we need i to be talking about the and getting excited about the promise.) 9 I 5. To develop a consensus vision and goals for San Bernardino a) That when a project is discussed and decisions made,that the project benefit the whole city and not only one ward 6. To develop new sources of funding a) Capitalize on the relationships that the Mayor and Administrator have built with other agencies toward developing more grant funding for our projects b) Make better use of private sector resources toward achieving our goals c) Our problems are economic in nature. We need to become much more creative in attracting investment so that we are not spending the majority of our resources (time and $)treating the symptoms(ex: funding for public safety and code enforcement) 7. To create jobs a) To find ways to increase hi-tech jobs. b) Develop a stronger partnership with CSUSB in order to gain access to the information that we need to move forward with becoming a major transportation hub c) A FTZ at the airport d) Our problems are economic in nature. We need to become much more creative in attracting investment so that we are not spending the majority of our resources (time and $)treating the symptoms(ex: funding for public safety and code enforcement) S. To address Council/staff relationships and non-safety staffing needs a) Double the size of our planning department b) We need to make sure that our Department Heads and Staff feel valued. We need to give them the autonomy to do their jobs and not micro-manage. c) To do more directing and less doing 9. To create more partnerships toward achieving goals a) Develop a stronger partnership with CSUSB in order to gain access to the information that we need to move forward with becoming a major transportation hub b) Unite the CVB and the Chamber—both are in the same business. ( Chamber is the first place that people go to for info on business/tourism) To work toward reducing duplication of effort and to leverage the resources that we have (ex:joint marketing;shared web-site) 10 10. To provide more financial incentives to spur development a) Eliminate the 8%utility tax a b) To develop financial incentives for the businesses that we're trying to attract to the city. Put together a menu of incentives/services that we can offer to our high potential leads COLLECTIVE CURRENT STRENGTHS TO ACHIEVE VISION (Listed from highest number of responses to lowest number) 1. Our Mayor 2. The City Council 3. Administrator and Staff 4. Our water resources 5. Our support from the business community 6. Norton potential 7. Code enforcement efforts 8. High quality public safety 9. Our goals and objectives 10. Good relationship with the community t1 COLLECTIVE CURRENT STRENGTHS TO ACHIEVE VISION 1. Our Mayor a) The Mayor. She is popular, charming and charismatic. b) We have a good Mayor. The citizens have confidence in her vision. This is important in leading the city forward c) We have a good Mayor with a good style of Management d) The Mayor is very enthusiastic and interested in making SB an excellent city. We have good leadership with the current Mayor and Council e) This community is coming together—electeds , Administrator, dept. heads, staff and citizens are getting involved and working together to set and achieve goals—no matter whose idea it is. 2. The City Council a) Good City Council b) Our open minded council—honest and ethical c) The council is aware that we must work together and do things for the whole community d) The Mayor is very enthusiastic and interested in making SB an excellent city. We have good leadership with the current Mayor and Council e) This community is coming together—electeds, Administrator, dept. heads, staff and citizens are getting involved and working together to set and achieve goals—no matter whose idea it is. 3. Administrator and Staff a) Good planning department staff b) We have excellent Department Heads—very cooperative and supportive—they have the best interests of SB at heart c) This community is coming together—electeds, Administrator, dept. heads, staff and citizens are getting involved and working together to set and achieve goals—no matter whose idea it is. d) The quality of our staff. We have some of the best people in the country and we need to give them the latitude, autonomy to carry out our policies and goals. We need to develop an atmosphere where creativity can flourish 32 4. Our water resources a) Our wonderful water resources and the potential for sales, recreational use. This is a huge draw for development b) The potential for federal funding for water conservation c) Our water resources 5. Our support from the business community a) We have strong support among the business leaders to see bold and visionary action 6. Norton potential a) Norton has great potential though we need to work through the politics 7. Code enforcement efforts a) Our code enforcement efforts and the support of the City Attorney's office 8. High quality public safety a) Good public safety—strong safety units—good Fire and Police Chiefs—good labor relations with public safety. Decreasing crime rate and low turnover of personnel 9. Our goals and objectives a) We have a sense of a plan. City staff is seeing progress. We have a process to develop priorities and then develop a budget to support them. b) This community is coming together—electeds, Administrator, dept. heads, staff and citizens are getting involved and working together to set and achieve goals—no matter whose idea it is. 10. Good relationship with the community a) This community is coming together—electeds, Administrator, dept. heads, staff and citizens are getting involved and working together to set and achieve goals—no matter whose idea it is. 13 COLLECTIVE MAJOR CHALLENGES TO OVERCOME (Listed from highest number of responses to lowest) 1. To restore Community pride and build Community consensus 2. To develop more unity among the elected officials 3. To provide adequate staffing levels to meet service demands (Non-Safety) 4. To create a signature development 5. Blight abatement 6. Celebrating/honoring the Community's cultural diversity 7. Lack of jobs/high%on welfare 8. Improved educational resources K-12 9. Improved Union relations 10. Utilizing other cities' experiences to help us to find solutions iL 1=t CONSENSUS MAJOR CHALLENGES TO OVERCOME 1. To restore Community pride and build Community consensus a) We need to educate our citizens that we cannot advance as a city with 60% of our population on a fixed income and a mindset of maintaining the status quo. We need to make dramatic changes in the community's attitude b) The city's negative image that has been caused in some part by negative public comments by council members c) The city's negative, undeserved image d) Address the undeserved reputation that SB has. Develop a positive image about who we really are and where we're going e) We need to educate our citizens about the issues and involve them in the decision making process 2. To develop more unity among the elected officials a) To address and relieve the tension around measure "M" and then move forward together b) Our Congressmen and State Senators don't always see eye-to-eye. c) The conflict/struggles among the council. We need to define our areas of consensus/agreement and move forward on them to not care who gets the credit d) To do away with the division lines—refer to the city as a whole—determine the whole community's priority needs for service and address them. 3. To provide adequate staffing levels to meet service demands (Non-Safety) a) The city structure—the workforce of non-safety employees is shrinking because of the Charter requirements (ex: Parks dept. had 90 people 10 years ago—today there are 60.) Public safety is getting raises while others are being cut back 4. To create a signature development a) To study and learn from other cities that have had success with developing projects like ours ( San Antonio, Pasadena, Santa Monica, Long Beach) b) We need to have a critical mass—something to define the community c) Develop a partnership with the base developers to assume part of the cost of the IVDA—specifically for Norton. To develop and fund a separate team specifically for the development of Norton 15 5. Blight abatement a) Develop a more focused effort on ridding blight. Streamline this process and make more effective use of our Code Enforcement resources b) Be creative in finding new resources to help us rid the city of blight 6. Celebrating/honoring the Community's cultural diversity a) Develop ways to bring people together to celebrate our cultural differences 7. Lack of jobs/high % on welfare a) The high level of welfare 8. Improved educational resources K-12 a) Improve our educational resources-K-12. Start building community values around community service—build social rules rather than legal sanctions—build positive/productive values around community responsibility 9. Improved Union relations a) The unions can be a negative force at times 10. Utilizing other cities' experiences to help us to find solutions a) To study and learn from other cities that have had success with developing projects like ours ( San Antonio, Pasadena, Santa Monica,Long Beach) 16 CITY OF SAN BERNARDINO MAYOR/COUNCIL GOAL SETTING WORKSHOP COLLECTIVE ISSUES 1. To improve the perception/image/appearance of San Bernardino V 2. To more streamlined, less burea atic 4q. i Not �vcn jheq�n •c 4. To restsfe comm'unity pride 5. To provide adequate staffing levels to meet service demands (non-safety) 6. To create a signature development for the city (lakes & streams-Norton) 7. To develop more effective blight abatement 8. To enhance the relationship between city hall and the community toward the development of consensus vision and goals for San Bernardino 9. To build better relationships with - --�I 10. t 11. To create more partnerships toward achieving community goals. 12. To develop ways to honor and celebrate the community's cultural diversity 17 1 9 THE PROCESS OF CHANGE 4PBy: David G. Jones, Ph.D. Ours is a world of rapid change--politically and economically, technologically and sociologically, psychologically and spiritually. The emergence of new nations, the development of mass media, the advent of nuclear power,the explosion of population, the quantum leap in knowledge, all have contributed to the creation of a constantly changing environment requiring radical changes in the behavior of individuals and in the organization of society. STIMULI FOR CHANGE Personal and social aspirations for change emerge from a number of fundamental forces or trends toward innovation in our current collective life. • Creativity: the drive to transcend the established order of things by giving full expression to the self in all its unknown potential; the desire to explore, use, and modify the natural environment and its technological derivatives which man has created. • Adjustment: the discovery that our familiar patterns of behavior are no longer appropriate or adequate in a new environment; the need to utilize effectively the changes constantly being created in the environment and its established order. • Improvement: the concern of every person to improve themselves, their circumstances, and their general well-being; the process of continual comparison of ourselves with others. RESISTANCE TO CHANGE By the same token individuals and groups tend also to resist change in their behavior and in their organization. • Fear of Unknowns: the feeling that only the status quo, the known, is safe, stable, secure, and certain; a feeling often justified by the absence of skill, experience, or the capacity for action necessary to carry through the proposed change. • Existing Satisfactions: the reluctance to give up familiar types of satisfactions or vested interests in the status quo whereby any change would apparently mean a personal loss. • Conflict of Interests: the experience of competing demands arising from involvement in other groups and relationships external to the situation in which change is proposed, as well as any threat to the present traditions, standards, and values of a person or group. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 2 SYSTEMS INVOLVING CHANGE There are four main dynamic systems toward which efforts for change may be directed, each with its own unique pattern of process and structure. • Individual: each individual personality is a dynamic system in itself of conflicting drives and forces being constantly confronted with the challenge of change in order to meet new conditions. • Group: small face-to-face groups such as committees, staffs, clubs, teams, families, constitute a unique arena for change since in them both interpersonal difficulties between individuals and problems of interaction with the larger social environment can be more easily identified and change more effectively initiated. • Organization: the larger social systems which together comprise the community, such as educational institutions, business establishments, government agencies, religious associations, and political parties, are of necessity sensitive to the need for internal efficiency and external good will, and therefore must be prepared to consider any change that promises improvement or prevents disruption. • Community: the whole complex of interacting subparts, individuals, groups, and organizations, produces a network of stresses and strains that results in a variety of stabilized structures and processes which the community as a single system can do little to change. FACTORS AFFECTING CHANGE All dynamic systems are in a continuous process of change, adaptation, adjustment, reorganization, arising from difficulties in both their internal and external relationships. Diagnosis may point to one or another of the following factors as the source of difficulty. • Distribution of Power: power within the system may be too highly concentrated or too diffuse, exerted in harmful or ineffective ways. • Mobilization of Energy: energy may be misdirected into irrelevant activities or destructive modes of behavior. • Patterns of Communication: communication between subparts of the system may be inadequate due to defensive responses, distorted perceptions, mutual antagonisms, or mere ignorance. • Correspondence with Reality: the system may introduce a bias into its perceptions of reality, isolate itself from surrounding systems, or misinterpret communications received from its environment. • Goals for Action: the values or attitudes and consequent goals of the system may be at variance with its own best interests. • Relevant Resources: the system may not have the needed skills, knowledge, or materials to solve the problems and take the action necessary in meeting effectively the challenges and opportunities of a changing environment. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 3 TYPES OF CHANGE Change may be initiated as a deliberately planned attempt to alter a situation. The effort to innovate usually involves one or more types of changes in the relationships and functions of the system. • Structure: when the formal arrangement of persons, responsibilities, and functions is found to be inadequate, a new structure of organization may be devised to change the relationship of persons so that the task can be done more effectively and efficiently. • Technology: when the productivity of a system needs to be improved, technological changes may be introduced to gain efficiency. • Behavior: when structural or technological changes are introduced, the persons involved must be given opportunity to develop new ways of behaving in relationships with others and new skills relative to their new responsibilities. • Attitude: when behavioral changes are required, persons must be given opportunity also to change the assumptions and values which guide their behavior and condition their attitudes toward change. ANALYSIS OF CHANGE Any situation can be considered as a dynamic balance of forces working in opposite directions. Until some imbalance in these forces is created to upset this equilibrium, no change in the situation will take place. • Equilibrium: Kurt Lewin called this dynamic balance a quasi-stationary equilibrium. Thus only at a distance does a situation (an organization, community, family, person) look as if it were moving along without any stress or strain -- A Z • Forces: A closer look reveals the apparently stable situation to be seething with activity, with many forces for change encountering an equal number of opposing forces which resist change. The resultant of the total forces, for and against change, is the equilibrium at a well defined level—a delicate balance of activity that produces a quasi-stationary situation. The several forces may differ in strength; but opposite forces are equal, since every force generates its own opposite force and since to every action there is a reaction. ,.b ri c 1. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 — 4 • Driving Forces: One set of forces moves the situation in the direction of an anticipated change ("a"). • Restraining Forces: One set of forces restrains the situation. from moving in the direction of an anticipated change ("b"). • Residual Forces: Some forces which are present but latent do not operate or appear until a strong turn in one direction or the other releases them ("C"). • Standards: Within any dynamic system there emerge certain standards or norms which govern the conduct of the system and set boundaries to the freedom of movement or behavior within the system. The more an individual or subpart of the system deviates from a particular standard, the more pressure is brought for conformity. Standards are thus stabilizing factors and always emerge as forces resisting change,just as the stabilizing forces become increasingly evident as the angle of a boat's roll increases. • Tensions: The upper and lower limits of fluctuation in a force field represent the limits of freedom within a dynamic system. The greater the degree of freedom (of fluctuation in the force field), the more effectively can additional forces be absorbed. So also an accumulation of forces increases the tension and reduces the freedom with which members of the system can function. Similarly an expanded spring can reduce the effect of any force upon an automobile; an accumulation of forces causes the automobile spring to compress, shocks are sharply felt and may be destructive. t { ` . v l ® CSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 5 • Analysis: A Force Field Analysis is a useful diagnostic tool in the planning of change. A given situation may be analyzed by assessing the various forces--their type, direction, strength, source and modifiability. In so doing-it should be remembered that a particular force does not necessarily represent a particular person, one may be associated with several different forces, and that a force is the result of an attitude or action. Thus opposing forces express not merely differences of opinion among persons, but also the indecisions and tensions within and between individuals. Increasing the Driving Forces: Change might be brought about by increasing the number and strength of the driving forces. Two risks are involved. The amount of tension is increased, thereby limiting the freedom of individuals in the system. Such may be necessary in a static situation; but it may also produce destructive aggressiveness, emotionality, ineffectiveness. Unless the number and strength of the driving forces is maintained, the old situation may gradually return and the change be undone with a high degree of tension still remaining. 1 w 4 1 j j L 1 I l � Decreasing the Driving Forces: Change might be brought about by decreasing the strength and number of driving forces, or by converting them from driving to restraining forces. The immediate effect is to reverse the direction of change. Also affected may be the degree of tension, the degree and rate of change. Such a strategem may prove effective, however, in certain situations--particularly in order to reduce tension--even though it immediately biases the situation to some degree against the desired change. 1 , OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 6 Decreasing the Restraining Forces: Change might be brought about by decreasing the strength and number of restraining forces. Such a reduction can usually be best accomplished through increased participation in problem-solving and decision-making processes by the persons who are affected by the change effort. Reduction of tension (by changing standards) thus becomes the first priority so that the persons involved are free to express their feelings about an anticipated change and their reasons for resisting the change, as well as being enabled actually to influence the direction, degree, momentum and stability of change. So also group standards, as restraining forces, being always against change, will tend to maintain the new standard and stabilize the change rather than resist as before. The net effect of decreasing the restraining forces is an increase in the relative strength of the driving forces and therefore in the rate of change. Two risks are involved. Tension may be reduced to a static state, thereby decreasing the effectiveness of the dynamic sense. Some of the driving forces may lapse into residual forces, thereby decreasing the total strength of the forces for change and the consequent degree and momentum of change. . Y � � 1 I - RESPONSE TO RESISTANCE Since every force calls into being a counter-force, resistance in some degree is to be expected whenever change is planned. Such resistance can serve a number of useful functions—by disclosing inadequate communication, problem-solving, and decision-making processes; by forcing a clarification of the purpose for change, a re-examination of the possible consequences, and a revision of plans. • Ineffective Responses to Resistance: Some of the common but usually ineffective reactions to opposition include: defense: reacting to resistance as a personal attack by responding with self-justification. persuasion: attempting to argue persons out of their resistance by responding with information or ideas to expressions of feeling. advice: avoiding the expression of feeling in the development of a rational analysis of the problems being encountered by the subtle transfer of feelings to the other person. censor: meeting opposition by the expression of an attitude of disapproval. control: seeking to gain enough power or influence to force the change by controlling the opposition. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 7 punishment: bringing the opposition into line by withholding rewards, attacking motives, or even eliminating its source. • Appropriate Responses to Resistance: since resistance exists, it can serve most creatively when allowed full expression through: consensus: problem-solving and decision-making processes which involve everyone affected by the change. freedom: standards that create a relaxed atmosphere of trust and acceptance. analysis: the accurate assessment and interpretation of the forces at work in the situation for which change is anticipated. PHASES OF PLANNED CHANGE Kurt Lewin in his pioneering analysis of the process of change identified three aspects of the change process: unfreezing the system at its present level, moving to the new level, and freezing on the new level. Studies of change have since identified the following seven phases in the process of planned change--phases which do not necessarily progress in an orderly developmental sequence. 1 . Development of a Need for Change Before a process of planned change can begin, the difficulties confronting a system must be translated into actual problem awareness, into both a desire to change and a desire to seek help from outside the system, i.e., from a change agent. The need for change may be initiated by a change agent who discovers a difficulty in a potential client system and takes steps to stimulate awareness, by a third party who brings agent and system together, or by a subpart of the system itself. • Steps —awareness of the system's difficulties —desire for change on the part of the system —desire for help from outside the system • Problems —different degrees of problem awareness within the system —motivation of vested interests to reject problem awareness —communication blockages which inhibit spread of awareness —resistance to or inaccessibility of outside help 2 . Establishment of a Change Relationship Once the desire for change and for help has been established, a working relationship must be developed between the client system and the change agent. So many unknowns exist at this point that neither party can be sure the relationship will progress satisfactorily. Thus the success of the entire change process impinges to a great degree on the quality of the relationship. @Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 8 • Steps —assessment of the client's motivations and resources to use help —assessment of the agent's motivations and resources to give help —establishment of mutual expectations for the change relationship —establishment of a trial period for the change relationship • Problems —client system's initial impression of the change agent —kind and degree of effort required of the client —empathetic and neutral posture of the change agent —change agent's understanding of the client's difficulty 3 . Diagnosis of the Problem The process of working toward change actually gets underway with the task of clarifying and diagnosing the nature of the difficulty. Since the extent and implications of the problems as originally understood will in all likelihood change, this phase is a trying period for both parties. • Steps —collection and analysis of data relevant to the problem —collaboration between client and agent in further diagnosis • Problems —changing interpretations of the problem —defensive reaction of threatened vested interests —inaction emerging from a sense of defeat in the client system —over-dependency of the client on the agent —hostile rejection of diagnostic interpretations 4 . Establishment of Goals for Action At this stage the diagnostic interpretations of the problem is translated into definite intentions to change by the examination of alternative solutions and possible means of action. • Steps —assessment of alternative possibilities for action —identification of possible leverage points —decision and emotional commitment to act —development of a procedural plan • Problems —resistance to actually giving up certain present satisfactions —anxiety over possible awkwardness or failure in attempting change —need for opportunity to explore and test consequences of change OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 9 5 . Transformation of Intentions into Actual Change Efforts The success of any change effort is measured by the way in which plans and intentions are transformed into actual achievements. • Steps —inauguration of action —examination of results —decision to continue,modify, or abandon the plan for change • Problems —eliciting support when and as needed from the change agent —securing acceptance of change efforts from subparts of the system —obtaining adequate feedback on the consequences of the effort 6 . Generalization and Stabilization of Change A critical factor in any process of change is the degree to which an accomplished change will remain a stable and permanent characteristic of the system. • Steps —institutionalization of the change within the system —maintenance of the change by structural and procedural changes • Problems —spread of change to outside systems or subparts of the system —confirmation of positive results from objective data 7 . Achievement of a Terminal Relationship The final phase of planned change is that of ending the relationship of the client and the agent. It should be noted that this termination can come as early as the end of the third phase. • Steps —assessment of client's ability and readiness to maintain the change —development of a substitute for the agent within the client system —redefinition of the agent's role as an occasional consultant • Problems —dependence of client on agent for support and guidance —unforeseen conflicts resulting from the change —ability of the client to solve new and different problems ©Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 10 ROLE OF THE CHANGE AGENT Persons who initiate change or give some degree of direction to the forces involved in an anticipated change are referred to as "change agents". Examples of professional change agents are: with individuals, the clinical psychologist; with groups, the social worker; with organizations, the management consultant; with communities, the adult educator. The main dimensions of the change agent's role include: • Diagnostic Clarification of the Problem —what is the situation in which a difficulty exists? —what is the nature of the difficulty? —how did it begin? —what is maintaining it? • Assessing the Client System's Motivation and Capacity for Change 0 —what are the client's reasons for desiring change? —how ready is the client system to enter a helping relationship? —what are the forces for and against change? r Assessing the Change Agent's Motivation and Resources for Help —what rewards does the change agent seek from the relationship? —how acceptable are the agent's motives to the client system? —what effect will the agent's needs have on his ability to help? —what support is available to the change agent? —what is the agent's particular competence to help? • Selecting Appropriate Change Objectives — how explicit can the objectives for change be? —what is the most accessible starting or leverage point? —what is the most effective sequence of steps? —with whom should the change agent begin to work? —who should be drawn into the change process? —what is the linkage between leverage point and other subparts? • Choosing the Appropriate Helping Role —mediating and stimulating new connections within the system —presenting expert knowledge on procedures —providing strength from within the system —creating special environments to facilitate leaming —giving support during the process of change • Establishing and Maintaining Relationship with the Client System —developing a positive attitude or willing cooperation —clarifying expectations about the change relationship —regulating the intensity and quality of the relationship OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 11 • Guiding the Phases of Planned Change —recognizing the development of the change process —recognizing the emotional tone of each phase • Choosing Appropriate Techniques —establishing criteria for making contributions —deciding upon the most appropriate means of help OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 i -9 Everybody negotiates - not just union officials, diplomats, and terrorists. You negotiate when you ask for a raise, apply for a job, dispute a grade with a teacher, buy a car or a house, sue somebody, or ask your landlord to paint your apartment. Any time you want something from someone who may have conflicting interests, you are potentially in a negotiating situation. Negotiation is a skill that helps you get what you want from others without alienating them. It's for people who are not intimate and therefore wouldn't use fair fighting or expressing skills. Negotiation is a process whereby people with different or even opposing needs can arrive at a fair agreement. Though both sides want to win, their best interests are served by generating a mutually acceptable option. Even the most complicated negotiations can be broken down into four stages: Preparation. Before you actually meet the opposing side, you need to figure out what outcome you want most, what would be less satisfactory but still acceptable, and what constitutes the worst deal you'd accept. During time-outs from negotiation, you'll do more preparation by looking up information,planning your strategy, and brainstorming to create optional proposals. Discussion. You and your opponent describe the facts of the situation, how you feel about it, and what you think about it. You explain to your opponent how the situation looks to you in terms of both sides' interests and needs. Discussion is the major means of resolving deadlocks: you ask for more information about the other side's interests and you elaborate your own point of view. Proposal/Counter-proposal. You make an offer or a request. Your opponent makes a counter-offer. This cycle is repeated several times, perhaps interspersed with more discussion or with time-outs to think things over. As new proposals and counter-proposals evolve, their terms move ever closer together in the classic ballet of compromise. Agreement/Disagreement. Disagreement returns the negotiation to the discussion stage, or if a time-out has been called, to the preparation stage. Disagreement is a natural step in negotiation. It's a signal to try again, not a brick wall that stops everything dead. Eventually you'll come to agree on a mutually acceptable option. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 2 Here's how the four stages of negotiation would work in buying a used car: Preparation. Terry wants to buy a dependable car that's comfortable, gets reasonably good gas mileage, and won't cost him more than $1,500. He researches the want ads, talks to a mechanic, and consults a knowledgeable friend. He decides to look for a five to ten year old mid-size sedan that has had good care. He'll accept an older car if it's in exceptional shape and has low mileage. He wants a radio, but isn't interested in paying extra for fancy stereos or other exotic accessories. Discussion. Terry calls up Alfred, who has advertised an eight-year-old Ford for $1,700. Terry tells him that he is looking for a dependable car in good shape. He gathers information: Mileage? 79,000 miles. Engine? Recent valve job. Tires? Fair. Body? One small dent in right fender. Paint? Faded. Based on this discussion, Terry sets up an appointment to test drive the car. He does not mention money at this stage, since he doesn't really have enough information to make a definite offer. Although the car is priced over his limit, he suspects that Alfred will probably come down. Proposal/Counter-proposal. Terry drives the car and finds it satisfactory. At the end of the test drive, he says to Alfred, "Well, you're right, it's a nice car. I like everything about it but the price is just a little more than I want to pay. How about$1,350?" Terry arrived at this amount by figuring that if the car was priced $200 more than he wanted to pay, he'd better offer about$200 less than he wanted to pay, so he'd have some room to negotiate. Disagreement. Alfred isn't pleased with the offer and declines. He says that he has to get at least $1,600 for the car. Terry knows that Alfred's disagreement is actually an invitation to return to discussion. Discussion. Terry asks for more information: 11,600 seems like quite a bit for an eight- year-old car. Is there something special that sets it apart?" Alfred points out the car's expensive stereo tape deck, AM/FM radio, and mag wheels. He shows the receipt for a rebuilt transmission. He says that the car has always had regular maintenance and only two owners. Proposal/Counter-proposal. Terry agrees that these considerations are important, although he isn't interested in fancy extras like tape decks and mag wheels. He offers $1,450. Alfred comes down to $1,550 and says it's as low as he can go. Terry says, "Look, it seems like we're stuck because you want an extra $100 for a stereo system that I don't even care about. How about taking the stereo out? You can keep it." Agreement. Alfred laughs. "Forget it," he says," it's too much trouble. Let's split the difference. You can have it for $1,500." Terry drives home in his new car, stereo blasting. @Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 3 Conflict Your attitude toward conflict will determine your success at negotiation. Conflict is inevitable no matter how you try to avoid it. The smart way to think about conflict is to see it as a positive opportunity for change. By skillful negotiating you can make the change a favorable one for you. Dealing with conflict often seems to boil down to a no-win decision: Should you be softhearted and make friends, or should you be hardheaded and make enemies? In the softhearted approach the goal is agreement at all costs. You make concessions, you trust everybody, you yield to pressure, you disclose your bottom line early in the game, and you end up paying too much for a car you don't really like. In the hardheaded approach the goal is winning at all costs. You demand concessions, you distrust everybody, you apply pressure, and you he about your bottom line. You end up with either a cheap car and an enemy for life or no car and an enemy for life. You can steer between these two extremes by taking the principled approach. In the principled approach the goal is a fair, mutually agreeable outcome. Personalities and trust don't enter into it, so you can stay friends of stay strangers and still benefit from the outcome. You avoid talking in terms of a bottom line or digging into a position. You reason with your opponents and are open to reason. You yield to principle, but never to pressure. Proposals and counter-proposals are judged according to objective criteria rather than seen as contests of will. You end up paying a fair price for the car you want. Rules of Principled Negotiation Separate the People from the Problem Conflict doesn't have to mean hostility. A situation can be considered separately from the personalities involved. Conflict becomes hostile when both sides choose positions. You settle on your position in the matter and dig into it. You identify with that position so strongly that an attack on your position becomes an attack on your self-worth. The way out of this trap is to keep the people separate from the problem at hand. Don't enter negotiations with a single, rock-solid position. Instead, enter with the attitude that many options are open to you. You and your opponent are decent, reasonable people who want to reach a fair solution to a problem in which you both have some legitimate interests. For example, suppose you and three other tenants are meeting with the owner of your apartment building to discuss maintenance of common areas. You want the halls cleaned more often, you want burnt-out bulbs on landings replaced promptly, and you want the back fence repaired. The wrong way to approach this meeting is to show up with a typed list of non-negotiable demands,throw it in your landlord's face, and say, "You've got one week to shape up, slumlord, or it's rent strike time." OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 4 This approach will get you nothing but a crash course in local eviction law. The right approach is to quietly say, "We've come to discuss how we might improve the common areas of the building. When you hear our requests, we think you'll agree that they're reasonable, and probably you'll want to make some suggestions of your own." Understand the People Empathy, active listening, and honest self-expression are as important in negotiation as in everyday communication with intimates. Put yourself in your opponent's shoes. Imagine what he feels, what he thinks about the situation, and what he needs to get out of it. But don't mind-read his intentions as a projection of your own fears. Just because you're afraid the boss has picked someone else for a promotion, you shouldn't automatically assume that he has. Use your active listening skills to elicit your opponent's feelings, thoughts, and needs: "The way I understand it, you're afraid a younger person in that job might not be effective. You think experience is important in the department. You need a capable, hard-working employee who can start making changes right away." Feeding back information makes an opponent feel that he or she has been heard and shows that you take the opposing side seriously. You sound intelligent, considerate, and fair. Honestly share your own feelings, thoughts, and needs. Let your opponent understand you, just as you are trying to understand your opponent: "I feel frustrated by the old paradox: you need experience to get good jobs but only good jobs give the right kind of ® experience. I think I have what it takes in terms of judgment, energy, and dedication. All I need is a chance to show what I can do. How about a three-month trial assignment?" State the Problem in Terms of Interests Behind conflicting positions he shared and compatible interests as well as opposing ones. The shared interests are the reasons people keep negotiating. You'll never hear a TV news announcer say, "Talks between U.S. Steel and the United Steel Workers broke off forever today. U.S. Steel quit and decided to go into the franchise food business, and the Steelworkers quit and took up gardening." You'll never hear it because shared interests will drive both sides back to the bargaining table again and again until a new agreement is forged. When an opponent states a position or demand, uncover the interest behind it by asking, "Exactly why do you want ? Why don't you want T, For example, as the owner of the house you want to rent, "Exactly why do you want a $300 cleaning deposit?" You may find out that the last tenant stabled a horse in the back bedroom, or that$300 is exactly what it cost to clean the house the last time it was vacant, or that the landlord is $300 behind in the mortgage payments. By uncovering the landlord's interests in the matter, you may uncover a way to compromise: a written no-pets clause in the lease, three months in which to pay the deposit, or a deposit that's partially refundable in six months upon inspection of the premises. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 5 In looking for the interests behind positions, be sensitive to basic human needs for security, trust, intimacy, and self-esteem. They can be more important to you and your opponent than dollars and cents. For example, many Japanese companies are organized to show a consistent concern for their employees' emotional needs. These companies enjoy high productivity and profits, low staff turnover, excellent worker morale, and virtually none of the labor problems that plague American corporations. Often your opponent will stick to a position not because he or she needs the additional $300, but because giving in on the $300 means losing self-esteem. You can help your opponent save face by refraining the compromise as generosity rather than giving in. Labeling the act of compromise as a positive virtue is often very helpful. It takes time to explore interests. You should hold off from blurting out your preconceived solution until both sides have had a chance to air their concerns. You may discover some flaws in your pet solution or find ways to improve it as the discussion continues. Stating problems in terms of interests makes you focus on the future, since that's almost always where your interests lie. Focusing on future desires is helpful because it discourages old, familiar foes from raking up past complaints. For example, suppose you want to have a room added onto your house. You have $10,000 to do the job but the lowest bid you've received is for $11,500. You state your interests to the low-bidding contractor like this: "We want another bedroom because my sister is coming to live with us next January. We have exactly $10,000 saved up to do the work. I think the specifications I gave you are as simple and economical as possible. I don't want to settle for a smaller room or cheaper materials that won't match the rest of the house. Is there any way you can see to get this job done for$10,000?" The contractor reveals his interests in this manner: "I've done a careful estimate on materials and labor, and there's just not that much slack. At$10,000 I'd be losing money. This is my busy season and there's plenty of work around at top rates, so it doesn't make sense for me to squeeze in a job like this now, at less than a full profit." You're quick to sense where his interests lie, so you ask, "What about your slow season? You could do the foundation, framing, roof, and walls now, at full rate. Then next fall when you have more time and need the work, you could come back and finish up the interior at a reduced rate. I'll pay part now and put the rest of the $10,000 in the bank at interest. When we settle up, I'll throw in the interests so the total will be more than $10,000. You'll have some work in the slow season and I'll have my $10,000 room by January." By exploring your mutual interests, you have uncovered one of the classic trade-offs: time for money. You're on your way to getting what you want at a fair price without alienating the contractor. @Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 f 6 List Options Preparation. Before you start looking for options, work on your attitude. Adopt the attitude that there are probably several possible solutions that will be acceptable to both sides. Get rid of the notions that there is only one best way to divide up the pie, that the pie is only so big, and that you absolutely must get the biggest piece. These are all self- defeating ideas. There are actually several good ways to cut up a pie. You may even find a way to make the pie bigger. And ending up with the biggest piece isn't always ideal, especially if you antagonize people and end up getting your pie in the face. Do your homework so that you really know what's fair. Find out what's common practice, how much others are earning, what similar items are selling for, the rent on comparable houses in town, the medical benefits supplied by other companies, other respected teachers' grading practices, other departments' sales figures or absentee rates, and so on. Precedents and benchmarks help you generate reasonable proposals. Brainstorming. To generate opinions, try brainstorming with your constituents or other interested parties. Gather together five to eight people in a place somewhere other than your usual surroundings. Pick one person to keep the meeting on track, enforce the groundrules, and encourage participation. Seat the people side-by-side or in a circle: the feeling of formality that comes from being squared off across a table may inhibit creativity. Have the leader explain these groundrules: criticism is absolutely forbidden, the session is off the record, and ideas won't be attributed to the individuals who suggest them. Come up with a long list of ideas, the more and the wilder the better. Approach the problem from all angles. Record all the ideas on a blackboard or large sheet of paper so that everyone can see them. When no new ideas are forthcoming, declare the freewheeling part of the session over. Now you can be critical. Underline the most promising ideas. Try to combine and alter the best ones to make them better. You should end up with a list of good ideas, any of which could become an acceptable proposal in the next negotiation session. If you're on your own and don't have any brainstorming partners handy, try looking at the problem through the eyes of many imaginary experts. How would the problem be solved by a judge, a cop, your mother, your father, an engineer, a lawyer, a psychologist, a priest or minister or rabbi, a salesman, a politician, or any other kind of expert? Looking at the problem this way can momentarily free you from your personal set of blinders. To increase the number of your options, consider some of the time-tested methods of compromise. Even very young children understand the obvious fairness of "You cut the pie and I'll choose my piece first." A classic way of fairly dividing disputed property or goods is splitting the difference. If you think the options you've come up with are too hardheaded for your opponent to accept, consider the many ways in which agreements can be softened. Fundamental changes in policy can be made into merely procedural changes. Permanent alterations can become only temporary. Comprehensive plans can be applied partially. Final agreements can be changed to agreements in principle. Unconditional demands can be made contingent. Binding decisions can be made nonbinding. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 7 An example of generating options is the case of Thelma's raise. Thelma worked for an advertising firm that had come on hard times. She was up for her annual salary review and she wanted a twenty percept raise. However, her co-workers had been getting annual raises of five percent, so her chances didn't look good. She decided that despite the unpromising precedents she would adopt the attitude that there were probably several ways for her to get the raise she wanted from the company. Thelma brainstormed her options with her family, friends, and a colleague from another department. Putting several people's imaginations to work gave her many different ways to look at her problem. Some of the suggestions had to be tossed out. Threatening to quit was impractical and embezzlement and blackmail were illegal. However, one suggestion made Thelma realize that more fringe benefits might be just as good as a raise in pay. She could ask for a company car to drive, a nicer office, better equipment, secretarial help, time off, or a flexible schedule. The company might be willing to give her come of those goodies in addition to the five percent that everybody else got. Thelma also realized that she had been thinking in terms of getting paid more for the job she was doing. Brainstorming made it clear that a promotion or transfer could mean more money automatically, without the company having to leap the psychological hurdle of a larger-than-average raise. Thelma then tried looking at the situation through the eyes of raise experts - her boss and the head of the personnel department. This simple exercise made it clear that the only compelling reasons for giving raises were increased cost of living, increased productivity, increased profit, or increased responsibility. Her personal financial needs would carry little weight with management. Thelma faced the fact that she might have to compromise or soften her requests. She decided that she would be willing to split the difference between the twenty percent raise she wanted and the five percent she was likely to be offered, especially if the pot was sweetened in some other say. She was also prepared to spread her raise over time or to make it contingent on increased productivity. She found that her original option -demanding a big raise because she needed it - had now expanded to a long list of strategies and options: Point out increased cost of living and increased productivity in present position. Show that productivity could be increased by secretarial help and use of a company car. Ask for more responsibility, such as taking over the quality control reports when Jones retires. Volunteer to head up the market research project that everybody says should be done. Offer to work some free overtime to get it started. Ask for twenty percent, secretarial help,company car, and flexible hours. Compromise on fifteen percent now and twenty percent in six months if productivity increases as predicted. Thelma was now ready to go into her boss's office and negotiate effectively. @Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 8 Turning Options Into Proposals. You've established a good working relationship with your opponents. You've stated and discussed the problem in terms of your mutual and conflicting interests. You've privately prepared your list of acceptable options, and now you're ready to make a proposal. Approach the proposal slowly. Describe the option you like best in detail. Then move on to the next best one. Ask your opponents which option they prefer. By offering choice and inviting discussion, you avoid confronting them with an ultimatum that will lock them into a defensive position. Sometimes the opposition will even start brainstorming with you in a genuine attempt at joint problem solving. If at any point in describing your options you find your opponents in an agreeable frame of mind, hit them with a "yesable" proposal. A yesable proposal is one of your acceptable options stated as a direct question to which "yes" is an easy answer. For example, if you want a twenty percent raise you should ask, "If I can straighten out the production bottleneck and increase productivity, would you be willing to give me a twenty percent raise?" This proposal is much better than "I really need a twenty percent raise. Why can't I have it?" The first proposal is conditional on something the boss wants, and can't be denied without implying that increased productivity is undesirable or that excellence shouldn't be rewarded. The second proposal is poor because it's based only on your needs and invites the boss to make a list of reasons why not. The following is a list of deniable proposals restated as yesable proposals: Deniable Yesable I want this apartment painted Would you rather paint our and I want it painted by the time apartment right now, or next I get back from vacation. month when we'll be out of town? Give me the preliminary report If I give you until the end of on the 15th and the final figures the month to get the final figures, no later than the 30t.h. can you provide a preliminary report by the 15th? No matter what you say, I'm not Assuming we can agree on all paying more than$100,000 for the other terms and contingencies, this house. How about it? I'm prepared to offer up to $100,000 for this house. Does that seem like a reasonable offer? Note: If you are having trouble getting a "yes" from an otherwise agreeable opponent, make sure that the person you're dealing with is actually empowered to make the decision. If not,you'll need to go over his or her head and negotiate with the person who does have the power to say "yes." OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 9 When the Going Gets Tough Opponents Who Have All the Power When you are faced with an opponent who has all the power you have to be realistic. The odds are that you'll lose. Before going into the negotiation, you should figure our your best alternative to a negotiated decision. What are you going to do if you get turned down flat? Knowing this before you go in gives you some certainty. If your best alternative is a strong one, you can let your opponent know about it in the form of a threat: "If you don't give me this promotion, I plan to quit and go into the dry cleaning business with my brother-in-law." Be sure that your threat is believable. If you're not really prepared to go through with it, it's not believable. It's an empty bluff and a bad tactic. When your best alternative to a negotiated agreement is a weak one, you should conceal it. For example, you should keep quiet if you have no brother-in-law in the dry cleaning business to fall back on. If your alternative to getting the promotion is to continue meekly in the same dead-end job, you're in no position to make threats. Whatever your alternative, make sure you've done your homework. Have all your facts and figures complete and accurate. Come down very hard on objective criteria. Appeal to your opponent's sense of fairness and hope for the best. ® If many other people share your one-down position in relation to a powerful opponent, you can adopt the tactics of minority power politics. This means pulling power out of thin air. You go around drumming up support among like-minded people. You form a committee or a party. You hold meetings and rallies and press conferences. You become an expert on the problem. You focus the harsh light of publicity on your opponent's unfairness. Hardliners Who Won't Cooperate Sometimes an opponent will dig into a position and refuse to budge. When this happens, resist the impulse to launch an all-out attack on the position. Instead, look behind the position for the underlying interests. If management absolutely refuses to even consider a dental plan, make a list of all the reasons they might have: funding a plan will be too expensive, new employees will run up huge bills for long-standing dental problems,people will get expensive cosmetic work done, it's too hard to administer, available plans conflict with the existing medical plan, and so on. When you think you understand your opponents' interests, ask a question: "Why do you refuse to consider a dental plan?" Then sit back and wait for an answer. Let silence drag on and on. If you get a non-answer like "It's against company policy," counter with "Why is it against company policy?" Then try more specific questions such as, "Is it too expensive...? How expensive is it...? What would it cost to administer...? Are you afraid employees will take advantage of your generosity...?" Don't forget the long silence after each polite question. Your goal is to get the hardliner talking about the problem. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 10 Other times an opponent talks to much, and the entire response is an attack on your position. When this happens, resist the impulse to dig in and defend your position. Rather, adopt the judo tactic of diverting your enemy's force. You divert attacks on your position by welcoming criticism: "That's very interesting. What other ideas do you have about my plan? How could we improve it?" You involve your opponent in helping you create additional options. Sometimes a hardliner will attack you personally. The way to divert personal attacks is to redefine them as attacks on the problem. For example, when the management spokesman accuses you of "irresponsibly stirring people up with this ridiculous dental plan fantasy," you must stifle your impulse to call the spokesman a hypocritical stooge of a reactionary management. Instead, you should reframe the attack like this: "You're right, people are very stirred up about the dental plan, and I appreciate the fact that you feel strongly about it too. It's a serious problem that deserves the attention of all the responsible leaders in the company." Reframing personal attacks is a highly subtle use of flattery and flimflam. It defuses hostility and gives hardliners a graceful way to start cooperating. Then there are the times when both sides of a dispute have so much at stake that neither is willing to relax from a hardline position. In these situations the best solution to use is the "one-text" procedure. That's how the Camp David agreement between Egypt and Israel was reached. The United States prepared the text of a possible agreement and presented it to both sides. Each turned it down, giving specific reasons. Then the U.S. came up with a second draft and submitted it. Thirteen days and twenty-one drafts later, the agreement was signed. The success of this method depends on each side simply saying yes or no to successive texts, without direct confrontation or argument. Opponents Who Play Dirty There are many kinds of dirty negotiating tactics: lies, deceptions, psychological warfare, bribery, blackmail, and so on. Some books are full of tips on what to do if they seat you with the sun in your eyes or how to deal with a bribe. They make entertaining reading, but actually you need only one tactic to handle dirty tricks: call process and negotiate for fair play. "Calling process" means that you stop talking about the subject of the session and talk about the process that's going on: "Before we get into the discussion of rate hikes, I'd like to point out that this chair is too low and the sun is in my eyes. Surely we're not going to play one-upmanship games in a serious negotiation like this?" Expose the dirty trick for what it is. Then negotiate for an agreement to proceed according to the rules of principled negotiation. Explain that you understand the temptation to take every possible advantage, and that you don't take it personally. But point out that everyone's interests will be better served if you approach the problem as honest people who are amenable to reason. Explain that you're here to find some options that will serve you shared interests and reconcile your opposed interests. Invite your opponents to help you look for options that will benefit everyone. Suggest some objective criteria by which those options can be judged. Conclude with, "If we're agreed that we should proceed in a civilized manner,then let's find me another chair and get on with it." OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 Most of the time, this approach will work. If it doesn't, it may be time to call in a neutral mediator. You may encounter a conflict that can't be negotiated. This happens when your opponents want the conflict more than they want resolution. For example, the union may want to keep tempers and uncertainty high until the contract deadline is closer. Management may want to prolong negotiations until the union's strike fund is exhausted. Student demonstrators may want publicity more than they want grade reform or job placement programs. Until you uncover and deal with such hidden agendas, negotiation is impossible. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 UNDERSTANDING YOUR M, (ORGANIZATION'S CHARACTER 48P By: Roger Harrison i The resolution of organizational conflicts requires a knowledge of the basic ideological differences that underly them FOREWORD The character of an organization,according to this author,is rooted in its ideological orientation. He postulates four separate ideologies that determine(a)the compatibility of an organization's interests with those of its members and (b) an organization's ability to deal with the external environment. He argues, moreover, that the failure to understand ideological differences often causes conflict between organizations as well as within them. After discussing the different ideologies and the types of organizations they embody, the author presents an overall framework for determining the optimum ideological fit of organizational interests and human interests. Mr. Harrison is Vice President of Development Research Associates, Inc. of Newton Center, Massachusetts and is based in London. As a social psychologist he is concerned with the design and building of organizations to cope with unusual stresses and with the development of initiative and autonomy through experience-based learning processes. He has taught in the Department of Industrial Administration at Yale University. i The failure to recognize the ideological issues that underlie organizational conflict is common among managers and administrators. Usually the issues are recognized only when they are blatant and the lines of struggle are drawn, as in labor-management relationships. But by then the conflict may well have developed to the point where a constructive resolution is virtually impossible. While the term "organization ideologies" is perhaps unfortunately ambiguous, it is the best name I can apply to the systems of thought that are central determinants of the character of organizations. An organization's ideology affects the behavior of its people, its ability to effectively meet their needs and demands, and the way it copes with the external environment. Furthermore, much of the conflict that surrounds organization change is really ideological struggle (an idea that is certainly not new to political science but one about which behavioral scientists have, until recently, been curiously quiet). For example , during the commissioning and start-up stages of a U.S. chemical plant in Europe, it became apparent that the Americans and local nationals involved had rather different ideas about decision making and commitment to decisions. Consider the approach of each group: • The Americans tended to operate within what I shall later describe as a task-oriented ideology. In problem-solving meetings they believed that everyone who had relevant ideas or information should contribute to the debates, and that in reaching a decision the greatest weight should be given to the best-informed and most knowledgeable people. They strove, moreover, for a clear-cut decision; and once the decision was made, they usually were committed to it even if they did not completely agree with it. Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 • Some of the nationals, however, came to the project from very authoritarian organizations and tended to operate from a power-oriented ideological base (this will also be described later). Each individual seemed to be trying to exert as much control as possible and to accept as little influence from others as he could. If he was in a position of authority, he seemed to ignore the ideas of juniors and the advice of staff experts. If he was not in a position of authority, he kept rather quiet in meetings and seemed almost happy when there was an unclear decision or no decision at all. He would then proceed the way he had wanted to all along. The task-oriented people regarded the foregoing behavior as uncooperative and, sometimes, as devious or dishonest. The power-oriented people, however, interpreted the task-oriented individuals' emphasis on communication and cooperation as evidence of softness and fear of taking responsibility. Each group was engaging in what it regarded as normal and appropriate practice and tended to regard the other as difficult to work with or just plain wrong. The fact that the differences were ideological was dimly realized only by the more thoughtful participants. The remainder tended to react to each other as wrongheaded individuals, rather than as adherents of a self-consistent and internally logical way of thinking and explaining their organizational world. In this article I shall present a theory that identifies four distinct, competing organization ideologies and their meaning for the businessman. But, first, let me attempt to further clarify the concept. Here are the most obvious functions that an organization ideology performs: • Specifies the goals and values toward which the organization should be directed and by which its success and worth should be measured. • Prescribes the appropriate relationships between individuals and the organization (i.e., the "social contract" that legislates what the organization should be able to expect from its people, and vice versa). • Indicates how behavior should be controlled in the organization and what kinds of control are legitimate and illegitimate. • Depicts which qualities and characteristics of organization members should be valued or vilified, as well as how these should be rewarded or punished. • Shows members how they should treat one another--competitively or collaboratively, honestly or dishonestly, closely or distantly. • Establishes appropriate methods of dealing with the external environment-aggressive exploitation, responsible negotiation, proactive exploration. VALUES & IDEOLOGIES An organization ideology, however, is more than a set of prescriptions and prohibitions. It also establishes a rationale for these "do"s and "don't"s. This rationale explains the behavior of an organization's members as well as the working of the external environment (in the latter case, by telling members how to expect other people and organization systems to behave). The rationale of an organization ideology is similar to what behavioral scientists call "organization theory." The difference is that behavioral scientists try with varying degrees of success to keep their values from influencing their organization theories; people, for the most part, do not try to Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 keep their values from influencing their organization ideologies. (This is one reason why education about organization behavior is likely to be so emotionally loaded; if you change a man's organization theory, he usually ends up questioning his values as well.) Among people in organizations, ideas of"what is" and "what ought to be" merge into one another and are--or are made to appear--consistent. Here is an example: The ideology of a large U.S. manufacturer of consumer products prescribed that work should be organized in the way that produced the most profit. If this meant that some organization members had boring jobs which offered little opportunity for satisfaction and pride in their work, then it was unfortunate but ideologically irrelevant. According to the rationale of this ideology, a majority of ® people did not have much aptitude or desire for responsibility and decision making, anyhow, and those who did would rise by natural selection to more responsible, satisfying jobs. Some young managers, however, had rather more egalitarian personal values. They uneasily suspected that there were more boring jobs than there were apathetic people to fill them. They ® were very excited about a group of research studies which attempted to show that giving employees more responsibility and involvement in decision making actually led to improved performance. But in my discussions with the managers, I found that the studies' instrumental value in improving organization effectiveness was not the cause of their popularity; rather, they were welcomed because they helped the managers reconcile their personal values with the dictum of the prevailing ideology that work should, above all, be organized to produce the best economic result. (I have, in fact, found that behavioral research findings are usually accepted or rejected on such ideological grounds instead of on the probability of their being true.) A CONCEPTUAL FRAMEWORK There is considerable body of thought in political science which holds that attempts to resolve ideological struggle or unwarranted interferences with the natural course of history and as such are doomed to be ineffectual. I do not feel that this theory has been adequately tested, particularly in regard to organization change and development. The first step in testing it is to develop ways of discovering and understanding ideological conflicts when they arise in organizations. In the remainder of this article I shall present a conceptual framework for doing this. It postulates four organization ideologies: (1) power orientation; (2) role orientation; (3) task orientation; and (4) person orientation. These ideologies are seldom found in organizations as pure types,but most organizations tend to center on one or another of them. I shall describe and contrast them in their pure form to emphasize their differences, and then indicate what I believe to be the strengths and weaknesses of each. After this I shall apply the conceptual model to some common conflicts in modern organization life. Power Orientation An organization that is power-oriented attempts to dominate its environment and vanquish all opposition. It is unwilling to be subject to any external law or power. And within the organization those who are powerful strive to maintain absolute control over subordinates. The power-oriented organization is competitive and jealous of its territory (whether this be markets, land area, product lines, or access to resources). It seeks to expand its control at the expense of others, often exploiting weaker organizations. Even a weak power-oriented organization takes satisfaction in being able to dominate others that are still weaker. Such organizations always attempt to bargain to their own advantage and readily find justification for abrogating agreements which are no longer self-serving. Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 Some modern conglomerates project images of power ideology. They buy and sell organizations and people as commodities, in apparent disregard of human values and the general welfare. They seem to have voracious appetites for growth, which is valued for its own sake. Competition to acquire other companies and properties is ruthless and sometimes outside the law. Within the organization, the law of the jungle often seems to prevail among executives as they struggle for personal advantage against their peers. There is, however, a softer form of the power orientation that is often found among old established firms, particularly those with a background of family ownership. Here the employees may be cared for rather than exploited, especially those that are old and loyal. Externally, the proprietors may hold to a code of honor, especially when dealing with others like themselves. This is the power orientation with a velvet glove. But when the benevolent authority is crossed or challenged, from either within or without, the iron fist is very likely to appear again. In such cases, the test of power orientation is how hard a person or organization will fight for power and position when these are at issue. Role Orientation An organization that is role-oriented aspires to be as rational and orderly as possible. In contrast to the willful autocracy of the power-oriented organization, there is a preoccupation with legality, legitimacy, and responsibility. It is useful to see role orientation as having developed partly in reaction to power orientation. Competition and conflict, for example, are regulated or replaced by agreements, rules, and procedures. Rights and privileges are carefully defined and adhered to. While there is a strong emphasis on hierarchy and status, it is moderated by the commitment to legitimacy and legality. The different attitudes of the power and role orientations toward authority might be likened to the differences between a dictatorship and a constitutional monarchy. Predictability of behavior is high in the role-oriented organization, and stability and respectability are often values as much as competence. The correct response tends to be more highly valued than the effective one. Procedures for change tend to be cumbersome; therefore the system is slow to adapt to change. Most commercial organizations are too constricted by market demands to afford the extreme rigidity of a pure role orientation or the worst excesses of its tendency to place procedural correctness before task effectiveness. Some businesses, however, which either control their markets or operate in areas that are highly regulated by law, exhibit a considerable degree of role orientation. The rationality, impersonality, and adherence to procedure of many banks, insurance companies, public utilities, and social work organizations are cases in point. Their role orientation leaves the customer, the public, or the client with little alternate choice in dealing with them. Task Orientation In the organization that is task-oriented, achievement of a superordinate goal is the highest value. The goal need not be economic; it could be winning a war, converting the heathen, reforming a government, or helping the poor. The important thing is that the organization's structure, functions, and activities are all evaluated in terms of their contribution to the superordinate goal. Nothing is permitted to get in the way of accomplishing the task. If established authority impedes achievement, it is swept away. If out-moded roles,rules, and regulations hinder problem solving, they are changed. If individuals do not have the skills or technical knowledge to perform a task, they are retrained or replaced. And if personal needs and social considerations threaten to upset effective problem solving,they are suppressed in the interests of"getting on with the job." Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 There is no ideological commitment to authority, respectability, and order as such. Authority is considered legitimate only if it is based on appropriate knowledge and competence; it is not legitimate if it is based solely on power or position. And there is little hesitation to break rules and regulations if task accomplishment is furthered by doing so. There is nothing inherently competitive about task orientation. The organization structure is shaped and changed to meet the requirements of the task or function to be performed. Emphasis is placed on rapid, flexible organization response to changed conditions. Collaboration is sought if it will advance the goal; allies are chosen on the basis of mutual goals and values; and there is little "advantage seeking" in relationships with other organizations. The task orientation is most readily found in those small organizations whose members have come together because of some shared value, task, or goal. Examples are social service organizations, research teams, and high-risk businesses. Often, however, internal conflict and external stress drive these organizations toward power and role orientations. Large organizations that operate in highly complex, shifting environments offer more durable examples. Companies involved with dynamic markets or fast-changing, complex technology frequently establish project teams or "task forces." These groups of specialists are selected to solve a particular problem and often operate in a very flexible and egalitarian manner until the problem is solved. The units are then disbanded, and the members join other teams to work on new problems. Although the larger organization in which it operates may be basically role- or power-oriented, the project team or task force often exhibits a relatively pure task orientation. Moreover, these groups have been so successful that some organizations are trying to install a task- oriented ideology throughout their operations. Some of the aerospace industries have probably gone the furthest in this direction, TRW Systems being a notable example. Although I do not know of any large organization that could be classed as "pure" in its task orientation, the success of such task-oriented programs as MBO is a sign of the growing interest among managers. Parenthetically, the most frequent reason for the failure of MBO is probably that task-oriented managers try to install it in power- or role-oriented organizations. Person Orientation Unlike the other three types, the person-oriented organization exists primarily to serve the needs of its members. The organization itself is a device through which the members can meet needs that they could not otherwise satisfy by themselves. Just as some organizations continually evaluate the worth of individual members as tools and accept or reject them accordingly, so the person- oriented organizations are evaluated as tools by their members. For this reason, some of these organizations may have a very short life; they are disposable when they cease to provide a system for members to "do their own thing". Authority in the role- or power-oriented sense is discouraged. When it is absolutely necessary, authority may be assigned on the basis of task competence, but this practice is kept to the bare minimum. Instead,individuals are expected to influence each other through example, helpfulness, and caring. Consensus methods of decision making are preferred; people are generally not expected to do things that are incongruent with their own goals and values. Thus roles are assigned on the basis of personal preference and the need for learning and growth. Moreover, the burden of unrewarding and unpleasant tasks is shared equally. Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 Illustrations of person orientation are small groups of professionals who have joined together for research and development. Some consulting companies, too, seem to be designed primarily as vehicles for members. It is typical of such organizations that growth, expansion, and maximization of income and profit are not primary considerations. Rather, the organizations, hopefully, are conducted to make enough money to survive and provide their members with a reasonable living as well as an opportunity to do meaningful and enjoyable work with congenial people. There seems to be increasing pressures from the members of modern industrial organizations to move toward person orientation. Young professionals are pushing their companies for opportunities to work on interesting, worthwhile (congruent with their own values) projects. Engineers and scientists, for example, have refused to work on projects for the military and have been successful in getting transfers to nondefense-related activities. Job recruiters find that college graduates are often more interested in opportunities to learn and grow than they are in their chances for organization advancement. Such signs of social change illustrate why the person orientation must be considered an ideological force to be reckoned with, even though there are few contemporary organizations that operate in total congruence with its principles. STRENGTHS & WEAKNESSES An organization ideology obviously has a profound effect on organization effectiveness. It determines how (a) decisions are made, (b) human resources are used, and (c) the external environment is approached. An organization ideology tends to be internally viable when the people within the system want and need the prescribed incentives and satisfactions that reward good performance. It tends to be externally viable when the organization it embodies is a microcosm of the external environment and rewards the same skills, values, and motivations. External Viability Usually as an organization increases in size, its operational environment becomes more complex. Most arenas in which large companies operate change rapidly and/or have many features that require an integrated response. World-wide markets and rapidly changing technology, for example, make heavy demands on the information-processing and decision-making capabilities of organizations. The power-oriented organization is not well adapted to flexible response and effective information processing in such environments. Since decisions are made at the top, the information has to pass through many people who screen out the "irrelevant" data. Moreover, some may distort the message to their own advantage (aggressive competition is part of the ideology). And when conditions change rapidly, the time lag introduced by the filtering process may unduly delay organization response. The role-oriented organization is also insufficiently flexible to easily adapt to rapid external changes. In order to achieve the security that is one of its highest values, it must perpetuate rather rigid roles and reporting relationships. This gives stability but means that even the most powerful individuals may be unable to produce needed changes quickly. In times of change, established procedures often do not apply, and the information channels become overloaded with problems that require higher-level decisions. Consider what happened in the commissioning and start-up example referred to at the beginning of this article: Because equipment was not working properly, many actions which ordinarily would have been dealt with by standard operating procedures required top-management decisions. But the ordinary channels would not carry the necessary volume of information, and the quality of decision making Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 and problem solving suffered accordingly. However, when control was shifted to teams of experts clustered around each plant (a task-oriented system) the problems were handled much more smoothly. Change-oriented structures: The task-oriented organization's greatest strength is dealing with complex and changing environments. Decentralized control shortens communication channels and reduces time lags, distortion, and attenuation of messages. Both the power- and role-oriented organizations associate control with a position in the organization; neither provides for rapid and rational reassignment of appropriate persons to positions of influence. In contrast, the task oriented ideology clears the way for a very flexible system of control-one that can shift rapidly over time as differing resources are required by external problems. Probably the best example of this system in operation is the project team or task force that is formed to identify, diagnose, and solve a particular problem. Even some rather bureaucratic organizations make use of these temporary systems for emergency problem solving. The task force leader is selected for his combination of technical expertise and ability to manage a small group in an egalitarian manner. The temporary work system is a particularly characteristic response of the task-oriented organization to environmental change. These temporary systems can be activated quickly, provided with the necessary mix of skills and abilities, and disbanded again when the need is past. Their use provides what is,in effect, a continuously variable organization structure. The person-oriented organization, too, is well adapted to dealing with complexity and change. It also features a fluid structure and short lines of communication and control. Coping with threat: In a highly competitive environment where organizations are frequently confronted with overt threats and hostility, the strengths and weaknesses of ideological types form a different pattern. For example, while the power-oriented organization is not well suited to handle complexity and change, its structure and decision-making processes are admirably suited for swift decision making and rapid-action follow-through under high-risk conditions. It tends to promote tough, aggressive people who can lead the organization in a dangerous, competitive environment. The task-oriented organization usually takes longer to respond, but the response is more likely to be based on adequate data and planning. In contrast to the power-oriented structure, which is aggressively directed from the top, it tends to enlist the full commitment of organization members at all levels. The role-oriented organization does not deal successfully with sudden increases in threat because it relies heavily on established operational procedures. Consequently, its structure is too cumbersome to react quickly in cases of overt threat. And the person-oriented organization has difficulty directing its members' activities in unison until the danger is so clear and present that it may be too late. The person-oriented structure, however, does offer some advantages--its members are committed and have a high concern for one another's welfare. Probably the most viable organization in a hostile, threatening environment would have a combination of the power and task orientations. This is a difficult marriage, however, because the desire for personal power is often incompatible with the required willingness to relinquish control to those with the most knowledge and ability for the task at hand. Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 Internal Viability The power-oriented organization is an excellent structure for attaching many eyes, ears, hands, and feet to one brain. It exercises tight internal control and integration. As mentioned earlier, the system works well when problems take the form of overt challenges that can be comprehended and solved by one or a few intelligent,courageous men at the top. But when the power-oriented organization becomes large and complex, this control tends to break down. Under these conditions the role-oriented ideology is more effective. It provides rules and procedures that allow a high degree of internal integration with little active intervention from the top. It is obviously more difficult to achieve internal cohesion under a task- or person-oriented ideology. For example, if the work is done by temporary project teams, how are their efforts to be coordinated to a common goal? When a problem-solving team comes up with a solution and then disbands, how is its work to be given impact and continuity in the rest of the organization? Some stable and central structure is needed to provide coordination, long-range planning, and continuity of effort. If it is too stable, however, it may become role-oriented (rigid and hard to change) or power-oriented (recentralizing control). The personal power and security needs of individual members may foster such developments. These dilemmas of internal structure have led to various compromise solutions such as the "matrix organization." The term "matrix" is used because the actual working groups cut horizontally across the normal functional-pyramidal organization, bringing together selected individuals from different functions and different levels to work in a relatively autonomous, egalitarian group. Structural stability is provided by a fixed role-oriented framework organized on functional lines. Personnel are readily detachable from the functions for varying periods of time during which they join a task-oriented work unit or project team. They are directed by the work unit; but their pay, career prospects, and promotions emanate from the role-oriented part of the system. Matrix forms of organization have been used with success in highly technical businesses operating in a fast-changing environment. Again, TRW Systems is perhaps the oldest and most comprehensive example. Considerable experimentation with matrix forms has also taken place in the chemical industry,both in the United States and abroad. Although the matrix system can be effective, it often suffers from attempts of the role-oriented functions to overcontrol the task-oriented functions. The resulting conflict is usually won by the former, which has greater permanence and more resources. One reason for this difficulty is that organizations try to operate partially task-oriented structures without commitment to the ideology. Role-oriented people cannot be plugged into a task-oriented system without conflict. Effective motivation: While the power-oriented organization provides a chance for a few aggressive people to fight their way to the top, it offers little security to the ordinary person. It is most viable in situations where people are deprived and powerless and have to accept a bad bargain as better than none. For example, the power-oriented organization thrives in underdeveloped countries. The power-oriented organization also has the problem of using too much of its energy to police people. Reliance on rewards and punishments tends to produce surface compliance and covert rebellion. Where the quantity and quality of work can be observed (as on an assembly line), inspection and discipline may keep the system working. But if the power does not command loyalty as well, the system usually breaks down. A simple example is the sabotage of hard-to-test aspects of car assembly by disgruntled workers. Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 The role-oriented ideology tries to deal with the difficulty of supervising complex decision-making and problem-solving tasks by rationalization and simplification. Each job is broken into smaller elements, rules are established, and performance is observed. When conditions change, however, the members are likely to continue carrying out the same (now ineffective)procedures. The power- and role-oriented organizations simply do not provide for the development and utilization of internal commitment, initiative, and independent judgment on the part of members at other than the highest levels. Nevertheless, in societies where most people's aspirations are just to get by, or at most to achieve a measure of economic security, the power- and role-oriented organizations are able to function adequately. In affluent societies, however, where security is more widely assured, people begin to look for deeper satisfactions in their work. They attempt to change tightly controlled work assignments and rigid internal structures. When trends toward task orientation ("useful," "meaningful" work) and person orientation (interesting work, self expression, and "doing one's own thing") begin to develop in the wider society, internal pressures for change develop within power- and role-oriented organizations. Unfortunately, not all people can function productively in a flexible and egalitarian structure. Some people are dependent, apathetic, or insecure. They do need external incentives to work and directives or rules to guide their activities. Furthermore, the task-oriented ideology has its own ways of exploiting the individual. When his knowledge and skills become obsolete for the task at hand, an individual is expected to step gracefully aside to make room for someone who is better qualified. Status and recognition depend almost entirely on task contribution; if the problems facing the organization change suddenly, this can produce cruel reversals of an individual's personal fortune and work satisfaction. The person-oriented organization seems to be specially created to fit the work situation to the motives and needs of the independent, self-directed individual. It is flexible to his demands, whereas the power-oriented organization is controlling; it gives scope for his individual expression, whereas the role-oriented organization programs every move; it is concerned about his personal needs, whereas the task-oriented organization uses people as instruments for "higher" ends. Unfortunately, as discussed above, the person-oriented organization is less likely to be effective in the external environment than organizations based on the other ideologies. TOWARD RESOLVING CONFLICT One basic tension runs throughout the ideologies and organization types discussed thus far. It is the conflict between (a)the values and structural qualities which advance the interests of people and (b) the values and structural qualities which advance the interests of organizations. I can identify six interests,all mentioned previously, which are currently the subject of ideological tension and struggle. Three of these are primarily interests of people, and three are primarily interests of organizations. The three interests of people are: 1. Security against economic, political, or psychological deprivation. 2. Opportunities to voluntarily commit one's efforts to goals that are personally meaningful. 3. The pursuit of one's own growth and development,even where this may conflict with the immediate needs of the organization. Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 The three interests of organizations are: 1. Effective response to threatening and dangerous complex environments. 2. Dealing rapidly and effectively with change and complex environments. 3. Internal integration and coordination of effort toward organization needs and goals, including the subordination of individual needs to the needs of the organization. These are obviously not all the interests at issue, but in my opinion they are among the most salient. Exhibit I shows the position of each ideology vis-a-vis each interest and indicates, as does the preceding analysis, that the four ideologies have quite dissimilar profiles. Each ideology thus "fits" the needs of a given organization and its members differently. For example, a small organization operating in a rapidly changing technical field and employing people who desire personal growth and autonomy might find its best fit with either the task or person orientation (this depends, of course, on how competitive its markets are and what financial shape it is in). A very large organization operating a slowly changing technology in a restricted market and employing people who desire stability and security might find that a role orientation would provide the best balance. For most organizations, however, there is no perfect fit with any one of the four ideologies. The "ideal" ideology would possess some power orientation to deal smartly with the competition, a bit of role orientation for stability and internal integration, a charge of task orientation for good problem solving and rapid adaption to change, and enough person orientation to meet the questions of the new recruit who wants to know why he should be involved at all unless his needs are met. But, unfortunately, this mixture of ideologies and their consequences for people and organizations will inevitably result in conflict, and its subsequent wear and tear on organizations and their members. Trying to mix ideologies may also prevent each type from producing the advantages that are unique to it. On the other hand, I do not think that the most viable organizations and the maximum satisfaction of human needs will result from monolithic structures which are ideologically homogeneous. It seems to me that we must learn to create and maintain organizations that contain within them the same diversity of ideologies and structures as are found in the complex environments in which the organizations must live and grow. This means that organizations may have to be composed of separate parts that are ideologically homogeneous within themselves yet still quite different from each other. Such organizations will be very effective in dealing with complex environments and maximizing satisfactions for different types of people, but they will be subject to more internal conflict and ideological struggle than most current organizations could tolerate. For example, instead of a "company spirit" there will be several "company spirits," all different and very likely antagonistic. In this environment of conflicting but mutually interdependent parts, the management--not the resolution--of conflict will be a task of the greatest importance. One can imagine, in fact, that the most important job of top managers will not be directing the business, but instead, managing the integration of its parts.I Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 CONCLUDING NOTE Whether men confront or avoid them, ideological issues will continue to sharpen of their own N4 accord, both inside and outside the organization. As long as we continue to raise and educate our children permissively, the pressure from younger members of the organization for greater person orientation will increase. As operational environments become more turbulent and more technical, the attractions of task orientation will make themselves felt. Yet every change in organizations means some degree of power redistribution and with it some shift in rewards--such shifts will always be resisted by those with the most to lose, usually the older members of the organization who have a higher status. Thus I believe that ideological conflict will increase within organizations, whether that conflict is dealt with openly or not. By dealing with such conflict openly, however, businessmen may find ways to manage it in the service of both the organization and its members and also to use tension creatively as well as competitively. Hidden conflict, on the other hand, tends to eat away at the strength of an organization and then to erupt when it is most dangerous to organization health. In writing this article, I have attempted to render these inevitable ideological differences more conceptually clear. The next step is to develop a common language and set of norms that support both the open confrontation of such issues and the strategies for dealing with them in our organizations. 1. See Paul R. Lawrence and Jay W.Lorsch, "New Management Job: The Integrator" HBR November-December 1967, P. 142. Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 Major Corporations: IBM, etc. Highly Win/Lose; Cut Throat Individual Success is Rewarded l�3 IIa Banks, Schools, Government Agencies Territorial; Chain of Command Respectability &Predictability are Rewarded Matrix System: i a EE Developed EE % % i _ by the Space Industry I 1 1 1 i End Goal Makes best use of Human Resources Competence&Achievement of Goals are Rewarded Personal Goals >_Organizational Goals -9 By: David G. Jones, Ph.D. The Relationship of Feelings to Communication In communicating with people emotional data must be given the same consideration as factual information. But most of us deal primarily with facts and aren't quite sure of our skills in relating to feelings. There are several important principles about how feelings operate that can be useful to understand and which underlie the listening and sending skills you are being taught to use. Content/Relationship Distinction Communication takes place at two levels: The Content Level - the subject matter we are discussing, and the Relationship Level - what we communicate to the other person about how much we value them or accept them. Think about the last time someone ordered you to do something: You may not have found very much you could disagree with at a Content Level,but you still felt resentful or "put down" at the manner in which the order was given. The Relationship Level operates primarily on feelings. "I feel valued, accepted, comfortable." If you also think about times when you've disagreed strongly with someone - such as a political argument - and enjoyed it, I think you will find it was with someone you respected and who you knew respected you. You could argue because you were certain the argument would not fundamentally alter the mutual respect. In other words, if there is mutual respect and trust at a Relationship Level it is possible to agree or disagree with equal comfort. But if the mutual respect and trust does not exist, then every Content Level issue also becomes a test of the relationship. This is why I have expressed so much concern for principles of visibility, openness, etc. - how you structure and conduct your program can build a trust at the Relationship Level which will allow for comfort in discussing issues. Acceptance of Feelings: One way we communicate acceptance at a Relationship Level is by communicating acceptance of feelings as well as facts. If we only accept facts from people we are accepting them conditionally: "I will accept only certain parts of you; I will accept you as long as you aren't expressing feelings." This is a bit like telling people that you accept all of them except their arms and legs - most bodies come fully equipped. People come fully equipped with feelings and these are a great part of what makes them uniquely them. @Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 2 The result is that when people express feelings and they are not accepted, they tend to push harder as if to prove that their feelings are justified, or to prove to themselves that it is really all right to feel the way they do. One way to think about it is that feelings are like running water through a hose. If you close up the faucet the pressure begins to build. If and when the pressure gets great enough, it will burst someplace, either removing the obstacle or rupturing a weak place in the hose. On the other hand when feelings are accepted (like the water), the feelings now come out less pressured, less accusatory and less defensive. In addition, once expressed, other feelings can flow in behind. Thus the needed skill in communication is to learn to accept feelings so that pressure does not build up, and people feel that tremendous force must be brought to bear just to be heard. Acceptance vs. Agreement: We have been talking about accepting feelings, but let's take a minute to distinguish acceptance from agreement. You express acceptance when you say: "I understand that you feel such-and-such a way about this topic." You express agreement when you say: "You couldn't be more right; I feel that way, too." In the first you accept that the other person feels the way they do, but in agreement you ally yourself with the other person. Allying yourself with particular feelings can be a risky business in citizen participation, as it may cause all the other interest groups to see you as an antagonist. All that is really needed in the situation is to communicate, in effect: "It's OK with me for you to be just exactly who you are and feel the way you do." One psychologist has even written a book titled I'm OK - You're OK to indicate the mutual respect and trust. Individual Realities: One way we run into problems with feelings is to assume that if someone has a different feeling than ours, one of us must be right and one of us must be wrong. But another way of looking at it is to consider that when two people react differently to the same situation they are reacting within the rules of their own upbringing, training, experiences and values. Because upbringing, training, experiences and values are absolutely unique to each person, then the rules which govern feelings are also absolutely unique to each person. While we all have enough common background that we can usually agree on what would be a "normal" reaction, the fact remains that each one of us has areas in which our reactions are completely unique. This changes things rather fundamentally: "If there is all one universe then I can say that if there is a Natural Law that says all things fall down, then I can exclude the possibility that some things fall up. But since the rules are different for each individual I cannot assume that just because I was horrified by an event doesn't mean that someone else may not be delighted- and be perfectly consistent within his/her individual reality." Yet we have a tendency to try to obliterate the other person's feelings and try to prove that ours are correct. This proves nothing: it is a fact that they feel the way they feel. The only appropriate behavior is to accept that they feel the way they feel and begin to report the way you feel. We may not have the same reactions to the same experiences,but we can begin to share enough of what is going on in us to begin to understand each other. Incidentally, in ® the process of this kind of sharing, people learn, and the roles of their reality may alter enough so that next time they have a reaction that has more in common with your own. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 3 Presenting Problems: Other communications problems arise from the manner in which we try to express our feelings. Our culture has erected considerable barriers to the expression of feeling; the individual who expresses strong feelings is considered to be "over-emotional", "overly sensitive", "irrational", "out of control". But our feelings remain, so we learn to express feelings indirectly through our content messages. Typically, unless the individual trusts us and considers us a friend, feelings are known only by implication. One characteristic of this "communication by implication" is that people send Presenting Problems. Presenting Problems are like trial balloons -they are small, relatively innocuous problems which, if they are not rejected, lead to sharing of more basic and deeply experienced problems. For example: One of the fellows in the office might be making little complaints about a co-worker. For several days you tend to ignore this Presenting Problem, but you finally sit down and listen and this story spills: "The co-worker is always doing pesty things - it's not just him, it seems like lots of people have been doing it lately - maybe it's just that I'm irritable because of the way things are going at home - things have gotten so bad that this week I've been sleeping on the couch in the living room - I'm really desperate. I don't know what to do. Things are falling apart." This pattern of descending levels of communication, proceeding from the Presenting Problem to deeper feelings, is typical of communication when there is an effective listener, but many of our conventional communication skills would not encourage openness. In fact, unless the sender had such strong feelings that he could override our responses, we might never know about his problems. Ineffective Listening: The basis of much ineffective listening is two-fold: 1. Failure to distinguish those times (as the example above) when the sender is not expecting you to do anything except understand; and 2. Failure to listen long enough or with sufficient understanding of the sender's feelings to really clearly understand the definition of the problem. Example: Sender: "I'm really desperate, I don't know what to do." Listener: "Don't feel that way, we can work things out." Now the Sender is not only desperate,but also angry with the Listener for evaluating their feeling after they have made themself vulnerable. From the Listener's point of view there wasn't anything else they could do; yet many typical ways of responding run some risk of communicating non-acceptance. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 4 Here are twelve typical ways that most people respond in a listening situation: 1. Ordering, Demanding: "You must...", "You have to..." 2. Warning, Threatening: "You had better...", "If you don't, then..." 3. Admonishing, Moralizing: "You should..."' "It is your responsibility..." 4. Persuading, Arguing,Lecturing: "Do you realize...?" "The facts are..." 5. Advising, Giving Answers: "Why don't you...", "Let me suggest..." 6. Criticizing, Disagreeing: "You are not thinking about this properly..." 7. Praising, Agreeing: "But you've done such a good job...", "1 approve of..." 8. Reassuring, Sympathizing: "Don't worry...", "You'll feel better..." 9. Interpreting, Diagnosing: "What you need is...", "Your problem is..." 10. Probing, Questioning: "Why do you feel that way...?" 11. Diverting, Avoiding: "We can discuss it later..." 12. Kidding, Using Sarcasm: "When did you read a newspaper last...?" These messages run some risk of communicating to the sender that it is not acceptable for them to have their feeling. The risk is that the sender may hear the following emotional messages from you, the listener: 1. Don't have that feeling. 2. You'd better not have that feeling. 3. You're bad if you have that feeling. 4. Here are some facts so you won't have that feeling. 5. Here's a solution so you won't have that feeling. 6. You're wrong if you have that feeling. 7. Your feeling is subject to my approval. 8. You needn't have that feeling. 9. Here's the reason you have that feeling. 10. Are you really justified in having that feeling? 11. Your feeling isn't worthy of discussion. -12. You're silly if you persist in having that feeling. When the sender perceives that they are getting one of these messages there is a risk that they will become defensive and either justify the feeling further, or close off entirely, never allowing the listener to hear anything deeper than the Presenting Problem. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 5 An Alternative - Active Listening An alternative to these kinds of responses is to acknowledge the other person's feeling by telling them what you understood them to be feeling and thinking. MESSAGE 1 CODE DECODE MESSAGE 2 ACTIVE LISTENING Definitions: MESSAGE is the actual experience going on in the Sender. CODE is the symbolic means, either verbal or non-verbal, by which the Sender attempts to communicate his message. DECODE is the Listener's attempt to understand the symbolic representation of the Sender. ACTIVE LISTENING: Three Techniques 1. Summarizing The listener summarizes in their own words, the content and feeling of the Sender's message and states this to the Sender to confirm understanding. Example: Sender: "This project is so stupid. 1 feel just like quitting." Listener: "Sounds like you're feeling pretty frustrated with that project." OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 6 2. Reflecting (the Empathy skill): The Listener reflects back the unspoken, underlying feelings in the Sender's message. Example: Sender: "I am having a difficult time deciding between these two jobs." Listener: "Seems to me you aren't finding joy in either of them." 3. Asking Questions: The Listener helps the Sender explore his/her situation through asking non-threatening questions: "What...? How...?" Example: Sender: "These staff meetings are so difficult to run." Listener: "What are your objectives for the meetings?" The Effects of Active Listening The benefit of Active Listening is that you have communicated acceptance of the Sender's feeling. In addition it allows you to "check out" your understanding and also they can correct you if you misunderstood them. Frequently you will find that when you employ Active Listening,people feel more comfortable in bringing problems to you and in sharing deeper problems. You may also find that when you use Active Listening, people are able to talk through their feelings and solve their own problem. Remember: Who owns the problem? You or the Sender?!!! Communication: Sending Clear Messages Typical Ways of Sending: The three most typical ways of sending feelings (sending a solution, evaluating and indirect messages)run some risks of creating defensiveness or resistance. 1. SENDING A SOLUTION: Rather than telling the other person what you are feeling, you tell them what you want done about it. This could be an order, suggestion, advice, etc. Example: Instead of saying: "I really get annoyed when you borrow my manual and don't return it." You say: "Don't ever borrow my manual again." Or: "Why don't you get your own manual?" OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 The risks are as follows: a. Sending a solution implies a power differential - someone is higher, someone is lower - and people resist the use of power even when they agree with the solution. b. Sending a solution defines the problem poorly. Once you give a solution, enforcing the solution becomes the problem whether or not the solution solves the initial problem. c. Sending a solution communicates a lack of trust. Implicit in sending the solution is the communication that you don't expect the other person to be able to figure out the solution. 2. EVALUATING: Another frequent method of sending is to evaluate, blame or judge the other person. Example: Instead of saying: "I really get annoyed when you borrow my manual and don't return it." You say: "You're rude and thoughtless about borrowing things." Or: "You're certainly inconsiderate." The risks are as follows: a. People become defensive when you judge or evaluate them. " b. The Judge or Evaluator is in a power position - people may resent your "one up" position. c. People resent being interpreted and judged by your standards. 3. INDIRECT MESSAGES: Indirect messages are messages which contain no direct expression of the Sender's feelings, although frequently the feelings are implied by voice tone, emphasis, sarcasm. They include "cuts", questions, "cloaked" messages, denials. Example: Instead of saying: "I really get annoyed when you borrow my manual and don't return it." You say: "Got any spare manuals?" Or: "If people in this office would be more thoughtful, it sure would make it a nicer place to work." The risks are as follows: a. The message may never get through. You may be so indirect that the other person doesn't understand you have a problem. b. What does get through tends to be unclear and undefined negative feeling. One result of this is that it is difficult to solve the problem. It is too ambiguous. @Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 a 8 c. Ambiguous negative feeling tends to be understood as a generalized rejection rather than a specific reaction. "If I know you are upset, but I'm not quite sure why, I will tend to believe 'he/she doesn't like me' rather than 'he/she's upset because I didn't return their manual."' Sometimes this may result in the Listener totally isolating the sender or even launching a massive counter-attack to the imagined rejection. An Alternative: Congruent Sending The alternative to these methods can be called Congruent Sending. The term "Congruent" comes from the fact that in a Congruent Message the message and the code coincide, fit, are congruent: MESSAGE CODE MATCH This congruence consists of three parts: 1. Sending feelings instead of evaluations or solutions. 2. Ownership of feelings. 3. Describing rather than evaluating behavior. 1. SENDING FEELINGS INSTEAD OF EVALUATIONS OR SOLUTIONS: In active Listening we attempted to state for the sender the feelings we understood to be implied in his statement. When we are sending,rather than rely on the other person to understand all the implications, we indicate our feelings directly. We tell the other person what is really going on in us. A congruent message typically contains a feeling word. @Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 9 When we are hurt, annoyed, pleased, frustrated, happy: CRecently there has been much talk about communicating honestly - "Tell it like it is." Frequently honesty is mistaken for telling everyone your evaluations about them, rather than your feelings. The basis of the congruent message is that feelings precede evaluations. When we feel hurt by something we then (as a second response) evaluate the person who hurt us. So the equations are different: Typical Equation: Honesty=Sending Underlying Attitude Evaluations. "I'm going to tell you when you are good or bad based on your behavior towards me." Congruent Equation: Honesty=Sending "I'll tell you very directly what I Feelings am feeling in response to your behavior, but I won't judge your behavior. 2. OWNERSHIP OF FEELINGS: A major reason for this underlying attitude is the second part of congruency-the sender must "own" their feelings. By "ownership" we mean that the sender does not blame or accuse other people for their feelings but takes responsibility for their own feelings. First attempts to communicate feelings usually come out, "You hurt me when you said that." This is a "you" message, a feeling message made blaming and accusing by virtue of the pronoun "you" which indicates that the other person responsible for your feeling. The Congruent Message is usually an "I" message, such as "I felt hurt when you said that." 3. DESCRIBING RATHER THAN EVALUATING BEHAVIOR: The Behavioral Description is the statement which indicates the behavior about which you have a feeling. It is very easy to confuse a Behavioral Description with an evaluation. Example: "I really get annoyed when you borrow my manual and don't return it." The italicized portion describes a behavior. "I really get annoyed when you're so inconsiderate." The italicized portion is an evaluation with all the risks involved in sending evaluation. The Behavioral Description specifies the other person's behavior without judging it. It also indicates the specific behavior about which you have feelings so that the listener understands which behaviors to modify if they want you to feel differently. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 10 A Formula for Congruent Sending: A simple Formula for Congruent Sending is "I'm+Feeling word+Behavioral Description" CONCEPT: OWNERSHIP + SENDING FEELINGS + DESCRIBING, NOT JUDGING Effects of Congruent Sending: Congruent Sending encourages you to be a great deal more open and direct with your feelings. The result is that people learn to trust - they know "where you are at." Your openness also encourages openness in others. In addition, by owning your feelings and avoiding judging, you can minimize defensiveness while dealing directly with problems. GROUP STANDARDS AND PRESSURES I. GROUP STANDARDS In a group one member begins to attack another vigorously. A third member of the group stops the attack by saying, "Hold it, Mac, we don't operate that way here." This is an expression of group standards. What are group standards? How do they emerge? What function do they perform? What are some of the implications of standards? A. Definitions: "A standard is a behavior pattern highly prized by a group." (Miles) Standards might be called the structure of relationships agreed upon for the efficient achievement of group purposes. B . Examples of Standards: It is a standard of New England to have baked beans and brown bread on Saturday evening (standard of a regional group). People in Detroit read the NEWS and root for the Tigers (standards of a community). @Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 11 There are many standards operating within any group at a given point in time. Some are of great importance to the group; others are of less importance. All of the following may be operative in a group at the same time: The group never forces a silent member to talk. The group arrives at a decision by voting. The group gives greater weight to the opinions of the designated leader than to its other members. The group always has a mid-morning coffee break. Whenever a group of people comes together to do a task or solve a problem, standards j begin to emerge which help to make their task more efficient. k Often these take the form of boundaries on behavior. By mutual consent, verbalized or not, certain working agreements emerge: Examples: The group always starts on time. Members do not always sit in the same place. Decisions are reached by consensus. Real work stops ten minutes before the end of the meeting. Hostility may be freely expressed without fear of punishment. These might be standards of a given group. They have become the property of the group and have emerged from its life. They are not imposed upon it from the outside, although they may be the result of influences brought to bear upon the group by some of its members. Standards are not imposed upon a group from the outside. Many regulations and limitations, sometimes in the form of laws, may be imposed upon a group from outside. Such limitations might be: Physical: a group may meet only once a month because of the distance people must travel Rules: local ordinances Policy: automobiles owned by the company may not be used for private purposes These are not necessarily verbalized although they generally become so when they are challenged. For instance, a group may have always carefully waited until all its members were present before starting. This would have been an observable fact even though it was never stated. If it is questioned, however, or an attempt is made to change this standard, it undoubtedly would be verbalized. This is the test of standards. ©Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 12 Individuals may belong to groups having varying sets of standards. The same person or group of people may belong to a church, the Volunteer Fire Department, the local bowling team, and the Civic Improvement League. In each group they may have a surprisingly different standard of behavior. Often in our society we go from one set of standards to another with great rapidity, and our ability to do so determines our ease and effectiveness within the various groups. C. Functions: Standards perform the function of stabilizing group life and action. They are always conservative in that they tend to conserve the established behavior patterns of the group and are resistive to change. Standards may not necessarily demand conformity to an idea or a procedure, but they always demand acceptance of themselves. For example, a group may have as one of its standards, "We can accept disagreement and still preserve as a group." The attempt to force conformity of this group will be met by resistance from the group, members of which undoubtedly will forcefully state the group's acceptance of the standard of non-conformity. D. Standards of a Mature Group: Dr. Jack Gibb has suggested several standards or norms which are usually demonstrated by (and thus evidence of) a mature group: Objective: the group speaks to data, does not see behavior as good or bad, and does not deal in motives or personalities. Provisional-Try: the group takes an experimental attitude towards actions and decisions. Participation: all members are involved instead of detached. E. Some Implications: It can be seen by implication that standards resist change. Further, they demand conformity of the group to those standards. II. GROUP PRESSURES Standards, however, are a mixed blessing because of the pressures a group can exert on its members by enforcing them. When members see observing them as too high a price to pay for belonging to the group, great pressure can build up in the group. Group standards need testing frequently. Never underestimate their power. Some facts about pressures are: A group can encourage or discourage its "rebels" by the way it views and reviews its standards. Pressures of group standards increase when standards are openly supported by more and more people. A minority against a sizable majority is almost an untenable state to be in. The amount of pressure from the group which a member is willing to endure is dependent upon the importance of the standard to him, on the one hand, and belonging to the group, on the other hand. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 13 No matter how right a person thinks he is, after a while he usually conform because the pain he fears will come if he doesn't conform is unbearable. A group's growth-potential may be related to the way it allows its minorities to test established standards and advocate changes. r�r✓ OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 DECISION MAKING 8 AN H.L.H. Myers, D.G. Jones Every group, to achieve its goal, is constantly involved in making decisions: big decisions, little decisions; easy decisions, hard decisions; right decisions, wrong decisions; but always decisions, decisions, decisions. Decision-making is thus a continuing pattern of relationships among members of a group; a pattern over which every individual member has significant influence. It is amazing the effect a bit of information here, a loud objection there, an expression of approval or hostility, envy or admiration,contempt or condescension can have on an impending decision. So there is little wonder that group after group has difficulty making decisions. Some become paralyzed when confronted with a decision; some argue interminably over a minor point; others rush into a vote, only to reverse their decision later on or fail in carrying it out; others appoint a committee or look for a savior(the chairman) to save them from having to decide. I. CATEGORIES OF DECISIONS In moving towards its goal and in solving its problems, a group makes countless decisions, usually in a variety of ways. r 1 . Plops A decision suggested by an individual to which there is no response. Plopping often occurs in a new group confronted by a complexity of problems; in a group where a number of the members have fairly equal status; when a member is overly aggressive; when a member has difficulty in articulating his suggestion. 2. Self-Authorized Decision A decision made by an individual who assumes authority to do so. When such a decision is proposed, the group as a whole often finds it easier to accept than reject, even though some individuals may not be in agreement. The decision is thus by default. 3. Hand-Clasping A decision made by two members of the group joining forces. Such a decision emerges so suddenly that it catches the other members of the group off guard and at the same time presents them with another problem (how to deal with the two people at the same time). @Sentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 2 4 . Topic-Jumping A decision cut short by the inappropriate intrusion of another topic. Topic jumping confuses the issue confronting the group and thus changes the nature of the decision. 5 . The Clique A decision agreed upon in advance by several members of the group. Cliques are present in almost every group and their pre-arranged decision may be very good. But the effect of collusion is to destroy group cohesiveness and a sense of trust among members. 6 . Majority Rule A decision made by some form of voting. The traditional procedure of taking a vote often seems to be the only way in which to reach a decision under the given circumstances. Nonetheless the minority may remain against the decision despite the vote and therefore not likely to act on it. 7 . Does Anyone Disagree? A decision made by pressure not to disagree. When confronted by such a question, several persons who really disagree strongly or who have not had opportunity to express their opinion on the issue, may show real reluctance to voice opposition with no apparent support. 8 . We All Agree, Don't We? A decision made by pressure to agree. Again, as when under pressure not to disagree, persons who really disagree or who have not had opportunity to express their opinion would probably be reluctant to voice opposition alone. 9 . Unanimity A decision made by an overt and unanimous consent. The pressure to conform may be strong enough to win apparent 100% agreement. But even a majority of the members may inwardly disagree and may consequently fail to act in support of the decision. 10. Consensus A decision made after allowing all aspects of the issue, both positive and negative, to be put forth on the degree that everyone openly agrees it is probably the best decision. Dissenters, once they have been clearly heard, will usually go along with a decision and act upon it with commitment, at least to the point of provision for later assessment. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 i '4 3 II. DIFFICULTIES IN DECISION-MAKING Most of the difficulties encountered by a group in making decisions center around one or another of the following factors. 1. Fear of Consequences In some groups the possible outcomes of an impending decision may bring division and disagreements. Frank acknowledgement of these fears often suggests how they can be dealt with effectively. 2 . Conflicting Loyalties Multiple membership in a number of groups frequently leads to divided loyalties among group members. An atmosphere in which it is possible for these conflicts to be brought out into the open without threat to the individual is a great help in their resolution. 3 . Interpersonal Conflict In groups of any size personal differences occur which provoke feelings of affection or of antipathy among members and which inhibit sound decision-making. Often another member who is not involved in the interpersonal conflict can bring the real problem into bolder relief. 4 . Methodological Blundering A group may be so bound by rigid procedures that there is little chance for free expression of differences. Or a group may allow itself to substitute personal opinion for adequate data. Or a group may approach the decision-making process without testing for consensus. 5 . Inadequate Leadership A designated leader falls short of his responsibilities when he restricts the expression of opinion or discussion of issues, when he fails to provide assistance in selecting appropriate methods of decision-making, and when he is insensitive to the factors causing difficulty -- the motivations and standards of his group. III. CONDITIONS RELEVANT TO GROUP DECISION-MAKING There are many instances where, due to the pressure of time, the type of decision, or the area of responsibility, an individual and not a group may most appropriately make a decision. There are, however, certain conditions that make decision-making by a group the most appropriate means of solving a particular problem: -- when various points of view and opinions are needed. -- when the group is directly affected by the decision. -- when the group must carry out the decision. -- when the group has learned to work effectively together. -- when the leadership functions are shared. -- when decision-making procedures appropriate to the problem are used. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 4 IV. FACTORS WHICH FACILITATE GROUP DECISION-MAKING There are certain specific factors that affect any group situation and that serve especially to improve the decision-making process: -- a clear definition of the problem. -- a clear understanding of who has what degree of responsibility for the decision. -- effective means of producing and communicating ideas. -- an appropriate size of group for decision-making. -- effective means of testing alternative solutions. -- effective means of implementing the decision. -- commitment of the designated leader to the group decision-making process. -- agreement on the decision-making procedures prior to deliberation on the issue. V. STEPS IN PRODUCTIVE DECISION-MAKING Effective decision-making by a group on the basis of consensus is both realistic and possible. But it is not easy. There are five basic steps which a group can take in arriving at a decision with some assurance that it represents the mind of the group as a whole and that it will be acted upon. It is well also to be aware of what may help a particular step, of what may block it, and what may cause its omission. 1 . Defining the Problem The process of defining the problem, sharpening the focus so that the issue is clear, internalizing its various implications,clarifying it and elaborating on it. -- omission: a committee that is reappointed year after year but that never reviews its purpose. -- blocks: the assumption that the problem is clear; overabstraction of the problem the assumption that the problem is relevant. -- helps: a problem census; small groups; general discussion. 2 . Suggesting Alternative Solutions The process of getting ideas on the various alternative solutions to the problem from all members. -- omission: a supervisor who limits a group to working on the implications of a solution he has already decided upon. -- blocks: lack of data, lack of experience; group size; member threat; over formality, inadequate maintenance functions;polarizing on a particular solution. -- helps: brainstorming, additional data; subgroup work; a climate of freedom, periods of silence OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 5 3 . Testing the Alternatives The process of examining the alternatives in the light of all available data, previous experience, possible consequences, relevance to the problem, and members' attitudes. -- omission: the prestige or influence of the chairman or of some other member which prevents the group from putting his alternative under real scrutiny. -- blocks: lack of data; premature voting; overprotection of ideas by individua members; inadequate maintenance functions. -- helps: asking each proponent of various alternatives to explore out loud both pros and cons of their suggestion. 4 . Choosing Among Alternatives The process of reaching a decision by choosing one of the alternatives, or a combination of alternatives,that will provide a solution to the problem defined. -- omission: a team that goes on and on and on - exploring the ifs, ands, and buts, ad infinitum-but never arrives at a decision. -- blocks: inadequate testing; lack of clarity regarding the problem; premature voting; not testing for consensus; identification of ideas with persons. -- helps: expression of feelings by all members; maintenance of an agenda for future reference; summarizing of discussion; testing for consensus. 5 . Planning for Action The process of making detailed plans for carrying out the decisions by examining the implications of the choice and testing the relevance of proposed action. It should be noted that the planning step sometimes results in re-thinking the decision and returning to one or another prior step in the decision-making process. -- omission: failure to assign responsibility for implementation of the decision once it has been made. -- blocks: failure to reach consensus; failure to explore adequately the implications of proposed action; assignment of total responsibility for implementation to one person. -- helps: feedback; observer reports; evaluation; post meeting reaction reports; review of data; a climate of freedom. OSentient Systems, Inc. 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 -9 90 LEADERSHIP FOR THE 21st CENTURY BEYOND BRAVERY: THE COURAGE TO LEADTM A LEADER DEVELOPMENT PROCESS By: David G. Jones, Ph.D. President, Sentient Systems, Inc. @1992 INTRODUCTION TO LEADERSHIP A. History and Background No one will deny the incredible acceleration of change that has occurred and is occurring in our world of the late twentieth century. Two quick examples: A want ad discovered recently: "Help wanted: At computer company. Work on two gigabyte, high resolution, multi-phase, lock cyclotronic, Josephson junction thermal conductor modules. No experience necessary." Our technology explosion has plunged us into a High-Tech world. And how about this one: A second grade teacher recently had his class write fairy tales. One girl wrote: "Once upon a time a girl loved a boy. The boy loved the girl. The girl was captured by a dragon. The boy rescued the girl, but the girl killed the dragon. They got married but did not have babies. They formed a company and went to work as dragon killers." These stories reflect some of the awesome changes we have experienced over the last twenty years. Going back even further: In 1800 90% of our work force in the United States was related to agriculture. Today, less than 3% of the work force is related to agriculture. In 1957-58 two significant events occurred: Sputnik went up, stayed up and launched us into the Space Age. The other event, which had far less press at the time, was something that had never ever occurred in any society in history. For the first time ever, white collar workers out-numbered blue collar workers. By 1989 less than 10% of our workforce manufactured goods for our consumption. We have moved from an agrarian society through an industrial society to a high-tech, space age, service-oriented, information society in just over two hundred years. In the book US Naval Leadership written in 1939 and reissued in 1949, the definition for leadership was beautifully given. The last part of it however states: the most important aspect of leadership upon which all the other aspects depend is that a leader must instill, foster and maintain obedience in his followers! "Obedience" today is not high in our national value system! The "his" in the statement is also out of date! And the U.S. Navy has changed its definition and its expectations of its leaders. OSentient Systems, Inc. PMB 5, 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com With such changes the personal demands on leaders have been and are awesome. Our expectations of leadership today is as changed as the rest of the world. In the Industrial Age and for the 2000 years prior to it, if people had the title they could make the decisions. Right, wrong or indifferent, most people would follow along. 'Positional Leadership" r was the name of the leadership game. The change away from positional leadership is occurring as a result of a combination of factors. First, we have moved from an Industrial Age to an Information Age. In the Industrial Age "Leadership" was synonymous with "control". Positional Leaders kept their authority by (1) controlling information that others needed and (2) by monitoring output of their followers. Having information gave designated leaders a powerful tool for control. An example of this type of leadership could be found in the sailing ships of the 18th and 19 centuries. The sailors put up with incredibly poor conditions on long sea voyages. The food was terrible and wormy, the work dangerous and hazardous, disease was rampant, pay was poor. Why did the sailors put up with such terrible conditions? The captain had information they needed: he knew how to get home! Only the Captain and the First Mate were allowed to know navigation. This kept mutinies at a very low number. In the infamous "Mutiny on the Bounty" why did the crew have to get Mr. Christian on their side before they could throw Captain Bligh over board? Not because Mr. Christian was a nice guy-- as First Mate he was the only other person who could navigate! In an Information Age,it is almost impossible to control the flow of information and to keep it secret by withholding it. People no longer allow designated leaders to be secretive. They demand to know and believe they have every right to know. The flow of information today is available to almost any one who wants it. Second, the other major strategy for keeping control in the Industrial Age was monitoring output. It, too, has fallen on hard times. In the Industrial Age when most of the work force manufactured things the output of their work was visible. You could count the number of widgets produced. In the Information Age we pay people to sit and think: how do you monitor that?! We are still hung up a bit on the old ideas of control so we want visible results of"think" by thicker reports. We have moved into an era when all leaders need to be able to deal with the invisible world. Leaders with only motivation to control will find a very difficult time understanding much less responding to the "invisible" world of Team spirit, inspiration, values and trust. Third, another major factor that has impacted the changes in Leadership is the result of the social movements of the sixties and seventies. Women,blacks and gays moved strongly for equal rights. "Equality" was the strongest force of all the movements. As we went through these egalitarian revolutions, it was not popular to talk about being a "leader". Such talk was "elitist" and in some circles even "fascist". So we did not talk much about leadership from the late sixties to 1982. In the nineties a vital part of leadership is understanding, valuing and being able to manage diversity of all kinds: gender, ethnicity, age, style, values, religion, sexual orientation to name a few. It is forcing us in the entire Western World to re-evaluate how we do things as leaders. It is simply not possible to continue providing the same style of leadership as we have in the past. If you think things will go back to the old status quo of the white male world, recognize the fact that in 1991 only 15% of the new workers entering the workforce in the United States were white males. ©Sentient Systems, Inc. PMB 5, 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com The fourth major factor impacting changes in how we viewed leadership from the sixties on, was the loss of credibility in our national leadership. We had a war in Vietnam we could not win and did not want. We had the Democratic Convention in Chicago. We had Kent State. We had Spiro Agnew and Watergate. The media brought to each home in America all of this history as it was being made in blatant, shocking scenarios. We sat in our living rooms and watched the disintegration of leadership in our world. And it would never be the same for US. So for 15 years we did not talk about leadership, in the training world we did not train in leadership (we trained managers), and in the world of books we did not read about leadership. It's an understatement to say that it was a time when discussion about leadership was not popular. In 1981 Michael Macoby wrote The Leader, which prepared the way. Then in 1982 with the publication of In Search of Excellence leadership began to come out of the closet. In 3 short years, in Passion for Excellence (1985) Peters and Austin wrote: "Yet one thing is missing, one element that connects all the others. It was a shadow over the pages of In Search of Excellence, but we seldom labeled it; that (missing element) is leadership"! Since 1985 Leadership is back in the public eye. Books, articles and training sessions on leaders and leadership are now everywhere and new ones emerge daily. The old model of leadership cannot work because: (1) very few people are willing to be just followers, (2) the old controls on information and monitoring output do not work, (3) a growing hunger for people to find meaning for their own lives and work, (4) the growing diversity of our workforce. This reflects the change in the world of leadership today. People no longer will simply follow orders because someone in authority tells them to do it— even in military and para- military organizations. Positional Leadership is no longer the acceptable norm. For this reason many people in high positions in various organizations with whom we work are becoming more autocratic in reaction to this change. They are emphasizing their positional power in order to stay in control. This is a "last-ditch stand" to keep the status quo. Organizations who see beyond this leadership transition will take the lead into the 21st Century. An amazing fact we discovered from our research: Today there are no more followers, not everyone yet calls themselves leaders. But very, very few will say, "Just tell me what to do, I'm only a follower." Positional, autocratic leadership is dying a natural death. B. Definition of Leadership What is leadership if it is not controlling and monitoring output and instilling obedience in our followers? For the last few years of the Twentieth Century true leadership is defined as "having a positive impact on the world." In order to do that, of course, you need the help of other people. Those people are not just followers in the old linear sense of people below you in the organization chart. Those people are anyone you need to achieve your vision whether OSentient Systems, Inc. PMB 5, 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com they are above you, beside you, below you in your organization chart and even people outside of your organization. All authorities on leadership today state with conviction how much we need to involve our customers and our consensus of either goods or services in building and reaching our goals. As we expand our understanding of the need for new leadership, it is evident that there are three different levels of leadership: Level One: Bureaucratic Leaders - these are people with titles and responsibilities who make no decisions on their own. They simply follow the rules and policies laid down. They never confront issues or people directly to problem solve solutions. An example of this is the Russian Official at the time of the Armenian earthquake: foodstuffs, medical supplies and clothing were coming in from all over the world to relieve the incredible suffering of the Armenian people. The Russian bureaucracy has been trained for many years to follow procedures and not take independent action. There were no written procedures to handle such a disaster,the distribution of relief supplies became a massive snafu. The best example is that of the Official who would not release food to a starving village, because there was no person of official status left alive in the village to sign for it! Level Two: Effective Leaders - these are leaders who achieve goals. They have vision, they motivate and prod and drive people to achieve that vision. The key here is that even though the goals are reached,the organization and the people involved are burned-out. Such leaders are usually viewed in the world as effective and most often are rewarded. However, their actions lead to less progress in the world in the long view. Effective leaders are "winners". However, the impact of designing always around winning is a dangerous, short sighted strategy. Warren Bennis in Why Leaders Can't Lead states: "No business or organization can or should be designed to win. It must rather be designed to grow, on both quantitative and qualitative levels. In this sense it vies more with itself than with its competition." Level Three: True Leaders - these are people with crystal clear visions and goals, who inspire people,not prod or drive them, to work together in achieving those visions and goals. As important as the goals achieved - indeed as part of the goals themselves - the people involved are better off for having been involved. They are better off emotionally, mentally, spiritually, morally and physically. The organizations involved are not burned out and wasted but are better off quantitatively and qualitatively. James MacGregor Burns stated it well: "The true leader is not a mere 'power wielder' eager to accomplish personal objectives. The true leader senses and transforms the needs of followers." True leaders are therefore "transforming leaders": providing leadership that builds on our need for meaning and also creates institutional purpose. Burns continues, "Leadership, unlike naked power wielding, is thus inseparable from followers' needs and goals." True Leadership as "transforming leadership" occurs when one or more persons engage with others in such a way that leaders and followers raise one another to higher levels of motivation and morality. "These purposes, which might have started out separate but related, . . . become fused. Power bases are linked, not as counter-weights, but as mutual support for a common purpose. Transforming leadership is dynamic leadership in the sense that the leaders throw themselves into a relationship with followers who will feel 'elevated' by it and often become more active themselves thereby creating new cadres of leaders." @Sentient Systems, Inc. PMB 5, 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com C. A New Paradigm For Leader Development: "Beyond Bravery. The Courage to LeadTm How do we provide leadership in this changed and changing world of ours in which followers don't follow and the invisible world is more important than the visible world? How do we prepare ourselves to lead to meet these challenges? Simply a new set of management skills and tools will not be enough. We are facing the need to test, adapt and change our belief systems; to discover and develop new paradigms. We must test our beliefs: our beliefs about ourselves, other people in all their diversities, our organizations, our work and the reasons we do it, the authority we both have and work under, and the cultural context in which we live and work and have our being. As all of these areas of focus are constantly changing, we need not only new positive belief systems (new paradigms) about them, we need to know how to continue to test and adapt our beliefs in an ongoing process. It is learning that process that is absolutely the key to the Beyond Bravery: the Courage to LeadTM Leader Development Model. An ancient paradigm can be found in the writings of Confucius. Confucius stated: "The three most universally accepted qualities in people are wisdom, compassion and courage." Exactly what we need as leaders even today! A modern metaphor mirrors Confucius for it was also what the Scarecrow,the Tin Man and the Lion were after! The Scarecrow wanted a brain (Wisdom), the Tin Man wanted a heart (Compassion), the Lion wanted Courage. There is a deep archetypal meaning underlying the ongoing popularity of the "Wizard of OZ" and it holds the key to our development as leaders for this age. In adding a new dimension to adapt this paradigm to today is to add what Dorothy wanted (a home) and which speaks particularly to our present situation. That fourth dimension of meaning, purpose and values is "Faith". For the Leader Development Model the process is: Wisdom Compassion Faith Courage We work on Wisdom first, then we move into Compassion, then Faith, then Courage. The concept of"progression" is something of a misnomer since we are in all four stages all of the time. The progression comes from the conscious focus we place on each of the stages as we develop. The process is more of a spiral that gets deeper with each round and continues going deeper throughout our lives. The Beyond Bravery: the Courage to LeadTM Model: Wisdom: becoming conscious with a new awareness about ourselves and the world. We gain focus through crystal clear vision of what we want for our organization as well as for the people involved. New wisdom always helps us focus. Focusing our energies is a vital ingredient of Leadership: A true leader burns with the fire of unfragmented purpose. When we know and honor who we are, and are grateful for our gifts and opportunities, we move into: OSentient Systems,Inc. PMB 5, 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com Compassion: sharing and using our awareness with others, blending and bonding and fusing our visions, our passions, with the vision and passion of others. This is one of the most obvious differences in the new world: Leaders must also be open to having their vision impacted, shifted and transformed by the people with whom they work and upon whom they must depend to achieve their vision. The vision becomes a new entity with more life force within it, and it changes us as well. Our purposes, which might have started out separate but related become fused. Power bases are linked, not as counterweights but as mutual support for common purpose. True Leaders know in our inner being that we are all truly one. When we have learned to bond and fuse our vision and our Power with others we move into: Faith: recognizing who we are, what we are about, the purpose of it all; and how we fit into the big picture. It is the recognition and acceptance of our personal destiny. To internalize that belief will enable us to provide true leadership. Without it we will lead only from our own eyes and achievements we will tend to be for our own gains. The issue of Faith for Leadership is difficult for people to grasp. We immediately think "religion". What is meant here may or may not be related to religion for any given leader. The focus is on spirituality and not religion. Why is spirituality important to a Leader? First, each and everyone of us must face the issue of the meaning of our lives. The great psychologist Erik Erikson, in his Eight Stages of Maturity, calls his seventh stage "Generativity", or what is my life supposed to "generate". Why am I here? What is my purpose? We usually enter this stage somewhere between 35 and 45 years of age: "the mid life crisis!" The true resolution for this question comes with the awareness that we are part of a greater world, and that we are as important to that world as it is to us. For leaders to have lasting, positive impacts on their organizations and the world this awareness of the importance of individual purpose is vital. Second, with some awareness that there is a higher purpose to our actions, we as Leaders will take greater risks. If we only act out of our own egos, self-aggrandizement and self- survival will be our main motivations. Third, the area of Faith is the area of "values". The key ingredient of leadership that Kouzes and Barry discovered in their research with "followers" was credibility. Credibility can only be built when there is a strong, consistent value system that is congruent with our leadership behavior. Fourth, the "spirit" of an organization is an absolute key ingredient to success. If Leaders have not dealt with their own "spirit", how can they possibly provide the appropriate leadership needed? If they do not know the greater purpose behind their own actions, how can they deal with the motivations within their organizations? ,r OSentient Systems, Inc. PMB 5, 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com True Leaders risk believing that there is a purpose in our being here today. When we know and accept and feel passionately about our purpose in the world, we move into: Courage: taking action! It is the integration of all of the work in the other Stages that focuses for an instant in an action or actions. Courage is not a "feeling" - it is taking action regardless of feelings. It is "Beyond Bravery". The word Courage comes from the same stem as the French word "coeur" meaning heart. It is action that comes from the heart. It is doing it in spite of everything else including fear. "Beyond Bravery" means that we do not have to be brave to take action. To act even when we are scared to death is providing leadership our world needs. From an interview in The American Way magazine the great Hollywood director John Huston stated, when asked "Did anything frighten him?" "I've been described as reckless and fearless, and a lot of things that are not true," he said. "In fact, I can have the bejeezus scared out of me, and it's happened, particularly in the war. The best that I can say regarding that reputation is that I'm pretty good at not letting anybody see that I'm afraid. That's what passes for raw courage." True Leaders stubbornly and resolutely refuse to do nothing! There are many brave people in the world who take actions randomly and spontaneously. However, if they have not worked through Wisdom, Compassion and Faith their acts are without focus and meaning and could be more destructive than positive. Courage means actions based on becoming and accepting who we are, our abilities to bond and fuse with others, and our understanding of and commitment to our individual purpose. As Yoda (the Jedi Warrior) said: "Try? There is no "try". There is only "do" and "not do"." D. THE STAGES: Knowing when we have begun to attain them Wisdom: True Leaders Burn with the Fire of Unfragmented PURPOSE We have WISDOM when we: Recognize, accept and are grateful for - who we are - our past - the hand we were dealt - our achievements - our present opportunities - our abilities - our continual life-long learning - our significant relationships - our vision and goals - the truth that life and death are not opposites - that there are no accidents - that life and learning never ends - that the invisible world is at least as real as the visible one OSentient Systems, Inc. PMB 5, 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com Compassion: True Leaders know in our inner being that we are all truly ONE. We have COMPASSION when we: - share openly and intimately - listen to others and really hear - care desperately about what happens to others - fuse our energies with those of others - share control of our lives with other persons - can be fully present wherever we are - recognize and honor the others on our path - have passion for our life and our work - have passion for the life and work of others - blend our vision with the vision of others - experience that we are all ONE: that separateness is an illusion - can really know other persons Faith: True Leaders risk believing that there is a purpose in our being here toda; We have FAITH when we: - believe in our believing - believe in our own destiny - believe that life is important - believe that we are important - believe that there is a purpose in what we are doing - understand and accept our values and know our bottom line - believe that there is a Higher Power believe that our path has heart commit ourselves passionately to our Mission - accept that we control our response to our destiny - accept our mortality and that death is an illusion - are excited and enthusiastic about life Courage: True Leaders stubbornly and resolutely refuse to do nothing! We have COURAGE when we: - cannot fail to act even when fearful and even when others hesitate - act out our own Mission in the world without holding back - act out of our heart - act out of the power of integrating our wisdom, compassion, faith - take creative risks to move us along our path - honestly work for win-win solutions - can say "no" as well as "yes" - can take an unpopular stand on an important issue because it is the right thing to do - can pick ourselves up after a failure and keep on keeping on - truly adapt to and enjoy the challenges of change - face conflict openly and head on - trust the future to emerge out of our present - risk a great carelessness of self for a higher good ©Sentient Systems, Inc. PMB 5, 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com E. The Connectors between the Stages There are two Connectors that enable us to move through the Stages of our development. These are, therefore, an extremely important part of the model. The first connector is: Humor: the Tin Man's oil can that keeps us from getting rusty or frozen in position. Humor is more than just jokes and wit. It is a positive outlook on life. This attitude is best exemplified when we can laugh at ourselves. For example, take the issue of humor in the stage of Wisdom. You and I know a lot of people who are very wise, but who cannot laugh at themselves. What happens without the ingredient of humor is that they get stuck in arrogance. President Ford had a symposium on humor in the White House "which, as one comedian said, is like the Ayatolah Khomeni having a symposium on the sexual revolution". Gerald Ford does have a very wonderful sense of humor. He stated: "If we can learn to laugh at pomposity, we can learn to cry at injustice. So Humor is learning to laugh at ourselves, not at other people. Not to take ourselves so seriously, and to be able to laugh. There is a humor institute in Saratoga Springs, New York which puts out a quarterly journal called Laughing Matters. Their whole purpose is to help people see how humor is a necessary ingredient in life. People are invited to send in stones on themselves as examples of humor. One true story: A woman wrote: "there I was in the basement and I had just thrown all the laundry into the washing machine and I suddenly had the urge and peeled off my sweatshirt and jeans and threw them in the washing machine too. And as I was standing there in only my panties, I heard this masculine voice coming through the door saying, 'meter man'. I was stuck, so I looked down and there was my son's football helmet and a pennant for his school. I put the helmet on and stood in the corner motionless with the pennant held in front of me." "As the meter man came in he read the meter and as he turned to leave, and I was breathing a sigh of relief, he turned around and said to me, 'Lady, I sure hope your team wins!"' With humor and the ability to laugh at ourselves we can move from Wisdom into Compassion, Compassion into Faith, Faith into courageous action in the world. The second connector is: Personal Power: the ruby slippers that enable us to move down the yellow brick road to our goals. Personal Power is the ability to focus all of our personal resources in any given situation and in any given moment. It involves the ability to be fully present in time and to be fully centered in space. It is the ability to deal with both the visible and invisible forces around and within us. Personal Power is centering ourselves in our inner cores. Having personal power is developing ourselves as inner directed: finding our power for living from inside as opposed to finding power and meaning outside of ourselves. Outer directed leaders become attached to external rewards. We become outer directed when we give power away to external forces. Personal power is the integration of our beliefs, values and actions. True leadership is value driven. OSentient Systems, Inc. PMB 5, 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com To demonstrate Personal Power, a story I read recently was from the private diary of one of our greatest presidents,Franklin Delano Roosevelt. Roosevelt kept a diary almost daily from 1924 until the night he died in 1945. These went undiscovered until August, 1986. The following excerpt and comments are from The FDR Diaries by Vic Gold and Paige Gold. "FDR considered Douglas MacArthur as one of the most dangerous men in America, second only to Huey Long, and tried to know what MacArthur was up to at all times. From the Diaries, September 1935: 'Tommy the Cork (his aide Thomas Corcoran) has been in touch with MacArthur's top aide, asking him to keep us informed about anything political his superior might be up to. I hate spying on a person through his staff members, but in MacArthur's case I feel justified.' A few days later Roosevelt entered a final note on his plan to infiltrate MacArthur's staff: 'A call from Cork late this afternoon. It seems that MacArthur's top aide has proved less than cooperative. The Cork was angry, but I must admit I was impressed. When the White House calls most people jump. Loyalty of that kind is hard to find in Washington these days.' FDR was indeed impressed. The "top aide" to MacArthur who refused White House blandishments to spy on his superior was Major Dwight Eisenhower. Seven years later, Eisenhower, then an Army Lieutenant Colonel, was promoted over hundreds of other officers to become Roosevelt's hand-picked commander of U.S. forces in the Atlantic- European theater of war. Military observers were baffled. Eisenhower, they said, was a virtual "unknown". But he was known well enough to the man who counted most." For the first time we know the real reason Eisenhower was selected: he was known by FDR as having a strong, inviolate set of values that included loyalty. Roosevelt knew he could trust Ike! F. Summary In our world today, the relevant question is not "Are you a leader?" The relevant question crying out from the heart of society is, "What kind of a leader are you going to be?" G. Discussion in OZ "I have been trying and trying to think up a definition of Leadership," the Scarecrow said to the Wizard of OZ, "but I have not come up with one." "That is because it is too easy for someone with your wisdom to think of," said the Wizard. "Leadership is simply getting things done with other people. The things that get done must have a positive purpose or they will not last, and therefore,true leaders always act with a sense of purpose. And, of course, to have a sense of their purpose they must have wisdom." "And compassion too," said the Tin Man looking up from sharpening his axe. "When the thing is done, everyone must be the better for it, as well, or the Leadership would not be true." Therefore,true leaders achieve for others and not just for themselves. OSentient Systems, Inc. PMB 5, 133 E. De La Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com Toto barked and Dorothy added, "For a leader to be true she ("or he, too,if you must," she murmured under her breath) must have the sense of it all being important,that it fits a larger picture, that it will all make sense in the end. And that takes Faith." "Well," the Lion growled, and not too timidly, "for a leader to be true takes courage. Courage is not just a feeling,it goes beyond bravery. Courage is doing it - acting on that thing in the world even when you are scared to death. And, the acting out must have positive purpose as was stated earlier with wise words, or the motions are simply random acts that may not lead anywhere." "I see," said the Scarecrow, with a brighter and wiser look on his face. "True leadership is getting things done with people toward a vision which results in a positive impact on the world and all the people involved. And in order to make the actions true, leaders need wisdom, compassion, faith and courage!" "Exactly," said the Wizard. rOSentient Systems, Inc. PMB 5, 133 E. De I-a Guerra Street, Suite 232, Santa Barbara, CA 93101 Phone: (805) 692-1992 Fax: (805) 692-9551 E-mail: sentient @sprynet.com r 3 I I r 6 4 4 i 1, d i 6 g� 1 s V +: ervint1 S= ,r`� _� When I started my local government career 30 �� years ago as a junior recreation leader, I knew what Cithens my job was. It was a simple, straightforward job of Engaging delivering services to the community. If the job x: e '" changed,an orderly process for implementing that ' - change was explained, and the adjustment was made. w era ent. � R+.."' Now that 1 am a city manager, however, I am Fr ,, confused—not only about the nature of my job but r--• about the very business of local government.The confusion stems from the incredibly different realities «+ now facing cities and counties as we approach the third millennium. w _ _ A Brave New World What does today's perplexing external environment look like,This brave new world has five characteristics: or 4V 1. Problems facing local government are complex f and difficult to solve. For example,no one can cite the one definite cause of community violence,or for ( that matter of poverty,neighborhood deterioration, 'o" or why Johnny cannot read. These types of con- temporary problems are qualitatively more complex than the engineering issues once facing cities and suburbs as they grew up in decades past. r _ ' A z. No one agency,including government,can solve the problems. No one agency can deal with family ' dysfunction or the loss of jobs. Even-worthwhile ; effort requires collaboration and partnering among " organizations,thus deepening the complexity. :Moreover,even with collaboration,the best that can be expected is to effectively address,not to sole,the problems. 3. Local government does not have the financial resources to solve problems. Most local governments today are lucky if they have the ,. funding simply to maintain current levels of core services. No one expects additional funding to address the social and economic problems confounding our communities. Of course,a major part of this fiscal dilemma is the shifting of costs 4 t from federal and state government to local government,giving us the legal responsibility to address the issues,but without adequate resources. 4. Citizens have lost confidence in all institutions, `' • jp including local government. In the past,people 4 , ( " - (Pubti.c Management, Feb)u=y, 1996) A, 7 had less confidence in federal and state government Now,certainly Nve in government need to enhance but trusted local government because it was "closer customer service. Because we all perceive the need to the people." Disenchantment with all major to improve the vending machine, local government institutions,particularlh.government,now affects agencies in the United States and around the world are local government as well. (See Figure 1 for sur•ev invoked in initiatives to improve customer service. results showing"Where Americans Place Their ranging from hiring customer-sensitive employees. Confidence")In fact,as Chris Cates.president of giving existing employees better training,streamlining the National Civic League,has observed,people's procedures,cutting red tape,and recognizing customer- presumption of"bad intent"on the part of elected service heroes and heroines as role models. In the officials undercuts their ability to exert leadership community of Brea,California,for example,we take in solving community problems. great pride in the Brea Customer Care Commitment. 5. The monopoly is dead.Local governments have Even when the city does in fact provide excellent believed traditionalh•that they had a monopoly on customer service,however,there is a fundamental certain service areas.They are,however,discovering problem. Ultimately,the vending-machine model that people have a multiplicity of choices. Certainly, undermines people's confidence in and their allegiance city and county recreation departments have long to government. Local government becomes just another competed with boys'and girls'clubs,YIMCAs and service provider among many. It is no longer special and YWCAs,private health clubs,and other forms of can no longer demand the public's allegiance. Even privately provided leisure activities.But now,even more troublesome,the vending machine contributes to in the area of public safety,localities no longer have passive consumerism. Localities demand nothing more monopoly control. Because public police agencies than that customers drop their quarters into the vending- have priced themselves out of the market, machine slot. Customers(as opposed to true citizens) businesses and organizations now hire private only care about their needs and the services they : security services,which have seen phenomenal consume;they have no interest in the needs of others. growth in the last decade. In short,local governments have turned citizens into mere consumers. Local governments also compete in a market- Finally,the vending machine is based on a deficit place as they attempt to retain and attract residents, model. Localities assume that something is wrong with businesses,shoppers,tourists,utility and transit users, people or that they have some kind of deficit. By service customers,and arts patrons. Public agencies providing services,government tries to fix people.When compete for people's cooperation and political support, teenagers run away from home,for example,govern- whether that support involves complying with codes, ment tries to fix them or their parents by providing conserving water,or paving higher trash fees. Realistic- shelter or family counseling. If a neighborhood ally,local government cannot force people to do complains of graffiti or gangs,local government anything unless they are willing to comply. Because responds to this deficit with more police. citizens are bombarded with communications from all As opposed to the vending-machine idea,the sources,local governments must vie for their attention. barn-raising concept(a metaphor developed by Daniel Cities and counties literally must compete on a daily Kemmis in Community and the Politics of Place)suggests basis for people's hearts and minds. other possibilities for government. In an agrarian society, no one family can raise a barn. So they call on their neighbors from miles around.To raise the barn, Vending Machine someone hammers;another holds the ladder;and versus Barn Raising someone else brings the food. Everyone has his or her To evaluate the future of local government,we will have contribution to make. to contrast two concepts of government:"the vending The barn-raising approach promotes citizen : machine"versus"barn raising." responsibility as opposed to the passive consumption The vending machine(a metaphor articulated by of services.When confronted with a problem,people Rick Cole,former mavor of Pasadena,California) is the do not ask,"What is government going to do for us?" traditional concept of government as a service provider. Rather,they focus on"What are we going to do?" : The vending machine is somewhat mysterious:people As opposed to the deficit model,barn raising is do not know precisely how it works.They drop in 25 based on an asset model,as described in John cents in taxes or fees and expect the machine to dispense iVlcKnight's iqq- publication Building Communities at least 25 cents in services.When the machine does not from the Inside Out:A Path Towards Finding and work to evervone's expectations,people start cussing at Mobilizing a Community's Assets. To better use the assets it and kicking it. Sound familiar? of young people,for example,the city of Brea conducts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-8 -ides a small write the details of a program based on citizens'values Volunteens,a summer program that prox stipend to teenagers who deliver recreation and other and dreams. organized programs to children,other teens,and seniors. Brea has used a visioning process called Brea bs The Volunteens program builds on the talents and Design,engaging 125..communih designers" in creating energies of teenagers,not on their problems. a vision for the new downtown. Based on the values Likewise,in trying to help families who live in and concerns raised by a cross section of residents and poorer neighborhoods,a local government should try to businesspeople, the city is redeveloping its downtown as recognize and take advantage of these residents'strong even one's"second neighborhood"with the full support sense of family and support for each other,as shown by of the community. the mothers who look after each other's children in front As urban planner Michael Doyle has asked,"Hoy of apartment complexes. Governments also should build can people act in the interest of the whole, if it isn't well- : on the people's faith in religion and ties to the church, defined,beautiful.and ennobling?" should use the organizational abilities they exhibit when they organize block parties or fiestas,and otherwise Developing Community Leadership should build on their sense of community.These are In Iowa's 1995 general elections,no one filed to run : all tremendous assets. for the office of mayor in 131 cities. Eighty-one council seats in that same election attracted no candidates. Likewise, public officials in southern California Four Illustrative Strategies long have lamented that well-meaning,talented people While local government never will abandon completeh are not stepping forward to take on leadership roles. In its service-delivery or vending-machine role, managers response to this leadership crisis,Brea and four other need to confront their brave new world with more communities in North Orange County and Diamond collaborative problem-solving approaches.The barn- Bar in Los Angeles Count joined forces to form the raising concept encompasses many kinds of strategies. North Orange County Leadership Institute. Coordinated To illustrate the approach,let us review quickh four by Califomia State University at Fullerton,the nine- : strategies that fit the model: month program aims to identify,train,and energize potential communih-leaders who can take on leadership Visioning positions on school boards and cih councils,as well as in Typically, local governments try two extreme approaches PTAs,church groups,business associations,and civic in dealing with the communih.At one extreme is the improvement committees of all kinds.The institute has "tell-and-sell"mode,which involves no real community just graduated its first class of 25 community leaders. Without communih'leaders,local governments have no one with whom The future for local government Iles ill tra77st01,711117 17assIlT to work. Leadership development must be a priorih in building a civic C'011S11771eYS of public Sen'lces 17110 responsible citizens• infrastructure and addressing intractable communih,problems. participation at all.After local government agencies Working Through Mediating institutions have made a decision,they tn-to sell it,often with little As the survey results on confidence in institutions success and much negative reaction and mistrust in the indicates (see Figure 1),people have greater trust in decision-making process. churches,schools.and voluntary civic organizations At the other extreme of the continuum of com- than in local government. Schools,religious organi- munih participation is the involvement of people in zations,and other voluntary groups can mediate mundane technical planning,such as the update of a between government and the people. Given this General Plan element.At the beginning of the process, potential mediating role, it makes sense for local : energized and motivated cih council-appointed government agencies to form partnerships with residents and businesspeople may attend monthly yoluntar,community organizations. meetings.After six months of dealing with mind- A good example of such a partnership is the numbing technical minutiae, however,everyone is collaboration between city redevelopment agencies and bored and drops out. Habitat for Humanity,a nonprofit Christian ministry Visioning is a barn-raising strategy that truly engages that helps low-income families build their own houses people in expressing what they know best: their values, with community support. Redevelopment agencies often 4 hopes,and fears. Once people have articulated their offer free land,and Habitat for Humanih,engages aspirations,the technical people can develop a plan or churches,businesses,civic groups,and Iiterally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-9 thousands of people in these "home raisings." are involved as catalysts or facilitators and commit Through these relationships with mediating institutions, resources; neighborhood groups, however,are the local government can solve problems,promote citizen critical actors. responsibilih-,and build trust in the government partner. Building on residents'relationships with their neighbors,people are engaged in block parent, cleanup, : Empowering Neighborhoods and mentoring projects. Local governments also are While people do not trust government,the survey on helping neighborhood groups to take back recreation confidence in institutions suggests that citizens most areas from gangs and drug dealers.They even are trust people like themselves:their friends,neighbors, providing these recaptured playgrounds,as well as and associates. Consequenthv,many local governments financial grants,to neighborhood groups so that they can : have focused on neighborhood empowerment strategies start and schedule their own programs for their children. to solve difficult communih,problems. To full use the assets of local groups in different Some local governments have tried to co-locate neighborhoods and to promote self-help and different programs in neighborhood recreational centers neighborhood-to-neighborhood cooperation,Hampton, or storefronts and have established multidepartmental, Virginia,has created a Neighborhood Resource Bank. cross-functional "strike teams"to address neighborhood Under this program,which is coordinated by the cih", : crime or blight.These efforts, however,are essentially neighborhoods can use the resource bank to combat new and improved models of the vending machine. their own local problems only if they replenish the bank A barn-raising approach requires significant with some other talent,skill,or asset. outreach and building of rapport with individuals, Finally,neighborhoods need to look beyond their families,and groups in a targeted neighborhood. In the own interests.Chris Gates has talked about the need process,local government identifies neighbors with to overcome"civic cocooning,'the tendency of people special abilities,talents,energies,and other assets to who may be concemed about issues in their own contribute. Local government agencies support neighborhood but not in the one next door. associations or help form new groups,and encourage Consequentiv,many local governments have organized existing or potential leaders to provide direction. Groups periodic neighborhood congresses so that a larger are then engaged in discussing concerns and approaches perspective of the public good can be achieved. to neighborhood problems.Local government agencies _- 11 ire ere Amur lmns`PlaccThdr?ConfldenceforDenting'wtth the Probkms_-Facing 7fieir Communities , 1990 1994 Respondents stating"a great deal"or"quite a lot." Other People like Themselves and Their Friends. ........................ . 52% Religious Institutions........ ....................... ............... 57%. . ................ ........ . . 40% Voluntary Groups/Nonprofits . . ........ ............................. 54%.................. .. . ..... .. 37% School Systems....... .......................... ................. 47%. .............. ............. 44% LocalMedia ............ ...................... ... ........ ....... 34%...... ..................... . 24% Local Business Leadership . .... ..... ................. ............... 32%...................... ... . .. 26% LocalGovernment . . ... .. .. .................................. .... 23%........ .... ............ . ... 24% State Government.................. ............ . ............. .... 20%.......................... .. 19% Federal Government.... . ....................... ........... .... ... 18%.............. . ............. 16% National Business Leadership . ..... ............................. .... 18%............ ........ .. .... .. 15% Political Parties ....... . .... ...................... ........... . .... 15%.... ........ ................ 11% 'This question was not asked of poll respondents in 1990. Sources:Data for 1990,courtesy George H.Gallup International Organization;data for 1994,courtesy DYG,Inc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A-10 New Functions for collective action. Everyone has civic responsibilities. Government Leaders Everyone contributes in different ways. How can elected officials,managers,and program • Build confidence. Unfortunately, tearing down cih staff solve problems,promote citizen responsibilih,and hall has become an acceptable way for local officials regain people's confidence?Leaders must forgo the to pander to the citizens who distrust or feel disdain temptation to identifi•and analyze community problems for government. If those who have been elected or and then organize service programs.To promote a vital appointed focus on government as the problem, civic society',leaders must adopt some of the following government will lose its capacity to help solve roles: problems. If officials empower people and become • Educate,educate,educate.If citizens do not their partners,however,citizens will regain their confront the same"brave new world"as their local confidence in themselves and in government. government officials,people will continue to assume that government can solve all their problems and thus will go on being disappointed.Consequent- IV,leaders leaders must educate people regarding new Rediscovering Citizenship realities using many different opportunities, The future for local government lies in transforming including state-of-the-community addresses, passive consumers of public services into responsible newsletter articles, interviews,presentations to citizens. Because of the complexity of the problems civic groups,and remarks at city council or board facing communities,many people sullenly withdraw meetings. In the process,leaders must understand from the political process and from their civic that educating is also learning;it is a two-way responsibilities.They make unrealistic demands on local process.To engage in dialogue,not monologue, government, ignoring any need for common sacrifices; leaders must listen as well as talk.In the process or they seek out heroic rescuers like Ross Perot or Colin they revise their own perceptions of the brave Powell. new world. Local government can help people rediscover their • Create a new mission for local government.The lost sense of responsible citizenship. Citizenship is not core business of localities is solving problems,not limited merely to voting in periodic elections. Even delivering services. Providing services is a good role when individuals do not have a personal stake,active for local government,but it is only one aspect of a citizenship requires them to: total problem-solving approach that must engage Inform themselves on key issues confronting their citizens to be effective. communities. • Convene stakeholder groups in creative ways to • Participate in civic improvement groups. confront problems. Government leaders must avoid Struggle to find common ground with others, "rescuing"people. Rather than relieving people of as well as advocate their private interests. their civic responsibilities,government leaders need Become responsible for their local governments to stimulate public discourse about concerns and and their communities. to encourage brainstorming about alternative solutions.Creative strategies for engaging citizens Yes,local government faces a brave new world. Ultimately,cities and counties cannot govern and in such discussions include visioning workshops, design competitions,charrettes,and problem- cannot solve complex problems if people are merely solving"festivals." passive consumers- Local governments do have a vital • Stimulate discussion on values,aspirations,and future,however, if they can reconceptualize their role fears. Instead of discussing technical solutions, in engaging people as responsible citizens. r government officials must encourage people to articulate their values and to envision possibilities for the future. Frank Benest is city manager,Brea, California. • Identify what local government can contribute. In promoting problem solving with people,as opposed to delivering services,the local government agency : also must contribute resources.These contributions might include expertise,skills,facilities,training programs,seed grants,and coordination. Watch for case studies of citizen empowerment • Forge collective action.After helping to identify E_ at the local level in future issues of Public communih,concerns and stimulating public dialogue,government leaders must promote Management magazine. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Where Americans Place Their Confidence for Dealing with the Problems Facing Their Communities OTHER PEOPLE LIKE THEMSELVES AND THEIR FRIENDS* 052% RELIGIOUS INSTITUTIONS MIA 57% 40% VOLUNTARY GROUPS NONPROFITS 54% 37% SCHOOL SYSTEMS 47% ® 1990 44% M 1994 LOCAL MEDIA 34% Respondents ■ 24% stating "a great deal" or "quite LOCAL BUSINESS LEADERSHIP a lot." / 32% LOCAL GOVERNMENT 23% ' NATIONAL 24% CMC STATE GOVERNMENT L 20% "This question was not asked of poll 19% respondents in 1990.Data for 1990 FEDERAL GOVERNMENT courtesy George H. Gallup International W—Xll—I�ZXA 18% Institute;data for 1994 courtesy 16% Daniel Yankelovich Group. NATIONAL BUSINESS LEADERSHIP F�M�� 18% 15% POLITICAL PARTIES 15% NATIONAL CIVIC LEAGUE 1445 MARKET STREET,SLATE 300 11% DENVER,COLORADO 80202-1728 303.571.4343 i s•= s m van an 0 N • i W. � • � ,� 'Q0 a i • Q Off ; a,= 3 L fwd A. 0 a r w °�V *new = O M = = NOz_O Amy O NE rim = E0 so = ON20 • 9L � • `� �.� o •- t�oa •- 0 O d low 0 v O ;� � � � s m 0� _ ® y • a =_ � 0 0 �■� imEE 0_ 0 0 • 0 0 v _ N � = Oh Di&. O • •JE �' s V� ONE V V • N� • • �..� � _ • � O an IL a O A. O 0000 20 0 2*0 3E ® O - *men � . a � O 0 a CITY OF SAN BERNARDINO CITY ADMINISTRATOR'S OFFICE INTEROFFICE MEMORANDUM TO: Mayor and Common Council FROM: Fred Wilson, City Administrator SUBJECT: Goal-Setting Workshop at the San Bernardino Hilton DATE: November 28, 2000 COPIES: Rachel Clark; Gary Van Osdel; Jorge Carlos; Teri Rubi In preparation for our workshop this coming Friday, December 1, the following is some additional information of which you should be aware: • Attached is the report regarding the "Citizen Quick Poll 2000" that was recently conducted for the City by the Institute for Applied Research at CSUSB. This poll is a follow-up to the more extensive community survey conducted in 1998. An overview of the report will be given at Friday's workshop, along with the results of the facilitator's interviews with the Mayor, Council, and staff. • The day's activities will result in a finished product by the end of the working day. Therefore, it is expected that the meeting will not be concluded until 5:00 p.m. Morning refreshments, a working lunch, and afternoon refreshments will be provided for the Mayor and Council. • Casual dress is recommended for all workshop participants. I look forward to seeing you at the Hilton. If you need any additional information, please contact me. Freff Wilson City Administrator Citizen Quick Poll 2000 Presented to The City of San Bernardino Prepared by: 1 A= institute of Applied Research and Policy Analysis CALIFORNIA STATE UNIVERSITY, SAN 6ERNARBINO Presented November 27, 2000 Citizen Quick Poll 2000 INTRODUCTION The Institute of Applied Research(IAR) is pleased to present the results of the Citizen Quick Poll 2000. This study provides Mayor Judith Valles and the City Council of the Citv of San Bernardino with critical data to be used in their current and future planning efforts. Specifically, the survey was designed to gather information about the City of San Bernardino's citizen's views towards priorities of city services. METHODOLOGY Questionnaire The questionnaire items were constructed in the following manner: The Mayor's office contacted 1AR requesting a follow-up to IAR's 1998 Sari Bernardino Citizen's Survey. Based on input from the Mayor's office and questions asked on the previous surrey, a draft of the survey instrument was compiled and submitted to the Mayor's office for review. Revisions were made where warranted and final approval of the survey instrument was received. The sui-vev instrument was then pretested. A Spanish version of the questionnaire was also constructed. The questionnaire is attached as Appendix I. Sampling and Data Collection Telephone survey respondents kvere randomly selected from a comprehensive sample frame consisting of all telephone working blocks which contain residential telephone numbers in the City of San Bernardino. This is a standard random sampling approach for studies of this nature. In order to ensure accuracy of findings, 305 residents were surveyed from the City of San Bernardino for a 95 percent level of confidence and an accuracy of approximately plus/minus 5.6 percent. Telephone interviews were conducted by the Institute of Applied. Research at California State University, San Bernardino using computer assisted telephone interviewing (CATI) equipment and software. The surveys were conducted from November 10th to November 12t'', 2000, 11YSTITU"TEOFAPPLIED RESEARCH 1 Citizen Quick Poll 2000 SURVEY FINDINGS Following is a brief summary of some of the more important findings of the sun,,ey. The reader is encouraged to review in detail the full data display which is attached as Appendix I1. Citizen's General Attitudes Respondents were asked whether they agree or disagree with four general attitude questions. Overall, respondents expressed positive attitudes about living in Sari Bernardino, However, some problems with neighborhood upkeep and fear of crime(especially drug related crime) were apparent. Specifically: • 730ro of respondents stated that they enjoy living in San Bernardino. This is an increase from 1993 in which only 66% stated that they enjoy living in San Bernardino. • 46% of all respondents agree with the assertion that `problems that residents in my neighborhood care about have diminished in the last two years, "whereas 40% disagree. The response to this question in the 1998 survey was exactly the same:. Further, them was a clear relationship between responses to this statement and responses to the previous question about whether people enjoy living in San Bernardino. Of those who stated that they enjoy living in San Bernardino, 5 BIC) agree that problems have diminished in the last two years. Of those who stated that they do not enjoy living in San Bernardino, only 34% agree with that assertion. • Respondents were asked whether they agree or disagree with the statement that "tnyAar of crime has been reduced over the last 2 years. " Unfortunately,crime is still clearly a major issue to residents of the City of San Bernardino-- 54%of all respondents disagreed with that statement, Placing that figure in perspective, however, is the fact that in the 1998 survey, 1AR determined that 60% disagreed with the statement. Thus, perceptions of crime have improved slightly since the last survey. ASTITUTE OFAPPLIED RESEARCH 2 Citizen Quick Poll 2000 54% of all respondents agreed with the statement that their neighborhood receives adequate attention from the city, whereas 4 1%disagreed. This is only slightly "improved" from the response to the 1998 survey in which 5 1% agreed and 44% disagreed with that statement. Neighhorhood and City Needs Respondents were asked, "Considering the city as a whole, what is the one biggest need you feel your City Council should do something about over the next two years?" The top five needs cited were: 0 Attract business/industry to provide higher paying jobs (13,4%) * Neighborhood upkeep and destruction of old buildings (12,8%) * Reduce crime and gun violence(11.8%) 0 Improveupkeep of the city as a whole (11.8%) * Repair streets and keep them clean (10.8%) The need for higher paying jobs and better city upkeep seem to be the main issues on the list, however when response categories are combined,crime prevention rises to the top of the list, Specifically, when the responses of"gang prevention"(6.2%), "drug intervention" (3M,'O'), and "improvement of police services"(3.3%)are added to the 11.8% of the respondents who mentioned "reduction of crime and gun violence,"clearly c�rime prevention mast be seen as one of the most important (if not the most important) issues for the City Council to address. When asked, "What is the one biggest need in your own neighborhood that you feet, your City Council should do something about over the next 2 years?" the top responses Aere� • Neighborhood upkeep and property maintenance (21.0%) • Street maintenance and street lights (14.8%) NSTITUTE OFAPPLIED RESEARCH 3 Citizen Quick Poll 2000 Gang reduction/intervention (6.6%), drug dealing,/use(7.2111/6'), and improvement of police services and response times(7.5%)were also issues cited quite often. These issues appeared to be especially salient for those who indicated that they do not enjoy living in San Bernardino. As a final question, respondents were asked to offer any other continents to the City Council. The most often mentioned suggestions/comments offered were: • Need more police and crime control (10.7%) • Need more neighborhood upkeep (4.11110)+road repair (3.3%) • Need more jobs, there is a lack of employment(4.1%) CONCLUSION This survey was conducted to provide City leaders with follow up data to be used in comparison with data collected in 1998 to determine how citizen's views have changed over the last two years. We encourage the leadership of the City to contact us if they have any questions about the findings or would like crosstabulations of survey results (perhaps by length of residency,voter registration status, zip code, age, gender, or language in which the 'interview was conducted). We further encourage the City leadership to view other important documents, such as the Inland Empire Aruival Survey, to place in context the findings of this survey and to provide other important data in their decision making process, INSTITUTE OF APPLIED RESEARC".H 4 Citizen Quick Poll 2000 APPENDIX I QUESTIONNAIRE Citizen Quick Poll 2000 Hi,my name is_ ,and I work for the Institute of Applied Research at Cal State University, San Bernardino. May I speak to the male or female head of the household? (IF NOT AVAILABLE, ASK FOR THE BEST DAY AND TIME TO CALL BACK,0[D RECORD ABOVE] We've been asked by the Mayor and City Council of San Bernardino to conduct a short surrey to help set priorities for city services. It will take less than 5 minutes. First,do you live in the City of San Bernardino? [INTERVIEWER: IF THEY SAY THEY DON'T LIFE IN S.B.,TELL THEM "THANK YOU --I APPRECIATE YOUR WILLINGNESS TO RESPOND,BUT THIS SURVEY IS ONLY FOR SAN BERNARDINO RESIDENTS") 1. Indicate whether you AGREE or DISAGREE with the following statement: I enjoy living in San Bernardino. i, Agree 2. Disagree 3. No opinion 4. REFUSED 2. Indicate whether you AGREE or DISAGREE with the following statement: Problems that residents in my neighborhood care about have been diminished in the last 2 years. 1. Agree 2. Disagree 3. No opinion 4. REFUSED 3. Indicate whether you AGREE or DISAGREE with the following statement: My fear of crime has been reduced over the last 2 years. 1. Agree 2. Disagree 3. No opinion 4. REFUSED 4. Indicate whether you AGREE or DISAGREE With the following statement: My neighborhood receives adequate attention from the city. 1. Agree 2. Disagree 3. No opinion 4. REFUSED Citizen Quick Poll 2000 Conducted by The Institute of Applied Research 1 5. Consideriug the City AS A WHOLE, what is the one biggest need you feel your City Council should do something about over the next 2 years? I. Attract businesslindustry to provide higher paying jobs 2. Reduce crime and gun violence 3. Neighborhood upkeep and destruction of old buildings 4. More youth programs 5. Improve upkeep of the city as a whole 6. Gang prevention and intervention 7. Drug intervention and enforcement 8. Repair streets and keep them clean 9. Improve schools and make them safe 10. Improve police services 11. OTHER 12. DON'T KNOW 13, REFUSED 6. What is the one biggest need in your own NEIGHBORHOOD that you feel your City Council should do something about over the next 2 years? 1. New business 2. Neighborhood upkeep and property maintenance 3. Urban blight and abandoned houses 4. Community recreation/leaming centers for children 5. More parks and better upkeep 6. Gang reduction and intervention 7. Drug dealing and drug use 8. Street maintenance and street lights 9. Increase and improve police services and response times 10. Deep city clean and new 11. OTHER(Specify) 12. DON'T KNOW 13. REFUSED Now I just have a couple of questions about yourself and then we're done.... Dl. How long have you lived in San Bernardino? Years [INTERVIEWER: PLEASE ROUND UP] D2. Are you currently a registered voter9'Yes —No D3. What is your zip code: 92_ D4: What was your age at your last birthday? FINAL: Do you have any other continents to offer to the City Council? Well that's it..,-Thanks very much for your help. Citizen.Quick Poll 2000 Conducted by The Institute of Applied Research 2 APPENDIX II DATA DISPLAY Citizens Quick Pall 2000 QUESTION 1: 1 enjoy living In San Bernardino Count Col % Agree 224 I 73.47. Disagree 74 24.3% NO OPINION 6 2.0% REFUSED 1 3% Total#of Respondents-- --X5 1 1 100.0% QUESTION 2: Problems that residents in my neighborhood care about have diminished In the last 2 years. Count Cot.o Agree 141 46.2% Disagree 121 39.7% NO OPINION 43 14,1% Total#of Respondents 30 °e QUESTION 3:My fear of crime has been reduced over the lest 2 years Count Col % Agree 124 40.70% Disagree 165 54.1% NO OPINION 15 4.9% REFUSED 1 .3% Total 4 of Respondents 1 p QUESTION 4: My neighborhood receives adequate attention from the city Count Col% Agree 166 54.4% Disagree 125 41.0% NO OPINION 13 4.3% REFUSED 1 .3% Total#o-Mespondents 305 1 100.0% Citizen Quick Poi(2000 ---- Conducted ny the INSTITUTE OF APPLIED PESEARCH Page 1 QUESTION 5: Considering the CITY AS A WHOLE,what Is the one biggest need you feel your City Council should do something about over the next 2 years? Count Col% Attract businessnn ustry to provide higher paying jobs 41 13.40/,, Reduce crime and gun violence 36 11.8% Neighborhood upkeep and destruction of old buildings 39 12.8% More youth programs 15 4.9% Improve upkeep of the city as a whole 36 11.8% Gang prevenilon and intervention 19 6.2119 Drug intarvention and entomement 12 3.9% Repair streets and keep them clean 33 10.8% Improve schools and make them safe 18 5.9% Improve police services 10 3.3% OTHER 30 9.80/0 DON'T KNOW 14 4.6% REFUSED 2 .7% Total#of Res onderts 305 10Q.0% QUESTION 5 :Considering the CITY AS A WHOLE,what Is the one biggest need you feel your City Council should do something about over the next 2 years(OTHER)? Ct�u nt Slow down the spoiWlimd where ki s are present 1 The politicians are bad 1 Improve the quality of life(better schools,horses,&parks) 1 Lower taxes 4 Put stop signs and lights need to be added 2 Improve child care 1 Improve child care 1 Wellbeing of kids 2 Decrease hornless 2 Go to the old charter f Too many welfare recepients 1 New city council 1 Emphasize the history of the area 1 Improve Image 1 Corruption in San Bernardino I Develop areas of the city 1 Total tt of Respondents Citizen Quick Poll 2000 — Conducted by th©INSTITUTE OF APPLIED RESEARCH Page 2 i i QUESTION 0 : Now,what Is the one biggest need In your own NEIGHBORHOOD that you feel your City Council should do something about over the next 2 years? Count Col % New business 15 4.9% Neighborhood upkeep and property maintenance 64 21.0% Urban blight and abandoned houses 25 , $2% Community recreation/learning centers for children 21 6.9% More parks and better upkeep 9 3.0% Gang reduction and intervention 20 6.6% Drug dealing and drug use 22 7.2% Street maintenance and street lights 45 14.8% Increasc and improve police services and response times 23 7.5% Keep cr,y clean and new 27 81% OTHER 12 3.9°i; DON'T lC{lOW is 5.9% REFUSED 4 1.3% Total u of Res ondents 305 1 Qom,6 QUESTION 8! Now,what is the one biggest need In your own NEIGHBORHOOD that you feel your City Council should do something about Over the next 2 years(OTHER)? Count Improve parking 1 Crime 5 Get rid of neighborhood association I More senior privileges I Better transportaiton t Total #of Res ondents QUESTION D1 :How long have you lived in San Bernardino? Count Col % 1 year or less 26 8.5% 2 to 5 years 64 21.0% 6 to 10 years 45 14.$1yc 11 or more years 170 55.7% Total# of Respondents 305 100.0% QUESTION 02 :Are you currently a registered voter? Count COI% Yes 218 No 87 28.5% Total#of Respondents- 205 100.0% Citizen Quick Poll 2000 Conducted by the INSTITUTE OF APPLIED RESEARCH Page 3 QUESTION D3:What Is your zip code? Count Col % 92358 1 .3% 92401 5 1.69E 92402 1 .3% 92403 1 .3% 92404 84 27.5% 92405 50 16.4% 92407 66 28.2% 92408 7 2.3% 92410 44 14.4% 92411 26 8.5% Total sl of P" ondents 1 305 1 1 og.0% QUESTION D4:What wag your Age at your last birthday? Count Col% 18-25 years 30 10.00 26-35 years 74 24.7% 36-45 years 69 23.1% 46-55 years 56 18.7% 56-65 years 37 12.4% 66 or more years 33 11.0% Totes 4 of Respondents 29 100.0% Gander of respondent: Count Col% Male 101 33.1% Female 202 66.2% Couldn't Tell 2 7% Total# of Respondents 3 0.0% In what language was the Interview conducted? Count Col % English 252 82.6% Spanish 53 17.4°x(, Total#of Respondents 30 1 Citizen Quick Poll 2000 Conducted by the INSTITUTE OF APPLIED RESEARCH Page 4 Do you have any other;Comments to offer to the City Council? Col Response Nothing Cases %37 30.6% Need more police/crime control 13 I 10.6% Neighborhood upkeep More lobs, lack of employment 5 4.1% City improvements 5 4.1% Road repair 4 3,3% No contact with the Mayor, what she is doing is not visible 4 3.3% Listen to citizens more 3 2.5% Mayor is doing a good job 3 2.5% City Council mtgs should be publVzod so anyone Can attend 3 2.6% Youth programs to keep them occupied 3 2.5% Don't like lakes and streams 2 17% Better/more street lights 2 1.7% Do something about the drug dealers 2 1.7% More parks 2 17% Lower taxes 2 1.7% Introduce more businesses 2 1.7% Prevent graffitit 2 1 17% Get ride of the blight and boarded up houses 2 17% 1 am pleased with the City Council 2 17% Increase police and Fre department response time 2 1.7% Problems :n the city have not been addressed 2 1.7% Give mere opportunites to new residents 1 8% More day rare programs 1 ,6% Safety officers in schools 1 .8% Stop letting the good things get away(Campus Crusades) 1 8% Why do we keep getting the low Iffe from L.A here9 1 8% It ojou.d be nice it the economy was getting better 1 .8% We need traffic lights to help pedestrians 1 8% The increase of telephones has helped but we need more 1 .8% Stop police brutality and police harassment 1 8% Concentrate on the cfty 1 890 Change the politicians 1 8% Don't like public school,should be run like private schools 1 .8% Parents 3 teachers need to got involved In the children's ad 1 % Too many ex-convicts in the county 1 8% What happend to the take? 1 3% City Council messed up on the Presidential Camp. (voting) 1 8% Advertise jobs better 1 8% I hope they can move on after Measure M 1 .8% Should do a better job managing the money 1 8°a Better schooling 1 .8% More tutors 1 Need schools for problem children 1 8°�0 Keep trash off the freeway 1 6% Plant more trees 1 ° 0 Citizen Quick Poll 2000 — ---- Conducted by the INSTITUTE OF APPLIED RESEARCH Page 5 Do you have any other comments to offer to the City Council? Col Response a � Hope they will abide by the will of the peop on Measure M Cases t , 8% Better jobs In the area 1 8% They need to re-do Measure M 1 .8% Pleased with the train depot restoration 1 8% Pleased with the lakes and streams 1 8% Need more sidewalks 1 8% Make it easier for new businesses 1 8% Do not like the city of San Bernardino 1 8% Traffic is too fast 1 _8% Improve shopping centers 1 8% Image of the city is poor,need to Improve it 1 .8% Clear,up the Community College,it needs to be inviting 1 18% The community needs to work with both colleges and univ 1 .8% Get rid of# 186,break police 6 fire into 2 separate sect 1 8% There needs to be a time limit on mayors 1 8yo I wish that Measure M went through 1 8% Increase wages in San Bernardino 1 .8% Pick up the stray dogs 1 .8% More help for churches 1 8% Total #of Cases 121 124 OYAJ Citizen Quick Poll 2000 — Conducted by the INSTITUTE OF APPLIED RESEARCH Page 6 t CITY OF SAN BERNARDINO MAYOR/COUNCIUCITY ADMINISTRATOR GOAL SETTING WORKSHOP DECEMBER 1, 2000 MAYOR/COUNCIL TEN YEAR VISION (2010) A. A destination B. A strong and diversified economic base and high employment C. A clean, attractive city with a positive image D. A good range of attractive housing E. A good and well maintained infrastructure F. A wide range of recreation, entertainment, fine arts and cultural resources for youth and adults which includes embracing and celebrating cultural diversity G. An active and vital downtown (includes Government Center) H. High quality educational resources I. Good public safety services 1 CITY OF SAN BERNARDINO MAYOR/COUNCIL/ADMINISTRATOR GOAL SETTING WORKSHOP DECEMBER 1, 2000 MAYOR/COUNCIL PRIORITIES FOR 2001-2002 ,,' A Maintain financial stability B Improve the perception/image/appearance of a safe and desirable San Bernardino Increase the demand /C. Provide adequate staffing levels to meet service demands (non-safety) %D. Create a signature development for the city (Lakes and Streams—Norton) )E. Develop more effective blight abatement 1117. Increase efforts to become more streamlined,less bureaucratic G. Create more partnerships toward achieving community goals H. Enhance the relationship between City Hall and the community toward the development of consensus vision and goals for San Bernardino I. Continue to strengthen community pride and build community participation J. Build better relationships with educational system toward providing a viable workforce K. Develop ways to honor and celebrate the community's cultural diversity 2 ACTION PLANNING PRIORITES FOR 2001-2002 PRIORITY#1—MAINTAIN FINANCIAL STABILITY (Gary, Betty, Fred, Wendy) 1. Issues a. Without financial stability we have no power to address the other priorities b. Maximize revenue sources C. Create new revenue streams d. Maintain adequate budget reserves e. Budget overly reliant on sales tax f. ERAF shift,sales tax dependency g. High utility tax discourages certain types of industries h. Need a fiscal balance with all revenue sources i. Heavy vacancy factor has caused major depreciation:property values have dropped j. Fiscal stability needs to be balanced with priorities k. Loss of local control over the dollar 1. Absentee landlords—heavy public assisted citizens make buying power weak which lowers property tax values 2. Objectives a. Develop a long-term financial plan b. Create a more skilled workforce to fill higher paying jobs C. Keep City Officials heavily involved in developing strategies to convince State legislators to return or balance the local revenues and to address unfunded mandates d. Streamline Purchasing Dept.process to be sure the City gets the"best bang for its bucks" e. Immediate commercial/industrial growth,hence property sales,workforce growth, homebuyers,retail buying power increases 3. Options a. Find new revenue sources b. Identify and pursue grant opportunities C. Identify duplicate spending and consolidate d. Reduce excessive spending through careful bidding/planning process e. Explore why it costs the city three times to do business with outside consultants f Consider rebuilding of State Court House to bring more,higher paying jobs which enhance downtown government center. 4. Next steps {yi tl Y�' ,z.�w�,�r7n a✓t a. City Administrator will work with EDA to4ind solutions 4 in egA,S b. City Administrator and EDA A OA C(Orn rn•, 13v.". A 55 nl U.l a�S C. When is the next specific milestone? ="tcj /1 --p"' d. When will this group receive the next report? _ J_4,� 2 o.6 I 3 ACTION PLANNING PRIORITIES FOR 2001-2002 PRIORITY#2—IMPROVE THE PERCEPTIONAMAGE/APPEARANCE/OF A SAFE AND DESIRABLE SAN BERNARDINO AND INCREASE THE DEMAND (Gordon, Frank, Susan) 1. Issues a. Low quality of life, i.e.,housing,blight,low paying jobs ing'aiffracas—a rmde3l-ta-Weleme� 2. Objectives a. Make the City more desirable b. High quality of life,low crime C. Economic prosperity d. Eliminate blight areas by enhancing economic development 3. Options a. Create incentives for home ownership b. Owner occupancy housing C. Create business enhancement zone in blighted corridors d. Offer incentives like business license fee waivers e. Reduce trash and water fees f. Reduce development impact fees 4. Next steps a. Create a community enhancement team of a Council Member and key individuals from each department. b. By whom? C. When is the next specific milestone? d. When will this group receive the next report? 5 r ACTION PLANNING PRIORITIES FOR 2001-2002 PRIORITY#3—PROVIDE ADEQUATE STAFFING LEVELS TO MEET SERVICE DEMANDS (Joe, Esther,Judith) 1. Issues a. Salaries are not competitive b. Need to provide adequate housing,schools to attract employees C. Need to update image d. Plan, identify and prioritize the staffing needs e. Set aside the financial resources f We do not have adequate staffing in critical departments g. There is a morale problem and a feeling of not being valued 2. Objectives a. Prioritize staffing needs b. Commit the financial resources C. Give preference to long-term part-timers v w d. Staff development e. Streamline the hiring process 3. Options a. Contracting—outsourcing b. Strengthen ties with our University resources C. Strengthen our partnerships with private corporations d. Strengthen relations with Federal and State legislators and be more aggressive for funds, grants,etc. 4. Next steps a. Have department heads identify staffing needs1�3/U 1 b. Cost out the implementation of the classification study(Personnel and Finance Departments) C. (Next specific milestone?) d. (When will this group receive the next report?) Cr/ d. 4 City o f Sa n Bernardino Police Department A Goal Setting Workshop December 1 , 2000 City Council Meeting City of San Bernardino San Bernardino Police Department Goal Setting Workshop December 1, 2000 City Council Meeting I-N-D-E-X Tab 1 - Presentation for December 1, 2000 Tab 2 - Ways and Means Committee • Minutes of October 18, 2000 • Minutes of July 26, 2000 • Proposal for Additional Police Staffing,July 19, 2000 Tab 3 - Police Grant Expenditure Planning Document, October 9, 2000 Tab 4 - COPS Revised Retention Plan, February 17, 1999 San Bernardino Police Department 3-Year Forecast of Police Grants As of November 28, 2000 GRANT TITLE FY 00/01 FY 01/02 FY 02/03 Required Retention COPS DNG Grant - DNG grant (8 ofc) $310,825 (4 ofc) $ 665,495 (8 ofc) 8 officers (Improbable) (Improbable) COPS UHG Grant - State COPS Option $285,348* (4 ofc) $ 310,525 (4 ofc) 4 officers grant (3 ofc) (Very Probable) (Probable) COPS More 98 - 6 COPS More (6 clk) $ 88,338 (3 clks) $ 184,775 (6 clks) Clerks (Probable) (Improbable) Subtotals $0 $684,511 $1,160,795 Optional Retention FY 99/00 LLEBG - 3 LLEBG grant $118,435* $122,581 Dispatchers (Very Probable) (Unknown) FY 00/01 LLEBG - MIS LLEBG grant $257,322* $266,328 employees, Property (Very Probable) (Unknown) Supervisor Night Light— 1 Sgt, 4 Night Light grant $385,679* $411,175 Officers (Very Probable) (Unknown) JAIBG- 1 officers JAIBG grant $ 71,992* $ 77,928 (Very Probable) (Unknown) SHO — 1 SHO Analyst, SHO grant SHO grant SHO grant 1 TCIII Subtotals $0 $833,428* $878,012 GRAND TOTALS $0 $1,517,939 $2,038,807 Worst Case Scenarios: $0 $1,517,939 $2,038,807 Best Case Scenarios: $0 $399,163 $1,160,795 * It is very probable that four grant funding sources (COPS Options, LLEBG, Night Light and JAIBG) will be renewed in FY 2000101, reducing the City's funding requirements from the General Fund by$1,118,776 to $399,163. POLICE DEPARTMENT BUDGET PLANNING RECOMMENDATIONS ♦ Consider "contingency" funding for worst case (improbable) scenario. ♦ Hold in abeyance funding for specific programs or positions. ♦ Revisit, as timely, police department "reorganization model" and corresponding budget implications. ♦ Revisit July 26, 2000, Ways and Means discussion relative to second DNG team. ♦ Decide on direction. . . E \ S c } § \ \ ; \ 0 _ � Fn �� ; \ i m E ƒ �2 > , . k k� k 5 $ <cc - 03 /m \ ' _ ® E \ E _/ a a) LA § / < o 0 ° f \ ƒ . & AR E _ a \ I } ^ F-E 3 / s ƒ $ t £ \ \ \ / o a y� f ƒ , . m \ m f ƒ k \ . # ¢ a 7 ] # LL \ f h § $ . . Q. k 2 }ƒ 3 d 0 e co . f ; cc I co� - i \ C T� � _ & $ [ i « � §ƒ z E 0 0 L . i \ � cc o � < a 2 E m \ q § _ / y \ ] » # \ z } � MINUTES WAYS AND MEANS COMMITTEE October 18, 2000 ATTENDEES: Councilman Frank E. Schnetz - Chairman Councilwoman Wendy J. McCammack Fred Wilson - City Administrator Huston Carlyle - Sr. Assistant City Attorney Barbara Pachon - Director of Finance Teri Rubi - Mayor's Chief of Staff Jorge Carlos - Council Executive Assistant Rita West - Budget Officer Capt. Robert Curtis - Police Dept. t Teri Baker - Administrative Analyst Miguel F. Zepeda - Coca-Cola District Manager Joseph Melot - Coca-Cola Channel Manager Joanna Frazier - The Press-Enterprise Stephen Wall - The Sun 1. FY-2000/2001 FIRST QUARTER BUDGET REPORT - Barbara Pachon, Director of Finance, presented to the Committee the FY 2000/2001 First Quarter Report. The Committee recommended that the report be referred to the full Council with the recommendation to receive and file. 2. FY 1999/2000 YEAR END REPORT - Barbara Pachon, Director of Finance, referred this report to the full Council with the recommendation to receive and file. 3. PUBLIC PRIVATE PARTNERSHIP WITH COCA-COLA BOTTLING COMPANY - The Committee discussed the proposed Coca-Cola Partnership Agreement with City staff and representatives of Coca-Cola. This item was continued. r Page -2- 4. POLICE GRANT EXPENDITURE PLANNING DOCUMENT - Captain Robert Curtis, S.B.P.D., provided a brief summary of previous committee meeting discussions regarding the utilization of an additional $1,000,000 for Police services. Captain Curtis also presented a Police Grant Expenditure Planning Document indicating required retention grants and optional retention grants. This subject will be further discussed at the Goal Setting Workshop scheduled for December. Meeting adjourned. COUNCILMAN FRANK E. SCHNETZ Chairman FES:jv MINUTES WAYS AND MEANS COMMITTEE July 26, 2000 ATTENDEES: Councilman Frank E. Schnetz - Chairman Councilwoman Wendy J. McCammack Fred Wilson - City Administrator Huston Carlyle - Sr. Assistant City Attorney Edward Raya - Director of Human Resources Jorge Carlos - Council Executive Assistant Teri Rubi - Mayor's Chief of Staff June Durr - Marketing/Public Affairs Officer Chief Lee Dean - Police Dept. Captain Bob Curtis - Police Dept. Lt. Jennifer Aragon - Police Dept. Councilwoman Esther R. Estrada Councilwoman Susan Lien Daniel Flores - Salute to the Route 66 Stephen Wall - The Sun 1. DISCUSS PROPOSAL FOR ADDITIONAL POLICE STAFFING - S.B.P.D. Chief Lee Dean, Captain Bob Curtis and Lt. Jennifer Aragon provided the Committee with a report of DNG Team effectiveness in reducing Part II crime, grant funding obligations and other potential DNG target areas. The Committee recommended that $710,705 from the reserve for FY 2000/2001 be earmarked to fund DNG Team 1 next year. This recommendation was referred to the full Council for approval. The Committee will continue its discussion to implement DNG Team 2. Page -2- 2. CIVIC AND PROMOTION FUNDING - Information only. 3. FUNDING FOR SALUTE TO THE ROUTE - Danny Flores presented the Committee with an overview of the Salute to the Route. The Committee recommended that the $10,000 from the Civic and Promotion Fund be allocated for Salute to the Route. The recommendation was referred to the full Council for approval. Meeting adjourned. ;,A4 COUNCILMAN FRANK E. SCHNETZ Chairman FES:jv City of San Bernardino San Bernardino Police Department j Interoffice Memorandum I To: Ways and Means Committee From: Lee Dean, Chief of Poli �eo&/`,A -, Subject: Proposal for Additional Police Staffing Date: July 19, 2000 Copies: Judith Valles, Mayor; Fred Wilson, City Administrator Introduction: The City of San Bernardino has realized almost a 50% reduction in Part I (serious felony) offenses over the past five years. The Police Department's crime briefings, annual and semi-annual reports reflect a continuing commitment here. Despite this decrease, violent crime and narcotics influenced crime rates remain unacceptable. Parolees are responsible for a significant portion of Part I, narcotics and other felony crimes. Crime and fear of crime remain a critical issue with the public and have a negative influence on the quality of life in our neighborhoods and the vitality of our business districts. While simply hiring more police officers seems straight forward, it's not. Existing grant commitments coupled with recruitment and training constraints call for a phased approach to adding police officers via the suggested dedicated funding ($1,000,000). Proposal: The Police Department is committed to a reduction in crime through problem recognition and problem solving. These efforts are focused on the "10 %'ers", the career criminals that make up 10% of the population who commit 70% of the crimes in a community. In this regard, the City of San Bernardino has more than its fair share of parolees released back into society by state prison. Research studies of parolees have consistently revealed that they experience a high recidivism rate. We THE SBPD IS COMMITTED TO PROVIDING: PROGRESSIVE QUALITY POLICE SERVICE; _ A SAFE ENVIRONMENT TO IMPROVE THE QUALITY OF LIFE; A REDUCTION IN CRIME THROUGH PROBLEM RECOGNITION AND PROBLEM SOLVING believe parolees are responsible for a significant portion of our violent crimes and narcotics influenced crimes. Through June 30" of this year the Police Department has arrested 300 parolees. We have recently appointed a full-time parolee coordinator (officer) to develop a viable parolee tracking system. Our proposal is to expand, even further, the synergy created through our successful DNG team concept. We will create two problem-solving teams each consisting of six officers and one sergeant. These teams will be deployed in targeted geographical areas selected on a number of evaluation factors, to include high crime rate, parolee concentration, high rate of poverty and low average family income. This would allow the department to deploy two problem-solving teams in neighborhoods needing comprehensive, focused inter-agency police, educational and social services. Programs and achievements will be reported on during our crime briefings for accountability. This approach allows us to take advantage of over two years of success with the DNG team approach and allow for this concept to continue to evolve as an effective problem solving and neighborhood improvement/empowerment tool. Additional synergy will be gained through collaboration with the Crime Analysis Unit, new Night Light/JAIBG juvenile accountability grants, new Serious Habitual Offender (SHO) grant and the parolee coordinator. Integration with County Probation, State Parole, City Schools and the new HELP (Homeless Enriched Living Program) leverage the probability for success. Phased Approach The program would be "ramped-up" over two fiscal years to coincide with new and expiring police grant commitments (i.e. DNG, Night Light and JAIBG). Our Revised Retention Plan requires that the City retain all eight DNG police officer positions upon the grant's sunset on July 1, 2001. This approach serves a two-fold purpose of managing the hiring process to maintain a high quality, professional workforce and conserve fiscal resources through dovetailing the program to the grant retention requirements. General Fund monies will be augmented by grant and asset forfeiture funds to the extent they remain viable to provide necessary support personnel and equipment. We believe that this multi-agency, cooperative approach has the greatest potential to impact the parolee problem and continue to yield significant reductions in Part I crimes and narcotics influenced crimes. Summary This recommendation creates an opportunity for the Mayor and Council to agree in concept with dedicating the aforementioned resources. It allows us to get things rolling this fiscal year with a minimal funding commitment, and provides flexibility to revisit the continuing viability of this plan during budget deliberations next fiscal year (FY `01/02). San Bernardino Police Department Personnel Services Cost Sheet FY 2000/01 and 2001102 FY 2000101 Personnel Services (4) Additional Police Officers - Step A (1) P-1 - January/June (6 months @ Step A) $ 30,840 (1) P-1 - March/June (4 months @ Step A) 20,560 W P-1 - May/June (2 months x 2 officers @ Step A) 20,560 Total - FY 2000/01 $ 713960 FY 2001/02 Personnel Services (2) Additional Police Sergeants — Step E $ 1903690 (4) Police Officers (from FY 2000/01) (1) P-1) (6 mos. @ Step B, 6 mos. @ Step C) 683970 (1) P-1 (2 mos. @ Step A, 6 mos. @ Step B, 4 mos. @ Step C) 67,735 (3) P-1 (4 mos. @ Step A, 6 mos. @ Step B, 2 mos. @ Step C) 130, 500 Total $ 2673205 (8) DNG Police Officers @ various steps 615,705 Total FY 2001/02 $13073,600 City of San Bernardino San Bernardino Police Department. Interoffice Memorandum To: Fred Wilson, City Administrator From: Lee Dean, Chief of Police Subject: Police Grant Expenditure Planning Document Date: October 9, 2000 Copies Captain Robert Curtis My staff has prepared the attached Police Grant Expenditure Planning Document for all police grants that provide funding for City employees. The plan is consistent with the discussion and direction from the Ways and Means Committee meeting on July 26, 2000. It includes a matrix of police grants with expiration dates and a breakdown by fiscal year of potential impact to the General Fund and potential funding sources. The plan includes: • The number and classifications of grant funded City employees. • Grant funding sources. • Grant expiration dates. • Retention requirements. Projected personnel costs for grant funded positions in subsequent fiscal years. • Impact from loss of programs. An analysis of potential funding sources and recommendations. We have endeavored to create a comprehensive, flexible plan designed to meet all retention requirements, continue vital services uninterrupted and mitigate the impact on the General Fund. I hesitate to earmark all discretionary grant funds to cover personnel costs due to the uncertainty of future state and federal appropriations. At the present time discretionary grant funding is limited to two recurring sources, state COPS Option and federal Local Law Enforcement Block (LLEBG) grants. These two grants have been the primary funding sources for most of our automation enhancements (CAD/RMS, MDC's, digital cameras, computer hardware, etc.), equipment and other major expenditures (standardized handguns, COP renovations, etc.), mandatory grant matches and extraordinary overtime. A logical, pragmatic approach to earmarking future discretionary grant funding is to limit personnel costs to no more than 50% of the grant totals. This would allow for a balance between retaining essential grant funded positions and acquiring new technology. THE SBPD IS COMMITTED TO PROVIDING: PROGRESSIVE QUALITY POLICE SERVICE; A SAFE ENVIRONMENT TO IMPROVE THE QUALITY OF LIFE; A REDUCTION IN CRIME THROUGH PROBLEM RECOGNITION AND PROBLEM SOLVING SAN BERNARDINO POLICE DEPARTMENT Grant Expenditure Planning Document As of 10/9/2000 Current Police Grants Grant Title Expiration Date Positions Annual Costs COPS Distressed 4/30/2001 (8) Police Officers $ 665,495 Neighborhoods FY 98/99 Block 9/30/2001 (3) Dispatcher I's $ 114,431 Grant FY 00/01 Block 9/30/2002 (1) ID Tech III $ 46,212 Grant (3) MIS Programmers $ 154,708 (1) MIS Operator $ 47,700 $ 248,620 County Night Light 6/30/2001** (1) Police Sergeant $ 95,984 (4) Police Officers $ 258,696 $ 354,680 JAIBG Grant 3/31/2001** (1) Police Officer $ 64,675 FY 00/01 COPS 9/15/2001 (3) Police Officers $ 199,107 Option COPS More '98 8/31/2002* (3) Police Records Clerks $ 87,418 (3) Typist Clerk 11 $ 80,138 $ 167,556 Serious Habitual 6/30/2003*** (1) SHO Analyst $ 48,485 Offender (SHO) (1) Typist Clerk III $ 31,436 $ 79,921 TOTAL $1,894,485 * Year 2 funding. Year 3 funding may be available based on performance and continued appropriations. ** One year grants. We may re-apply each subsequent year if appropriations are renewed. *** Year 1 funding. Year 2 and 3 funding may be available, based on performance and continued appropriations. Fiscal Year 2001102 COPS Distressed Neighborhoods Grant Positions: Eight (8) police officers (P-1) Funding source: Federal COPS Distressed Neighborhoods Grant Ending Date: 4/30/2001 Retention requirements: All eight positions must be retained for a minimum of one full fiscal year after the conclusion of the grant. Our Revised Retention Plan (pages 4-5) phases in retention over two fiscal years. Annual Personnel Costs: $515,000 (8 officers)— FY 00/01 $310,825 (4 officers @ A/B step)— FY 01/02 $665,495 (8 officers @ various steps) — FY 02/03 Potential Grant Refunding: The COPS Office has repeatedly indicated that COPS Grant funding is available only for new programs. There are no appropriations to continue these grants after the three-year initial grant period expires. Impact of Program Loss: The DNG team would be disbanded and the officers would return to patrol activities. The DNG team concept of targeting high crime rate neighborhoods for intensive enforcement and community revitalization would be diminished or impossible. Future Funding Sources: General Fund — Ways & Means recommendation pending. FY 1999/00 Local Law Enforcement Block Grant (LLEBG) Positions: Three (3) Dispatcher I's Funding source: Local Law Enforcement Block Grant (federal) Ending Date: 9/30/2001 Retention requirements: None. Annual Personnel Costs: $114,431 — FY 00/01 $118,435 — FY 01/02 $122,581 — FY 02/03 Potential Grant Refunding: The availability of LLEBG funding is subject to continuing appropriations. Impact of Program Loss: The loss of three of our 25 dispatchers would severely impact the Communications Center's ability to receive, process and dispatch emergency calls for service and hamper voice/voiceless communications with field units. Future Funding Sources: 1. FY 2001/02 LLEBG funds 2. General Fund FY 2000/01 Local Law Enforcement Block Grant (LLEBG) Positions: Three (3) MIS programmers, One (1) MIS operator, One (1) Identification Technician III (Property Room supervisor) Funding source: Federal BJA Local Law Enforcement Block Grant Ending Date: 9/30/01 Retention requirements: None. Annual Personnel Costs: $206,322 — FY 00/01 (Due to delayed hiring) $257,322 — FY 01/02 $266,328 — FY 02/03 Potential Grant Refunding: The department may re-apply for LLEBG funding subject to continuing appropriations. Impact of Program Loss: The loss of 80% of the MIS Public Safety staffing would reduce staffing to a single employee shared by both Police and Fire. This loss is unacceptable due to both departments' reliance on automated systems. The loss of the ID Tech III supervisor of the Property Room would require the existing Identification Bureau supervisor to supervise both units. This would negate the primary recommendation of the Property Room Audit. Future Funding Sources: 1. FY 2001/02 LLEBG grant 2. General Fund County Probation "Night Light" Grant Positions: Four (4) police officers and one (1) sergeant Funding source: Federal Bureau of Justice Assistance Ending Date: 6/30/2001 Retention requirements: None Annual Personnel Costs: $354,680 — FY 00/01 $385,679 — FY 01/02 $411,175 — FY 02/03 Potential Grant Refunding: Annual re-application if appropriations are renewed. Impact of Program Loss: Four of the five juvenile probation officer/police officer IMPACT teams would be disbanded. These teams target at-risk youth, employing accountability sanctions, counseling and referral services for juveniles on probation. Future Funding Sources: 1. Bureau of Justice Assistance 2. State COPS Comprehensive Justice funds 3. General Fund Juvenile Accountability Incentive (JAIBG) Grant Positions: One (1) police officer Funding source: State Office of Criminal Justice Planning (OCJP) Ending Date: 6/30/2001. Retention requirements: None. Annual Personnel Costs: $67,909 — FY 00/01 $71,992 — FY 01/02 $77,928 — FY 02/03 Potential Grant Refunding: Annual funding for JAIBG grant is subject to Congress appropriating funds for the Edward Byrne Memorial Grant. The department may reapply to continue using grant funds to support the Night Light concept. Impact of Program Loss: Same as County Night Light. Future Funding Sources: 1. Annual JAIBG grant 2. State COPS Comprehensive Justice Funds 3. General Fund FY 2000/01 COPS Option Grant Positions: Three (3) police officers (P-1) Funding source: State COPS Option Grant Ending Date: 9/15/2001 Retention requirements: The three P-1 positions are three of the four expired COPS Universal Hiring Grant officers contained in our Revised Retention Plan (pages 4-5). The fourth P-1 position will be funded in FY 02/03. Annual Personnel Costs: $199,107 (3 officers) — FY 00/01 $285,348 (4 officers) — FY 01/02 $310,825 (4 officers) — FY 02/03 Potential Grant Refunding: The availability of COPS option funding is subject to annual re-appropriations. Future Funding Sources: 1. FY 2001/02 COPS Option Grant 2. General Fund Fiscal Year 2002103 COPS More '98 Grant Positions: Three (3) Police Records Clerks (PRCI), Three (3) Typist Clerk II (TCII) Funding source: Federal COPS More '98 Ending Date: Third year funding, if renewed, will be exhausted on 8/31/2002. Retention requirements: All six positions must be retained for a minimum of one full fiscal year after the conclusion of the grant. Our Revised Retention Plan (pages 4-5) phases in retention over two fiscal years. Annual Personnel Costs: $167,556 (6 clerks) — FY 00/01 $88,338 (3 clerks) — FY 01/02 $184,775 (6 clerks) — FY 02/03 Potential Grant Refunding: The COPS Office has repeatedly indicated that COPS Grant funding is only for new programs. There are no appropriations to continue these grants after the three-year initial grant period expires. Impact of Program Loss: The loss of six clerical personnel within the Records and Detective Bureaus will severely hamper the department's ability to timely process and disseminate crime and arrest reports with statutory requirements. Further impact will occur in the department's ability to identify and respond to crime trends/patterns and efficiently and effectively deploy department resources. Future Funding Sources: 1. General Fund 2. COPS Option Fiscal Year 2003104 Serious Habitual Offender (SHO) Grant Positions: One (1) Crime Analyst, One (1) Typist Clerk III Funding source: State Office of Criminal Justice Planning (OCJP) Ending Date: 6/30/2003. This is a one-year grant that is renewable for two additional one-year periods subject to continuing appropriations and performance. Retention requirements: None. Annual Personnel Costs: $59,941 — FY 00/01 (9 mos. — due to delayed hiring) $78,491 — FY 01/02 $81,661 — FY 02/03 Potential Grant Refunding: None on conclusion of three-year grant cycle. Impact of Program Loss: The SHO grant is part of the triad of programs focused on addressing crimes committed by juveniles. SHO complements the Graffiti Task Force and Night Light/JAIBG grants in holding juveniles accountable for their crimes. Future Funding Sources: 1. General Fund 2. COPS Option City of San Bernardino San Bernardino Police Department Interoffice Memorandum To: Judith Valles, Mayor Fred Wilson, City Administrator From: Lee Dean, Chief of Police Subject: Expiration of Federal Grants Funding—Police Officer Positions Date: February 17, 1999 Copies: This report outlines what, in my opinion, is a persuasive hardship related to federal grant- funded police officer positions, which are due to expire during FY 1999/2000. Declaring such a hardship would mean that 22 currently vacant positions would not be filled. There is no easy answer in terms of balancing implications from this course of action. I_ If there is no reasonable likelihood that funding can be identified sufficient to pick up these 22 positions, we should deal with it forthwith. This would entail notice to the COPS Office at the Department of Justice in Washington, D.C. We should, however, first ask our consultant, Lynn Simon, to discreetly and confidentially assess the implications of declaring a hardship. My suggestion is that this be done under confidential cover, to either the Mayor or City Administrator. Mr. Simon should be carefully briefed beforehand. The argument that we could not have foreseen the unique events leading to the loss of our local public safety assessment won't fly with the eight most recently acquired federal grant positions for the Distressed Neighborhoods Program. Although this grant doesn't expire until FY 2000/2001, we must plan to pick up these positions in the General Fund. This also applies to the six clerical grant positions in Records, which expire in FY 2001/2002. Importantly, "defaulting" on our initial grant of 22 positions may put at issue sustained federal funding for other purposes. I do believe that we can make a hardship case for not picking up the funding for all, or part, of the 22 expiring grant positions. We are doing the job with what we have. The additional positions would clearly have a positive impact; on the other hand, reality may necessitate otherwise. One way or the other, we need to decide the matter as soon as possible, and then simply make it work. 1 THE SBPD IS COMMITTED TO PROVIDING; PROGRESSIVE QUALITY POLICE SERVICE; A SAFE ENVIRONMENT TO IMPROVE THE QUALITY OF LIFE; A REDUCTION IN CRIME THROUGH PROBLEM RECOGNITION AND PROBLEM SOLVING SAN BERNARDINO POLICE DEPARTMENT Revised Retention Plan BACKGROUND A series of unique, unforeseeable events triggered a hard-fought, but ultimately unsuccessful, bid to assure sustained local public safety funding. Measure "S" failed at the polls in March 1997. This vote by city residents was mandated by State Proposition 218, which no one could have contemplated at the time the City accepted a federal grant in 1996 for 22 police officers. The upshot was a devastating impact on the General Fund, which absorbed funding for the positions previously covered by the now defunct local special assessment known as Assessment District #994. Because of this, the City declined 20 additional positions, already approved for federal funding. CHRONOLOGY OF SIGNIFICANT EVENTS In 1990, Assessment District#994, a special tax district entitled the Street Lighting and Street Sweeping District, was approved by the Mayor and Common Council with a sunset date of July 1994. This provided funding for 23 police officer and 25 civilian positions. > In 1994, the police department received a three-year Police Supplemental Hiring Grant that added 17 police officer positions. This grant required a 50% local cash match. The local match was achieved by the expansion of Assessment District #994 with a new sunset date of July 1997, by the Mayor and Common Council to include traffic signal maintenance and graffiti removal. In 1994, the closure of Norton AFB, the city's largest employer, resulted in the loss of 10,000 jobs and corresponding city revenues. On June 6, 1996, the police department applied for a COPS Universal Hiring Grant requesting a total of 42 police officers over four years. The first two allotments totaling 22 officers were received in FY 1997/98. The local cash match requirement was reduced to 10% due to local fiscal hardship and was achieved by using Community Development Block Grant funds. In November 1996, California voters ratified State Proposition 218. Proposition 218 requires governmental entities to place special tax assessments on the ballot for ratification by a "super" majority (2/3) vote of the electorate. This impacted Assessment District #994 and mandated that the measure be placed before city residents for ratification. - 1 - On November 18, 1996, the mayor and common council ratified resolutions placing a special tax for police and fire protection, designated Measure "S", the Public Safety Tax Initiative, on the ballot and calling for a special election on March 18, 1997. The provisions of Measure "S" contained sufficient funding for the following: ♦ All Assessment District positions: 40 police officer and 25 civilian positions. ♦ 42 additional police officer positions phased in over four years. On March 18, 1997, Measure "S" was defeated causing the loss of $4.2 million in revenue generate annually by Assessment District#994. State and federal welfare reform has slowed the city's economic recovery by removing an estimated $36 million in benefit payments received by over 17,000 city residents ineligible for aid. The police department opted to decline the remaining 20 police officer positions previously approved in the COPS Universal Hiring Grant. In FY 1997/98, full funding for 23 police officer and 25 civilian positions originally funded in Assessment District #994 was absorbed into the city's General Fund budget at an estimated cost of$2.6 million annually. On May 5, 1998, the police department received a Distressed Neighborhoods Pilot Program Grant that provided 100% funding for eight police officer positions for three years. In FY 1998/99, full funding for the 17 Police Supplemental Hiring Grant positions was absorbed into the city's General Fund budget at an estimated cost of $1 million annually. In summary, an estimated $3.6 million in personnel costs associated with Assessment District #994 were absorbed into the city's General Fund budget over the last two years, placing the fiscal reality of filling 22 police officer vacancies at issue. OPTIONS AND IMPLICATIONS In January 1996, the police department was funded for 282 sworn positions. This included 240 General Fund, one position funded by IVDA, one position funded by DMV fees, and 40 positions funded by Assessment District #994. Since that time, all of the assessment district positions have been picked up by the general fund, with five positions being eliminated. The deleted positions are as follows: 2 Fiscal Year Position Assignment Funding Source Reason 1 1995/96 One P-3 ID Bureau General Fund Civilianization of position 1997/98 One P-2 DARE General Fund City School District and Two P-1's DARE General Fund police department ended the program as the outcome of a study measuring the effectiveness of the DARE Program. 1998/99 One P-5 Services General Fund Department reorganization This reduced our sworn table of organization to 277. Subsequently we added 22 sworn positions via the COPS Universal Hiring Grant and eight positions via the federal Distressed Neighborhoods Pilot Program Grant. This brings us to our current table of organization for sworn personnel of 307. The issue squarely in front of us is how the City will continue the 22 positions funded by the COPS Universal Hiring Grant. Funding for this grant will expire in April of the year 2000. The conditions of the grant require that the City fund those 22 positions for one more fiscal year. This requires continuous funding through June 30th of the year 2001. Our preliminary calculations are that it would require an additional $300,000 in fiscal year `99/00 to fund the positions for the duration of that fiscal year. The funding requirement for fiscal year 2000/2001 will be approximately $1,600,000. MAINTENANCE OF CRITICAL RESOURCES Over the past three years the City of San Bernardino has experienced a 19.5% reduction in Part I (serious) crimes. Our locally developed community oriented policing and problem-solving philosophy has contributed to this success. The four key elements of community policing in San Bernardino are higher standards, efficient structure, leadership development and problem-solving philosophy. To provide efficient and effective service to the community, we have adopted an area command model of organization. With this model, the area commanders are accountable for all police services within their respective areas. Each area has the resources, through coordinated effort, to meet the needs of the community. Each officer is empowered to make decisions and to solve problems. The idea is to enhance service and responsiveness, and reduce bureaucracy. The loss of 22 police officer positions funded by the COPS Universal Hiring Grant would negatively impact the efficient structure of the police department and our community oriented policing efforts and achievements. r 3 RETENTION PLANNING "Local fiscal and budgetary conditions cannot always be predicted. If circumstances arise, which could jeopardize the ability to retain, contact the COPS Office immediately for review of the retention plan and implementation efforts. The COPS Office will evaluate these situations on a case-by-case basis." COPS Fact Sheet, January '99. Although full retention of all grant officers would be optimum, the City in opting to absorb full funding for the defunct local assessment district, covering 40 sworn and 25 non- sworn positions, has clearly measured up to any good-faith test. This effort can fairly be seen to offset the mandated retention of federal grant positions. At the very least, a flexible number of renewable one-year "extensions" should be permitted to allow the City a reasonable rebound period. The City is willing to publish and make every effort to follow the below outlined multi- year retention plan. Among the factors which will influence full implementation of this plan are, sustaining our local utility tax, the return of State revenues to local municipalities, and the continuing viability of our Economic Development Agency. Our intent is to lay all our cards on the table now and work together toward a mutually acceptable solution. FISCAL IMPACT Starting in FY 1999/2000, the City will utilize a series of one-year extensions to retain some of the COPS Universal Hiring Grant positions (4), all of the Distressed Neighborhoods Grant positions (8) and all of the COPS More '98 positions (6). The Universal Hiring Grant positions will be retained over three years starting with FY 1999/2000. The Distressed Neighborhoods Grant positions and COPS More '98 positions will be retained over a two-year period starting with FY 2001/2002. All 18 positions will be added to the police department's Table of Organization by FY 2002/2003, in accordance with the following plan. Fiscal Year Positions Funded Personnel Costs FY 1999/2000 (1) UHG police officer (A/B step) $ 14,337 FY 2000/2001 (1) UHG police officer (B step) $ 73,460 (1) UHG police officer (A/B step) 71,578 Total $ 145,038 FY 2001/2002 (1) UHG police officer (C step) $ 80,312 (1) UHG police officers (B step) 76,397 (2) UHG police officers (A/B step) 148,876 4 (4) DNG police officers (A/B step) 297,752 (1) More '98 PRCI (A/B step) 28,635 (2) More '98 TCII (A/B step) 51 .826 Total $ 683,798 FY 2002/2003 (1) UHG police officer (D step) $ 87,618 (1) UHG police officer (C step) 83,528 (2) UHG police officers (B step) 158,912 (4) DNG police officers (B step) 317,824 (4) DNG police officers (A/B step) 309,668 (1) More '98 PRCI (B step) 29,921 (2) More '98 PRCI (A/B step) 58,414 (2) More '98 TCII (B step) 54,128 (1) More '98 TCII (A/B step) 26.425 Total $1,126,438 The personnel costs include all applicable benefits, step increases and annual 4% COLAs for sworn officers and 2% COLAs for civilian positions. * FY 1999/2000 personnel costs are for 2 '/z months. s