POLICE EXECUTIVE DEVELOPMENT: THE CONSTRUCTION AND PRESENTATION OF A MODEL PROGRAM by Mary Jo Schneider AN ABSTRACT Submitted to the College of Social Science Michigan State University in partial fulfillment of the requirements for the degree of MASTER OF SCIENCE School of Police Administration and Public Safety 1964 ,I_ APPROVED /) -1) v_'.’/'-.1«"'( '1', f» / Chairman 'I 0/ ,. , \. _ ' \l 1L2 [L /.\’J/\; .//\\L Cvfl‘i Member / 2' 9 1' . » ‘ ' I I' “' . '. o 4’ - ' '~ ‘ I ' Member ABSTRACT POLICE EXECUTIVE DEVELOPMENT: THE CONSTRUCTION AND PRESENTATION OF A MODEL PROGRAM by Mary Jo Schneider There is a growing need within the police service for professional police administrators who are effectiVe and well schooled in the management function. The focus of this study is upon the problem of securing and developing such highly trained police personnel to assume positions of execu- tive responsibility within large municipal police de— partments. While attempting to indicate the urgency of the establishment of formal police executive development pro- grams, this study of police executive development surveys and evaluates the existing development programs and shows that programs utilized by business and industry are being applied or may effectively be applied within a police department. The author hypothesizes that the present day execu- tive development programs of large municipal police de- partments, as defined in the study, are either absent or totally inadequate in meeting the needs of a growing and developing police function. Mary Jo Schneider It is further hypothesized that a model can be con— structed and such a model is appropriate to the police field. A model program of executive develOpment within business and industry serves as a framework around which a review and analysis of the literature is conducted. Data obtained as a result of a survey of current executive de— velOpment practices of police departments serving cities of over 500,000 in population and a case study of executive de— velopment methods and techniques as employed by the Chicago Police Department is considered in light of the model pro- gram. The information obtained through the survey and case study, coupled with the review of the literature, permits acceptance of a conditioned theoretical model program of executive development specifically for the police service. The results of the survey, case study, and review of the police literature support and confirm the hypotheses. The relatively low incidence of both formal and informal executive development programs is stressed. Compared with the intensive programs found in business and industry, police executive develOpment programs must be considered either non-existent or in the first stage of infancy. The study further indicates that, unlike business and industry, law enforcement has failed in recognizing that the administrative level needs training in management and Mary Jo Schneider that the recruits and supervisors of today must be developed for management positions of the future. POLICE EXECUTIVE DEVELOPMENT: THE CONSTRUCTION AND PRESENTATION OF A MODEL PROGRAM BY Mary Jo Schneider A THESIS Submitted to Michigan State University in partial fulfillment of the requirements for the degree of MASTER OF SCIENCE School of Police Administration and Public Safety 1964 (AC) ACKNOWLEDGMENTS I would like to express my thanks to the police administrators who were most cooperative in providing the primary data for this study. My sincere appreciation to Mr. Raymond T. Galvin, my thesis advisor, for his guidance and helpfulness during the course of this research. My deep gratitude to my parents for their under— standing and encouragement. My special thanks to my colleague, Walter Bernard, for his capable assistance and contributions. ii TABLE OF CONTENTS CHAPTER I. THE PROBLEM AND DEFINITIONS OF TERMS USED The Problem . . . . . . . . Statement of the problem Hypothesis . . . . . . . Methodology . . . . . . Limitations of the study Importance of the study A Model PrOgram . . . . . . Definitions of Terms . . . . Executive . . . . . . . Police executive . . . . Training . . . . . . . . Executive development . Organization of Remainder of Thesis II. A MASTER PLAN FOR EXECUTIVE DEVELOPMENT Selection . . . . . . . . . Intellectual Conditioning . Supervised Training . . . . III. REVIEW AND ANALYSIS OF THE LITERATURE . Literature of Business and Industry iii PAGE $45-5- 11 11 13 13 16 17 19 19 22 25 31 31 CHAPTER Assumptions, Selection objectives, Intellectual conditioning Supervised training Summary Police Literature Selection . Intellectual conditioning Supervised training Summary . . IV. THE SURVEY . . . . . Methodology . . Data Obtained . Discussion . . . V. THE CHICAGO POLICE DEPARTMENT: values A CASE STUDY OF EXECUTIVE DEVELOPMENT . VI. CONCLUSIONS, A MODEL PROGRAM AND NEED FOR FURTHER RESEARCH Conclusions . . A Model Program for Police Executive Development . Need for Further Research BIBLIOGRAPHY . . . . . . . . iv PAGE 33 38 43 65 80 83 87 100 115 117 120 120 121 133 139 148 148 152 160 164 CHAPTER PAGE APPENDIX A. Police Departments Contacted through Questionnaire . . . . . . . . . . . . 170 APPENDIX B. Police Executive Development Question— naire and Accompanying Letter . . . . 172 TABLE II. III. IV. LIST OF TABLES Factors Preventing or Restricting Utilization of a Formal Executive Development Program . . . . . . . . . . . Techniques of Selection in Filling Positions of Executive Responsibility . . . . . . . Resources Outside Department Utilized in Training Executives . . . . . . . . . . . Executive Training Techniques . . . . . . . Executive Development Training Incentives . vi PAGE 123 126 129 132 134 LIST OF FIGURES FIGURE PAGE 1. Roleplaying and Spontaneity Training Compared . . . . . . . . . . . . . . . . . . 62 2. Model Program for Police Executive Development . . . . . . . . . . . . . . . . 159 vii CHAPTER I THE PROBLEM AND DEFINITIONS OF TERMS USED Many years ago Bruce Smith, an experienced observer of the American police scene, commented that: Police administration has become a complex and highly technical calling. The problems of law enforcement can be satisfactorily described and made real only to persons who have had some experience with public ad- ministration . . . In other words, the task of law en— forcement is now a problem of management, and lies be— yond the comprehension of those who are not experi- enced in it. Unlike business and many public agencies, the police service is faced with choosing its administrators from the ranks, and generally from within the department. Primarily because of the rigidities of local civil service regulations in effecting "merit" promotions of police personnel from the ranks to fill executive positions, the police administrator of both yesterday and today has been and is usually developed solely by past police experience. But today in our larger municipalities “police business is now 'big business,‘ and more and more departments lBruce Smith, "Politics and Law Enforcement," The Annals.gf_the American Academy_g£ Political and Social Science, 169: 72, September, 1933. are realizing the need for improved management."2 Although the police service is big business, it is unlike any other big business. The public demands it be more effective, ef— ficient and honorable than an industrial enterprise. "For where success or failure, profit or loss, hangs on the ef- ficiency of an industrial firm-—it is life or death, freedom or slavery, security or terror, that depend on the efficiency, integrity, and legality of police services."3 Never before has there been so great a need for ef— fective police administration. The urgency of executive development is accentuated by the expansion of police functions and responsibilities in our larger metropolitan areas. With increasing allocations of public funds to the police service, the police administrator faces greater responsibility and obligation to insure the most efficient and economical operation possible and to place into positions of executive leadership the most highly trained in adminis— trative and managerial matters. In recent years business and industry have made great progress in and placed emphasis upon the deve10pment of executive talent. There has been almost no concern for this matter in the sphere of law enforcement. 2John P. Kenney, Police Management Planning (Springfield, Illinois: Charles C. Thomas, Publisher, 1959), p. 86. 3Raymond B. Fosdick, American Police Systems (New York: The Century Company, 1921), p. 221. Many experts and observers of the police service have voiced this neglect. A prominent police administration analyst, V. A. Leonard, has pointed out that: Too frequently, radio patrol cars, detection labora- tories, traffic investigation units and other ob- servable expressions of performance are looked on as the beginning and end of police service. True, they are component parts of great importance, but back of all these is an intricate job of management. . . The International City ManagerS' Association focused attention upon the fact that Considerable progress has been made on police pro— cedures, selection, training, and equipment, but advances in technical proficiency have not been paralleled by equal progress %n the techniques of managing a police department. Police administrators who have risen "up from the ranks" and are lacking specific training in the management function no longer can cope with their assignments ade- quately. The focus of this study is upon this problem of securing highly trained police personnel to assume positions of executive responsibility in our nation's larger municipal police agencies. It is to the development of these men that this study is directed. 4V. A. Leonard, Police Organization and Management (Brooklyn: The Foundation Press, Inc., 1951), p. 51. 5International City Managers' Association, Municipal Police Administration (Chicago: International City Managers' Association, 1950), p. 43. I. THE PROBLEM Statement of the problem. It is the purpose of this study: (1) to survey and evaluate the existing executive development programs and techniques presently employed by the country's larger municipal police agencies; (2) to show that executive development programs of business and industry utilize techniques that are being applied or may effectively be applied within a police department; and (3) to indicate the urgency for the establishment of police executive de— velopment programs in order to perpetuate and upgrade the ef- ficiency and effectiveness of competent police leadership. It was anticipated that research would provide data to construct a theoretical model program of police executive development that may be utilized as an outline and means of comparison by most large municipal departments. Hypothesis. Because of the lack of previous studies and analyses in this area of police organizations, the method and nature of this study are primarily exploratory and descriptive as opposed to hypothesis—testing. However, it is conjectured that the present day executive development programs of large municipal police departments, as defined in this study, are either absent or totally inadequate in meeting the needs of a growing and developing police service. It is further hypothesized that a model program can be constructed and such a model is appropriate to the police field. Methodology. In order to establish a frame of reference, a review of the literature--both in the police field and in the field of business and industry-—is con- ducted. Attention is focused upon current executive de- velopment practices, objectives of executive development, executive training techniques or methods, and curricula offerings. For purposes of greater clarity and simplicity of presentation, the review and analysis of the literature is discussed within the framework of Willard E. Bennett's theory of or "master plan" for management (i.e. executive) development. Through the use of letters and questionnaires a survey of the current executive development practices of police departments serving cities of over 500,000 in popu- lation was conducted and the findings are included in the study. Evaluation and discussion of such findings are advanced with regard for Bennett's theory or model program. A case study of the methods and practices of execu- tive development as employed by the Chicago Police Department also is included. From the analysis of the data obtained through the questionnaires and case study, coupled with the review of the literature, a theoretical model program for police executive development is presented. Limitations_g§ the study. For the purpose of evalu— ation and criticism of present police executive development practices, the review of the literature is limited to ob- jectives and methodologies of contemporary executive de- velopment in the private sectors. Because of the extensive scope and quantity of literature found in the private sector of business and industry and since it is not within the purpose of this study to include an exhaustive review but rather only to provide a frame of reference, such a review involves only five or six major business administration texts and a small number of journal articles. Although every police department would benefit from executive development practices and the use of specialists in such areas, for example, as training, planning and re- search, and criminalistics; the need for executive talent of sufficient quantity and quality is especially acute and more easily justifiable in the larger cities than in the smaller jurisdictions. In the latter, formal application of execu— tive development practices tend to be prohibitive due to an insufficient number of personnel and budgetary limitations. Thus the survey conducted in connection with this study was limited to police departments of cities in the United States having a population in excess of 500,000. It must be emphasized that this study is concerned only with programs or practices of the executive or top management level as defined herein and precludes any concern with those training programs for the middle management or supervisory positions. Importance pf the study. The significance of this study rests chiefly in the possibility of its serving as a means of focusing attention upon the urgent need for police executive development and as an inspiration for police administrators to institute such programs within their juris- dictions in accordance with the predictable needs of their individual agencies. Considerable attention already has been given to demands for new standards of selection and performance with— in the police service. The greater amount of effort, how— ever, has been expended in regard to the "rank and file" police officer and problems of supervision. Management has been neglected, and as a result the advancement of the police service as a professional field has suffered.6 The problem is a critical one which cannot wait for the evolutionary process to run its course. Each day modern American business demands large numbers of skilled adminis— trators and.individuals having executive talent. The demand 6A. C. Germann, Police Executive Development (Springfield, Illinois: Charles C. Thomas, Publisher, 1962), p. 7. ' and need should be of no less vital concern in the area of police administration. Business and industry have discovered a solution to the problem, and there is no reason why similar objectives and techniques of executive development cannot be applied to the police service. It is hoped that this study will not arouse the police administrator to consider whether or not large police agencies require executive development, but rather will lead him to ask the question—-what type of executive development is best suited for the specific needs of the police function as performed by my department? II. A MODEL PROGRAM During the course of a review of the literature for this study, one particular theory, "master plan," or model program for executive development seemed to be more con- cisely stated and more encompassing than the others. This model program is Willard E. Bennett's "master plan for management development."7 In order to facilitate clarity and simplicity of presentation and discussion, the review and analysis of the literature is presented within the framework of Bennett's theory. .Also, the evaluation of present police executive 7Willard E. Bennett, Manager Selection, Education and Training (New York: McGraw-Hill Book Company, Inc., 1959). development programs and the construction of a theoretical police program evolved in conjunction with a view toward Bennett's theory. Although Bennett uses the term "management de- velopment,‘ for purposes of uniformity this discussion em- ploys instead the term "executive development". A brief summary of Bennett's master plan follows. The formulation of Bennett's theory was prompted by the reCOgnition that the next line of advance in solving management problems must be in the nature of a theory of executive development. Already there are countless methods and techniques for training the executive, but what is needed now is not more methods and techniques but rather a master plan which can be used as guide by the policy—level executive who must make the decisions that determine the scope and reach of his organization's training activities, and by the training man who must finally select the methods and fit them together in an overall plan. Bennett contends that by concentrating upon methods and techniques we lose sight of the other important aspects of executive development. The training effort will fall short of its objective unless the other aspects are given proper weight and emphasis. Bennett is quick to point out that there can be no single plan of executive development, for every management structure has its own peculiar characteristics. However, 10 since certain fundamental factors are recognizable in every situation, Bennett saw a pattern permitting the establish- ment of a workable theory or model by which a sound plan of executive development with predictable results could be applicable to the needs of a particular organization. Succinctly stated, Bennett's theory is as follows: Executive development is a tripartite proposition con- sisting of three distinct but interrelated elements or phases: (1) selection, (2) instruction in basic knowledge and theory, or what might be termed "intel— lectual conditioning," and (3) supervised on—the-job training.8 The theory's three key elements--selection, intel- lectual conditioning, supervised on—the-job training--must be present in combination. Each possesses a subtle inter— dependence on the others. There must be understanding of their full potential as well as their limitations. From that point on, the establishment of a sound executive de— velopment program becomes a task of: (l) striking a balance among the three elements in the light of the needs of the individuals who are to be trained, and (2) selecting, from the already ample supply, appropriate techniques for develOping each element. According to Bennett, throughout industry the approach to executive development must be the same to the extent that all three elements of his theory are.present 8Willard E. Bennett, "Master Plan for Management Development," Harvard Business Review, 34:74, May-June, 1956. 11 in any sound plan. That which differs is the amount of emphasis given each element, as well as the techniques selected for developing each element. Such differences are explained by the needs of a particular organization and the results which are desired and can be afforded. III. DEFINITIONS OF TERMS Executive. According to Glen Cleeton and Charles Mason, an executive is "a person who is responsible for the efforts of others, makes decisions both as to policy and practice, and exercises authority in seeing that decisions are carried out."9 Earl Planty and Thomas Freeston View executives as top level men in any organization who are specifically responsible for the making of policy as well as its adminis- tration. They point out that executives occupy positions so high in the organization that they are supervisors of super- visors. Included in their definition are top-level staff men who serve as advisors to other executives and profession- ally trained specialists engaged in organization planning and research whose recommendations play a major part in establishing.policy and controlling operations.10 . .. 9Glen U-.Cleeton and Charles W. Mason, Executive Ability: Its.2iscovery and Development (Yellow Springs, Ohio: The Antioch Press, 1946), p. 8. lQEar1.G...Planty and J. Thomas Freeston, Developing Management Ability (New York: The Ronald Press, 1954), p. 167. 12 Offering additional insight into the definition, Eugene Jennings demonstrates that the word "executive" literally means to follow (sequi) out (ex). According to him, the executive's actions presuppose both the recognition of authority and the assumption of authority. The executive finds himself in a subordinate capacity to those few indi- viduals above him and a superordinate capacity to those be— low whom he uses to assist him in carrying out his responsi- bilities. At the same time the executive is above and also below, he receives and gives, he orders and obeys; and the face he turns upwards is not the face he turns downward.ll In summary, for purposes of this study, the term "executive" shall be applicable to persons who are re— sponsible for the efforts of others, who make decisions both as to policy and practice, and who exercise authority in effecting such decisions. Thus by definition, the term "executive" excludes the supervisor who is primarily responsible for other peoples' efforts but who is not usually allowed to originate and directly put into effect decisions on policy and practice. Every executive functions as a supervisor, but not every supervisor is an executive. In this study the terms "executive" and "adminis- trator“ are used interchangeably. llEugene Emerson Jennings, The Executive (New York: Harper and Row, 1962), pp. 56-57. 13 Police executive. Any member of a police department whose duties and responsibilities encompass the functions of an executive as defined above shall be considered a police executive. More specifically, police executives or police administrators are the top-level command personnel who with- in the police hierarchy occupy positions superior to those of middle or supervisory management and the nonsupervisory line forces. Hence the chief, deputy or assistant chief, in- spectors (command), commanders, bureau and/or division heads, and district or precinct commanders are among those viewed as police executives. Training. Training is the process used to help employees acquire the attitudes, knowledge, skills or experience needed to do the specific jobs to which they are assigned and to cooperate in doing the common job of the department.12 Just as education is not confined to the classroom, so training is not limited to formal classes, discussion groups, or conferences. Training encompasses the infinite number of ways in which people talk or write to one another. According to Norman J. Powell, the emergent formal definition of training is identical with the definition of communication--a process 2James E. Wood, "Training as a Function of Manage- ment" (Outline develOped for the Northwestern University Traffic Institute, October 16, 1961). 14 whereby ideas, information, attitudes, and emotions are im— parted to people. The significance of this interpretation rests in its implications for the conception and operation of the training program. Effective training becomes a systematic way of influencing people in desired directions, a dynamic pattern of interactions among people within which the trainer seeks to guide and facilitate the growth and development of individuals and groups. Likewise but more specifically, Herbert A. Simon has viewed the role of training as one of several alternative means for communicating decisional premises to organization members. Training may supply the trainee with the facts necessary in dealing with decisions, may provide him a frame of reference for his thinking, may teach him "approved" solutions, and may indoctrinate him with the values in terms of which his decisions are to be made. As a mode of in— fluence upon decisions, training has its greatest value in those situations where the exercise of formal authority through Command is difficult because of need for prompt action, spatial dispersion of the organization, or complexity of subject matter of decision which defies summarization in rules and regulations. Thus Simon sees the result of train- ing in permitting a higher degree of decentralization of the 13Norman J. Powell, Personnel Administration in Government (Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1956), p. 455. 15 decision—making process by bringing the necessary competence into the very lowest levels of the organizational hierarchy.l4 According to Paul Thayer and William McGehee, train- ing in industry is the formal procedures which a company uses to facilitate employees' learning so that their resultant behavior contributes to the attainment of the company's goals and objectives. It is a management tool rather than an entity or field in itself employed to achieve organizational goals. Training is dependent upon and con— tributes to the effectiveness of other personnel procedures.15 Concisely stated, training shall be interpreted as that process which, under organizational auspices, seeks in a planned, coordinated and continuous manner to develop in all employees those understandings, skills, and attitudes, which will maximize individual present and future efficiency and the effectiveness of the organization's overall . l6 operation. 14Herbert A. Simon, Administrative Behavior (New York: The Macmillan Company, 1960), pp. 169—171. 15Paul Thayer and William McGehee, Training in Business and Industry (New York: John Wiley and Sons, Inc., 1961), PP. 3, 8. 16Frank A. DePhillips, William M. Berliner and James J. Cribbin, Management 9; Training Programs (Homewood, Illinois: Richard D. Irwin, Inc., Publisher, 1960), p. 6. 16 Executive develgpment. A definition worthy of mention is that of Planty and Freeston. They View executive development as "the planned improvement of high level managers in those understandings, attitudes, and activities that enter into or influence their work and their work relations."l7 George B. Corless advances his approach to executive development as "an effort to apply the same principles of management; viz., planning, organizing, directing, coordin— ating and control; to the selection and development of management personnel."18 Although in this study emphasis was placed upon the aspects of executive training, executive development--when mentioned herein--involves the identification, selection, appraisal, and assignment, as well as the training, of those who exhibit characteristics of capability for positions of executive responsibility through actively advancing indi- vidual leadership knowledge and managerial abilities. It is the process of helping potentially competent managerial people grow in understanding, attitudes, and activities that enter into or influence their work responsibilities and their work relations. Through a program of planned l7Thayer and McGehee, gp. cit., p. 167. 8George B. Corless, quoted in The Dartnell Corpor- ation, Training Programs for Office Supervisors and Executives, Report Number 594 (Chicago: The Dartnell Corpor— ation, 1951), p. 29. 17 improvement, executive development attempts to further develop administrative skills of employees who are thought by management to possess leadership potential. The terms "executive development“ and “management development" may be used interchangeably. The former is generally employed more frequently in the area of government and public administration, while the latter is more often heard in industrial circles. This study has confined itself exclusively to using the term "executive development." IV. ORGANIZATION OF REMAINDER OF THESIS Chapter II summarizes the major elements of Bennett's model program for executive development within business and industry which is utilized for comparative and analytical purposes throughout the study. A review and analysis of the literature both in the police field and the field of business and industry that pertains to executive development are presented in Chapter III, with a View toward Bennett's model. The data obtained as a result of the survey to determine the current executive development programs and techniques employed by large municipal police departments is then enumerated and discussed in Chapter IV. Chapter V reviews the findings of a case study of executive development conducted within the Chicago Police Department. 18 Chapter VI presents the conclusions derived as a result of the review of the literature, the survey, and the case study, considered in terms of Bennett's model program. Finally, a model program specifically for police executive development is constructed and the need for further research discussed. CHAPTER II A MASTER PLAN FOR EXECUTIVE DEVELOPMENT The model program for executive development utilized for comparative and analytical purposes throughout this study is presented by Willard E. Bennett in his book, Manager Selection, Education and Training.1 A more concise, intensive discussion of this model program is found in the Harvard Business Review, Volume XXXIV (May-June 1956).2 The following summary is an attempt to present the major elements of Bennett's master plan and the highlights necessary for its understanding and employment within this study. I. SELECTION Selection-—the first of Bennett's three key elements requisite to his master plan for executive development--is concerned with the "stuff" of leadership. However, that "stuff" or characteristics of leadership defy precise .1Willard E. Bennett, Manager Selection, Education and Training (New York: McGraw-Hill Book Company, Inc., 1959). 2Willard E. Bennett, "Master Plan for Management Development," Harvard Business Review, 34: 71—84, May-June, 1956. 20 definition. Neither can little be done to add to the quantity of the "stuff" in an individual although experience and training can develop it to a particular level. According to Bennett's theory, selection involves the initial determination as to whether an individual pos- sesses leadership and managerial ability and the secondary determination of the degree to which such ability is pos— sessed. There are two phases of selection: (1) initial selection for entry into executive ranks and (2) selection for promotion to higher positions. To date there has been a tendency on the part of management to train and develop the executive "raw material" at hand instead of attempting to control the "quality" of material at the source or, in other words, the kind of men considered for promotion. As a result mistakes in selection have been made, and the errors in judgment have compounded themselves. The problem becomes especially acute in organi— zations dedicated to a policy of promotion from within, where the initial selection on each level provides material for all later selections. In such a case an error will be perpetuated to higher levels of the organization and compe- tent people may be overlooked, thereby preventing the full realization of the organization's potential. To aid in controlling the quality of men selected for executive training, Bennett provides a partial listing of the tools and techniques which can be used to make 21 selection decisions more accurate. They include: psycho- logical tests, master promotion charts, management inven— tories, individual and group ratings, appraisals, interviews, 'performance reviews, practical judgment, and promotion committees. The limitations of such selection tools, however, must be recognized all through the executive development process. Bennett points out that these limitations may be overcome by regarding promotion as tentative or as a trial advancement which allows an individual to prove himself. Fluctuating individual preferences and dislikes, at one extreme, and unquestioning dependence upon psychological tests, at the other extreme, also can be tempered by the application of practical judgment on the part of a committee composed of representatives of the top two or three levels in the organization structure. According to Bennett, application of the tools and techniques of selection includes different areas or "judg- mental cornerstones": (l) documental data or recorded opinion at given points throughout an individual's career; (2) oral testimony, or concrete and informed opinion available from those required to analyze and evaluate sub— ordinates' development; and (3) "trial under fire" by means of provisional promotion. 22 II . INTELLECTUAL CONDITIONING The second key element of Bennett's master plan for executive development is intellectual conditioning or in— struction in knowledge and theory. After World War I it was recognized among upper management circles that the tradition— al way in which executives acquired competence was unde— sirable. Formal instruction in the purely intellectual facets of the profession was necessary. Hence, the princi- pal form of effort in organized training has come to be academic in nature. According to Bennett, intellectual conditioning involves education in the higher theory of the management profession or in the entire body of knowledge which the profession embraces. It is the academic, classroom, bookish component of the process of management education and training. The term is meant to denote intellectual capacity as opposed to physical dexterity. In order to provide intellectual conditioning for executives, to impart to them a professional attitude and to upgrade their professional proficiency, Bennett begins by identifying some of the intellectual characteristics distinguishing the professional from.the nonprofessional. The professional concept involves the observance of a code of ethics designed to insure a high level of moral conduct, integrity, and fair play. Included in this concept is the 23 facility for seeing matters in their proper perspective, for understanding the relative significance of facts and con- ditions, and for arriving at intelligent conclusions. Still another characteristic of the professional is tolerance and objectivity. So that the executive may make the transition from the nonprofessional to the professional, intellectual con— ditioning is directed toward broadening mental and social horizons, increasing the scope of his viewpoint, and de- veloping his ability to analyze complex situations. This is not achieved by limiting his education to his own experience, but rather is achieved by a concern for the total body of information accumulated in the various fields of knowledge that enlighten the art of managing. Although there is a great wealth of theoretical information in the various fields which affect or contribute to the managerial function, the underlying assumption that the acquisition of professional ability is a continuing educational process must not be lost sight of in the formu- lation of an executive development program. Furthermore, part of this educational process requires study of the theoretical and the abstract in a classroom situation. From this latter respect management does not differ from the other professions, such as law or medicine. 24 In other words, according to Bennett the aim of this intellectual phase of executive development is not to provide "the answer," but rather . . . to help the manager develop his perception and enhance his power of analysis and discrimination. It is to provide a frame of reference wherein he can formulate answers that will fit his problems; to create an atmosphere of learning in the organization that will stand as a constant reminder to the manager that he is in a growing situation and is not expected to know all the answers; to provide new concepts against which old methods may be checked; and, finally to provide a background of theoretical know- ledge in which to fit and try events of daily occurrence. To aid in accomplishing the executive's general and theoretical intellectual training, Bennett provides the following partial listing of possible methods or techniques of instruction that might be employed: Socratic discussion Lecture discussion Philosophical discussion Guided or directed discussion Conference leading Roleplaying Progressive roleplaying Socio—drama Case discussion Handouts Seminars and institutes Chart lecture Slap board lecture Indirect lecture Films Dinner meetings with outside speakers Outside lecturers for in-plant meetings Sabbatical year Membership in trade associations . Memberships in civic clubs 3Bennett, "Master Plan for Management Development," .22. cit., p. 79. 25 Trade conventions Night school Correspondence courses Reading courses Bennett categorizes such specific techniques under the informative, educational-professional, educational- functional, and the consultative methods. In regard to their selection and implementation he calls attention to the need for distinguishing between education and on—the-job training and warns against the inclination to substitute teaching technique for subject matter. Although a substantial portion of the executive's training should be instruction in the academics of the profession, this does not deny that some purely informative training as to organization policy, procedures, and ob— jectives is not necessary, along with group discussion where- in mutual experience and knowledge are shared. With that in mind some of the methods listed above are also useful in aspects other than the intellectual part of the executive's training. III. SUPERVISED TRAINING Supervised or "on—the-job" training--the third element of Bennett's master plan-—is the very core of all executive development. If Bennett had to select the most important element of his theory, he would choose this third element. Yet it is in this area that executive develOpment 26 has largely failed to attain its purpose. Although business and industry have certainly not overlooked this phase of the developmental process, they have failed to support it with adequate Selection and intellectual conditioning. They have neglected to view executive development as a tripartite proposition, each part of which is highly dependent on the other elements for its successful operation. Learning by doing is an old, familiar cardinal principle of training. One often hears that classroom edu- cation sets the stage but practice in the actual situation completes the learning process. "Supervised training does by example what intellectual conditioning does by precept. It is this phase that sparks the implementation of all other training effort."4 According to Bennett, there are two concepts which define supervised training. The first is the assertion that an executive must at all times be consciously guided and directed in an organized manner by a competent superior. The second concept holds that the executive's experience must be broadened beyond the limited confines of his "resident" position in accordance with some organized, deliberate plan of development. Within these concepts the clinical phase of execu- tive development is evident. Every executive at the next higher level becomes a teacher in the everyday work situation 41bid., p. 83. 27 of practical and specific events to his immediate subordi- nates. Every superior must recognize the importance of his responsibility in the development of his subordinates. If he takes his responsibility seriously, through efforts of evaluation both the superior and his subordinates will recognize their standing with one another. The supervised training phase of an executive's development is similar to the internship of a physician, except the executive's internship never ends. However, supervised training can only reach its maximum effectiveness where it is placed on a formal organized footing and becomes a systematized daily function of the superior in supervising his subordinates. No longer does the superior analyze the strengths and weaknesses of subordinates only when pro— motions are imminent or problems arise; this assessment be- comes a continuous activity wherein the subordinate is periodically apprised of the results of the evaluation and given suggestions on how to eliminate the undesirable and to further the desirable. Supervised training is the proper place for "here's how" teaching. On the individualized basis the general and abstract of the classroom becomes the specific and the practical of a particular situation. The instructor who was the staff training man or the college professor becomes the "boss" whose advice has indeed worked with "his people." No longer is training sporadic or results merely hoped for. 28 Here the instructor and student "rub shoulders" day in and day out under an atmosphere of continual coaching and guidance. The strength of supervised training lies in the realism of the actual work situation that is impossible to completely simulate (i.e. the stress, the strain, and inherent environmental factors) in an off-the-job situation such as is attempted in roleplaying. The daily activity of the executive is filled with real experiences, each of which is packed with all the emotional conflict that makes for difficult situations. Moreover, another strength is in the fixing of objectives by which the executive is placed in competition with others in the same work group. While it is very difficult to set goals of attainment in the intellectual phase of the executive's training, during supervised train- ing the executive is placed in competition with himself when the superior recognizes specific weaknesses, expresses willingness to effect improvement, and expects that improve- ment within a reasonable period of time. There are some subtle problems, however, regarding supervised training. It involves the often unpleasant and difficult task of frankly but tactfully criticizing a subordinate's performance by discussing it with him. But as long as this phase of training is recognized as an exclusive function of line management and the selection and intel- lectual conditioning phases help create the proper 29 atmosphere, it will not be so difficult for the superior to talk frankly with his subordinates. A more serious weakness in supervised training may stem from lack of a coordinated plan of executive de- velopment. There must be sufficient interaction of the three key elements, along with emphasis and vigorous support of executive coaching on the part of top management. There is always the possibility that at scattered points within the organization the superior is clearly unqualified to coach and develop his subordinates. In such cases the subordinate is usually more qualified to train his superior. Yet if the incompetent superior is required to make an effort toward developing his people, his subordinates may exhibit a new respect for his leadership and he, in turn, may also look to his own development. The techniques which can be used to make supervised training more effective are not as profuse in variety as in the case of selection and intellectual conditioning. Bennett is unable to determine whether this results from the lack of emphasis upon supervised training or whether it is by nature a prOposition involving little methodology. Nevertheless, he lists the following as being among the more prominent methods: Counseling- Guided experience Appraisals Multiple management Understudies 3O Assistant—to positions Job rotation Crown prince Every executive, from top to bottom, should partici- pate in a program of executive development. Although the tenor of the training varies at different levels and the emphasis upon the three elements shifts, at every level par- ticipation should be mandatory. Moreover, the executive's training in the management profession has no end. The executive needs training to meet the changing problems as he advances up the hierarchical ladder and to keep abreast of new developments of the profession. An executive's training never ceases, nor is his education ever completed. The responsibility for constantly fostering executive talents rests jointly with the individual and his organization. The central point of Bennett's master plan is con- cerned with a coherent picture of executive development. While the contents of present executive programs would not be greatly different under the overall model program, emphasis and balance would change. With a coherent theory and a coordinated approach these little differences could make any program more effective. It just seems inescapable common sense that to the extent we are already on the right track in a piece- meal way, we should do a better job if we try to put all the parts together into a coordinated whole. If this is not so, then it is about the only area of human endeavor where haphazardness pays off. 51bid. CHAPTER III REVIEW AND ANALYSIS OF THE LITERATURE I. LITERATURE OF BUSINESS AND INDUSTRY Recent emphasis upon the problems of management, the selection and appraisal of executive talent, and executive development programming on the part of business and industry has provided the researcher and practitioner with great quantities of information. Such emphasis by business and industry appears to be the product of the 1950's. One explanation offered to account for this movement is the rapid expansion of large-scale organization and the resultant demand for managerial talent.» This is an age of consolidations and mergers in American industry--an age which has increased the size of hierarchies and produced the current emphasis upon decentralization.l Another factor is increased competition which encouraged the growth of the chain store and the demise of the small retail or local manufacturing establishment. The result has been the increased demand for individuals who can operate as hierarchical leaders, individuals possessing a 1John M. Pfiffner, "Executive Development: A Pre— liminary Exploration," November,1, 1959. (Mimeographed.) 32 different kind of talent and outlook than that of the old— time entrepreneurs or small local businessmen. Accordingly, the job of management has become in— creasingly complex in terms of number or activities, volume of work, and nature of responsibilities. There are far more external influences and pressures than ever before. Because of today's broader impact of management decisions and activities, the job is much more exacting. As a result, management personnel are growing more cognizant of management as an activity in itself, unlike any other activity, re— quiring people of specific qualifications and preparations.3 The emergence of organization planning as a major staff function in large-scale American industry has coincided with the recent emphasis upon executive development. Today a corporation has some type of long-range plan in practically every phase of its operations. In conjunction with this, planning for the conformation of the hierarchy and projected manpower needs for the future has resulted. "In the case of the holding company corporations the epitome of management development is in many respects the planned production of executive manpower to fulfill the needs of operations projected into the future.”4 Ibid. 3Joseph Dooher and Vivienne Marquis (eds.), The Development gf Executive Talent (New York: The American Management Association, 1952), p. 5. 4Pfiffner, loc. cit. 33 A few years ago a survey concluded that over 90 per cent of American corporations hold periodic management meetings, while 70 per cent have "leadership and development" programs of one kind or another. However, despite the prevalence of programs the American Management Association reported after a two-year survey of executive development completed in 1954 that there is no standard procedure for developing management personnel. A National Industrial Conference Board survey likewise concluded that no two companies approach executive training or conduct their pro— grams in the same way. As indicated earlier, the review of the literature pertaining to executive development in business and industry will proceed here within the framework of Willard E. Bennett's master plan. However, prerequisite to under- standing such a presentation is a brief consideration of the Objectives and values of executive development programs and underlying assumptions which serve as foundations for the establishment of such programs. Assumptions, objectives, values. Two recognized authorities on the subject of executive development--Glen Cleeton and Charles Mason--have enumerated the following purposes or objectives of a formal program: (1) encourages . 5Willard E. Bennett, Manager Selection, Education and Training (New York: McGraw-Hill Book Company, Inc., 1959) I pp. 5-60 34 objective selection and training of men for executive positions; (2) aids those charged with executive responsi— bility in discovering their weaknesses and improving their efficiency; (3) assists the ambitious, capable individual toward self-discovery of potentialities and encourages self- development which will enable the exercise of executive functions demanded by current responsibilities; and (4) pro- vides for more judicious arrangement of curricula by insti- tutions preparing men for executive positions.6 The following values to be derived from a continuous and effective executive development program in American business and industry have been summarized by John Riegel: (1) Executive development brings about better technical performance by executives on their present jobs. (2) It results in improved supervision and leadership at each level in the organization. (3) It helps key individuals to understand and take greater interest in the work and problems of de- partments related to their own, thereby promoting greater cooperation. (4) Periodic analysis of each key individual's per- formance and his potential brings clearly to light weaknesses of organization members and stimulates action to Strengthen these members or prepare subordinates. (5) An executive development program increases the attractiveness of the organization to other capable men seeking employment. (6) It creates "reserves" in the managerial ranks. 6Glen U. Cleeton and Charles W. Mason, Executive Ability: Its Discovery and Development (Yellow Springs, Ohio: The Antioch Press, 1946), p. 5. 35 (7) Responsible positions may be filled through pro— motion rather than hiring outsiders. (8) Qualifications of key people become more definitely known because their performance is periodically reviewed. (9) An executive development program makes the organi- zation more flexible by increasing the versatility of its members and by maintaining their adaptability. (10) The periodic review of responsibilities delegated to each key man contributes to the improvement of the organization structure. (11) Demonstrated interest in executive development by senior officers stimulates juniors to perform better. (12) Executive development encourages managers and leading technicians to keep abreast of technical progress in their fields. (13) An effective program provides acceleration of de— velopment of outstanding individuals within relatively short periods. (14) It broadens key men in middle-management positions, resulting in greater coordination and preparation for more general responsibilities at higher levels.7 According to Earl Planty and Thomas Freeston, the adoption of certain assumptions or propositions are requi— site prior to the establishment of a successful executive development program. There is the assumption that progress or growth can be advanced and made effective by planned, concerted efforts on the part of the individual concerned, 7John W. Riegel, Executive Development: A Survey 2f Experience in Fifty American Corporations (AnnTArbor, Michigan: University of Michigan, Bureau of Industrial Relations, 1952, 1956), pp. 10—14. 36 his superiors, and the organization's training staff. Secondly, since such development is primarily an individual matter, the develOpment program must be highly individual- ized. The view that age is no insurmountable barrier to learning new things is the third assumption. Lastly, each executive must assume responsibility for developing one or more possible successors to himself, as well as men who will advance to other executive positions in the organization.8 In conjunction with these assumptions, it must be remembered that worthwhile development comes slowly. More— over, top management must be Open to improvement. It must be willing to have well-trained, younger executives question its policies and challenge its decisions. It also must recognize that development can aid the performance of even highly successful and able executives.9 Emphasizing the role of top management regarding executive development, Planty and Freeston point to the responsibility of top executives to decide that such pro- grams are even to be conducted and then to support them once they are instituted. Although each executive may outline systematic development plans for his assistants with staff training men and see that these plans are implemented, the .8Earl.G. Planty and J. Thomas Freeston, Developing Management Ability (New York: The Ronald Press Company, 1954). P. 170. 91bid. 37 primary responsibility for insuring that developmental opportunities are provided and utilized lies with the chief executive.10 Stated in a slightly different manner, Raymond Randall views executive development as a line responsibility. Participation is essential at all levels of management. How- ever, to be most effective executive development must be actively supported by top management. Only top management can create the proper environment for successful operation of executive development processes.11 Furthermore, since development is a personnel function, the administration of a formal program must be assigned to a specific staff member who reports fairly high up in the organization--preferably to the chief administrator. Training and executive development must operate in close relationship and harmony to the point of eventual merger.12 Focusing upon the characteristics of executive leadership and human abilities, Fordyce W. Luikart considers the following basic assumptions as requisites to executive programming: (1) that agreement can be reached regarding lOIbid., p. 169. 11Raymond L. Randall (ed.), Executive Development in Action (Pamphlet #9 of the Society for Personnel Admins— tration based upon proceedings of the First and Second Annual Institutes for Executive Development 1953-4, April, 1955). P. 4. 12Planty and Freeston, 22. cit., pp. 168—169. 38 some of the qualities, abilities, and skills necessary to a successful administrator; (2) that there is a means of identifying the presence or absence of those skills and abilities; (3) that potential administrative knowledge and ability can be developed; and (4) that effective methods and techniques can be devised to aid the develOpment of adminis— trative skills and abilities.13 Selection. Selection—-the first of the three elements of Bennett's master plan for executive development-- involves initial determination of an individual's leadership and managerial ability and secondary determination of the degree to which such ability is possessed. A more detailed discussion of this concept of selection already has been presented. Turning toward other spokesmen of executive selection in business and industry, Michael G. Blansfield prefaces his remarks with a discussion of the traditional approach to executive appraisal. Similar to Bennett's discussion of "quality control," Blansfield points to the subjective selection of an "heir apparent" wherein the key executive selects a man to fill a vacancy--a,man most capable of meet- ing and conforming with organizational needs as perceived by the top operating executive. Again, the central problem 13Fordyce W. Luikart, “Executive Development: Boundaries and Challenges," Personnel Administration, 85: 8—9, May, 1951. 39 of this approach is the perpetuation of the managerial weaknesses present in the current executive operation14 or in Bennett's words, errors in judgment compound themselves. Like Bennett, Blansfield enumerates current and fairly standardized tools and techniques utilized in selecting men for executive training. Reducing the initial selection process to the minimum needed to screen out obvious misfits, he suggests an inexpensive test battery which provides a measure of learning ability and supervisory aptitude, a physical examination, and a report or performance review by each individual's past two supervisors to determine the individual's level of technical competence. Those meet- ing the basic, general criteria are ready to be considered for develOpment.15 Again similar to Bennett's warnings, Blansfield points out the limitations or major weaknesses of selection tools employed to identify so—called developmental needs of an individual through exterior means. First, the measure- ment devices utilized are not sufficiently refined to insure an accurate concept of the person involved. Secondly, the necessarily subjective bias of the raters tends to distort the exterior analysis. Lastly, the presentation of a list 14Michael G. Blansfield, "The Challenge of Executive Appraisal," Advanced Management, 25: 20, April, 1960. lsIbid., p. 23. 40 of shortcomings which a develOpmental program would correct does not necessarily lead to its acceptance on the part of the person rated.l6 As an alternative to appraisal methods, other than the initial selection tools already discussed, Blansfield suggests that each executive be helped to determine the true picture of himself. Developing such a self understanding can be achieved by encouraging the executive or pre-executive group to evolve themselves. In essence, management provides the environment for development and the means, i.e. group process, to facilitate this growth.17 Thus, outside the initial selection process, executives are actively partici— pating in the appraisal of themselves and developing their potentials within the framework of their organization. Marvin Bower emphasizes the importance of attaining a proper balance between employing too many and too few highltalented men as being essential to good selection. With too many high-talented men, the best are likely to move to less competitive situations where advancement is more certain. Without allowance for turnover, there are usually too few candidates for higher level positions. Also, the intense competition for professionals is producing a l6Ibid. ' l7Ibid.. pp. 23—24. 41 built-in inequity which results later in dissatisfaction over slow increases in salary and advancement.18 Better handling of talent includes improved se- lection, for "a poorly selected man is a potential wasted asset and even a liability." Although Bower is concerned with selection policies and procedures which increase the productivity of executives already on the payroll, he sug- gests that in order to insure continuing availability of potential executives the best way to attract more high— potential men is to use present executives as effectively as possible.19 From the viewpoint of a faculty member of a uni— versity offering an executive development program, Kenneth R. Andrews presents a tentative series of statements which bear on the selection of men to attend executive programs: (1) Except for the diffidence sometimes experienced by non-college graduates, previous formal education has no direct bearing On the degree to which an indi- vidual may contribute to or profit from a company or university program. (2) A man should not be asked to attend an executive program unless he is willing and unless his willing- ness insofar as it can be determined is genuine and spontaneous. (3) A man will not profit from an executive program if he is in attitude and point of view noneducable-— that is, not receptive, for reasons personal to him, to the proposition that he should re-examine 8Marvin Bower, "Nurturing High—Talent Manpower," Harvard Business Review, 35:69, November-December, 1957. lgIbid. 42 his experience and otherwise expose himself to the threat of ultimately becoming in some way different from what he is. In cases where organizations utilize development programs of colleges and universities, faculty observation of an indi- vidual who is employing some unaccustomed skills away from his job verifies the potentiality of development in some men, helps identify some of the conditions under which little or no growth will occur in individuals, and is useful in increasing the effectiveness of company participation in executive programs rather than attempting to measure it.20 John Riegel discusses selection of candidates for executive development as consisting in part of reviewing each individual's work history and noting the degree of his success in performing the functions which are included in the target position. The selection process requires fore- casts of each candidate's capacity to fulfill new responsi— bilities after he has completed preparatory training. It requires the choice of a candidate who probably will perform best in all of the major functions of the target position. The primary consideration for selection is the individual's fitness for the new position, which should not be bestowed as a reward for length of service. Riegel places the 0 Kenneth R. Andrews, "Is Management Training Effective?” Harvard Business Review, 35: 63-72, March-April, 1957. 43 responsibility for selection with the executives in direct charge of the target position.21 Emphasizing a decidedly different initial approach from that of Bennett, Planty and Freeston believe that no selection process is necessary because all executives worthy of being kept on should be developed according to the needs of their present jobs. Executive development is for all whose present job performance can be bettered. Training is adjusted to particular needs as an executive moves upward after he has participated in programs which bring him a very high level of success in his present job and after he demon— strates potential for promotion.22 Intellectual conditioning. Education in the higher theory of the management profession or in the entire body of knowledge which the profession embraces has been labeled intellectual conditioning by Bennett. This second key ele— ment of Bennett's master plan for executive development, discussed earlier in this study, is the academic, classroom, bookish component of the process of management education and training. In light of Bennett's view of intellectual con- ditioning and his identification of professional character— istics prerequisite to a successful executive, the importance 21Riegel,.gp. cit., p. 143. 22Planty and Freeston, pp, cit., p. 171. 44 of the executive's state of mind--how he sees his development within a profession--and management's role in his intel— lectual development have been demonstrated. Similarly, but on the organizational level, Frank DePhillips, William Berliner and James Cribbin speak of executive development as primarily a state of mind, a philosophy of management, a way of business life. For example, an organization can be said to have a plan of executive development despite the absence of formal procedures and system when management be- lieves there is a plan. In like manner, regardless of formal procedures and system, there is no effective program when management thinks there is none. Moreover, an organi- zation can be said to be achieving satisfactory results with its development of executive personnel whenever that organi— zation feels it is receiving its desired benefits.23 Focusing upon the individual level, Charles E. Summer,Jr. is concerned with the development of "the managerial mind." He points out that other professions assume a way of thinking. For example, there is the legal mind, the scientific mind, and so forth. Management cannot be treated as a profession unless the managerial mind can be understood. Here Summer's concern is with the common qualities of thinking, with attitudes, biases, 23Frank A. DePhillips, William M. Berliner and James J. Cribbin, Management 2f Training Programs (Homewood, Illinois: Richard D. Irwin, Inc., Publisher, 1960), p. 321. 45 predispositions--in short, with those patterns of thought which characterize the executive and allow predictions of executive actions under a specific set of circumstances.24 According to Summer, the executive develops the qualities of the managerial mind by becoming familiar with the substantive knowledge available and with the particular distinguishing attitudes and predispositions. The executive observes the mistakes other executives make when they fail to apply these qualities and experiences himself such suc— cesses and failure in the presence of colleagues or superi— ors. Formal training methods suggested by Summer include employment of Socratic questioning, along with skillful teaching of theory. The use of case studies, oral exami- nations, and business games are useful in developing the logical, empirical, and action qualities of the executive.25 Bennett's academic, bookish, or theoretical com- ponent of executive development appears to be of signifi- cance throughout the developmental stages discussed by Norman Fisher. According to Fisher, the first stage is general education, wherein the acquisition of the broadest and most liberal education becomes an invaluable foundation upon which the executive can build. The second stage is 24Charles E. Summer Jr., "The Managerial Mind," Guidepostsitg Executive Growth (Boston: Harvard Business Review, 1955-1962), p. 36. 251bia., pp. 44-45. 46 vocational training from which particular skills in a special area of concern are acquired. The third stage marks the beginning of executive training—~the point at which such subjects as applied economics, commercial law, and the social sciences are studied and the trainee begins to "feel" how business works. The fourth stage, experience in managing, is the point at which the trainee is given the opportunity to study management theoretically in the light of his own experience. What is hoped for here is a permanent change or at least a development in the attitude of the student. That which he has already learned through experi- ence is made explicit with the aid of his teachers and fellow students.26 Fisher succinctly summarizes the four stages of executive development as the development of a human being. The individual's training is simply a matter of making the most of the qualities he has so they may be applied ef- fectively to the job of being an executive.27 In view of this, Fisher appears to agree with Bennett's outlook toward executive development as a continuing educational process. In the opinion of Earl Planty, William McCord and Carlos Efferson, intellectual conditioning involves working with general concepts since selected trainees are already 6Norman Fisher, "The Making of a Manager," Personnel, 38: 8-15, September-October, 1961. 27Ibid. 47 equipped for thinking in appropriate terms and have the intelligence to master abstract ideas. Executive training relates the same basic principles that are presented in lower supervisory levels. However, the training becomes broader and more penetrating as one comes up through the various levels to the top executives. Just as the student of mathematics works his way from simple to extremely complex problems, always using the same fundamental principles, so the student of management must work his way from simple to complex problems in organizing, planning, commanding, con- trolling, and improving, as he advances up the super- visory ladder.28 Executive training must have its foundation in the basic principles of management and human relations. Because top executives establish the pattern for the rest of the organization, a full understanding and acceptance of such principles is vitally important. Those selected for execu— tive development are frequently specialists, highly skilled and interested in a limited field. Due to this fact, execu— tive training must broaden their outlook to include the organization as a whole and help them to understand the place of their own specialty in it. Any technical training is focused upon management and human relations, for their technical field now is management.29 28Earl G. Planty, William S. McCord and Carlos A. Efferson, Training Employees and Managers (New York: The Ronald Press Company, 1948), p. 189. 291bid., p. 191. 48 Since intellectual conditioning involves the academic and the theoretical, it follows that higher educational institutions have a definite contribution to make in the development of executives. According to Thomas Davy and Henry Reining,Jr., higher education can take the initiative in promoting among employers the broad—gauged approach to a career service upon which a program of executive development rests. As employers become interested, the college or uni- versity can advise them regarding appropriate programs and assist them in the research required for establishing them.3O Assistance could be rendered by the university in the selection and counseling of candidates, through the participation in conferences and seminars that may be parts of the program, and by the provision of formal course work for people in the program. A number of institutions of a particular region also might join together in establishing an Iadministrative staff college" for executive development service to all governmental jurisdictions and agencies in the region. Co-sponsorship of training courses and manage- ment institutes for principal administrators is another possibility of service to employers in the region served by a school. Examples of this type of activity presently in 30Thomas J. Davy and Henry Reining,Jr., "The Respective Roles of Higher Education and Governmental Em- ployers in Preparing People for Professional Administrative Careers," in Stephen B. Sweeney (ed.), Education for Adminis— trative Careers.in Government Service (Philadelphia: Uni- versity of Pennsylvania Press, 1958), pp. 168—193. 49 existence are the training courses of the International City Managers' Association and the week-long Management Institutes conducted by the American Society for Public Administration in cooperation with various universities throughout the country.31 The advantages of university development courses have been enumerated by Planty and Freeston. Such courses re— move candidates from troublesome everyday pressures and bring them together from a variety of occupational fields and organizations into one class providing a stimulating and varied environment. When candidates are removed from the constant and critical scrutiny of their associates, they are more apt to participate freely. Academic professionals can deal more effectively with successful and overconfident trainees than can an organization's internal advisors. More- over, there are very few organizations that can afford the services of a staff of outstanding educators and experienced trainers to conduct all essential development activities within the confines of the organization. Where there are such funds available for a staff, skilled educators and trainers are not always available. Furthermore, outstanding universities have already assembled staffs of teaching specialists which even the largest organization cannot hope to reproduce.32 3lIbid. 32Planty and Freeston, QB. cit., pp. 181-182. 50 However, despite such advantages, Andrews cautions that the effectiveness of university executive prOgrams is dependent upon and varies with a number of factors. The impact of participation in a university program, and for that matter in even the individual organization's program, depends on its length, the degree to which personal involve- ment is required and achieved, and the amount of personal effort expended. For example, according to Andrews company programs of less than a week, or with sessions distributed over considerable periods of time, and university programs of less than one month appear to produce small results. Al- so, the results of programs in which the course content is primarily survey reading, lecture, or the consideration of general questions are different than programs requiring discussion of issues and problems, with ideas and solutions expected first from the participants. Programs which anticipate that a large amount of work will be done appear more effective than those assuming a reluctance on the part of the participant to return to hard study.33 Despite the value of associating with other execu— tives of a wide variety of fields and organizations, the effectiveness of university executive programs is somewhat dependent upon and reflects the qualifications, experience, and behavior of the faculty. In addition, a formal 3Andrews, loc. cit. 51 educational experience varies according to the narrowness of an executive's previous experience. In other words, the more specific an individual's technical education and the longer his assignment to engineering, a laboratory, or a remote location, etc., the more pronounced will be the program's impact. A man with a general education, on the other hand, coupled with experience of a more administrative than technical nature, or experience in more than one organization, is likely to have his outlook extended rather than radically changed.34 Moreover, the more an organization in which the participant works is by process, geography, or set of mind separated from other organizations; the more intense will be the participant's reaction to an executive program, pro- viding such narrowness has not destroyed interest. Finally, the impact of a formal educational experience diminishes in time unless the participant's subsequent experiences make it meaningful. When attendance at such a program has no specific meaning in the individual's career development, his job assignment, and his responsibilities, and when his organization fails to reinforce through practices and ideals the purposes of the program; the effects of the educational experience gradually fade and are forgotten.35 52 Management educators are faced with problems con— cerning levels of instruction as well as course content matter. According to Ralph C. Davis, management is an evolving profession which can and does draw insights from the humanities, the natural sciences, the physical sciences, the social sciences, and any other field of pure or applied knowledge that may make some contribution. Similar to Bennett's concept of a continuing educational process, such professional education cannot cease with the completion of a formal educational program, but must continue throughout the executive's career. The general executive must have the breadth of back- ground, the vision, imagination, and the ability to engage in qualitative analysis and evaluation of intangible factors, forces, and effects in a de- veloping situation. He must be able to project his thinking far into the future.36 Management education helps the individual help him- self toward qualifying among the ranks of general adminis- trative executives. While differing from education for technical staff management or line operative management, the field of general administrative management education utilizes all of the major disciplines to give the executive the necessary breadth of understanding. Although top management needs the technical specialist particularly at subordinate levels and must have administrative knowledge of the . 36RalphC. Davis, "Education for Business Management," Advanced Management, 26: 19-20, September, 1961. 53 functions under his command, the executive also needs a knowledge of general administration. Thus, according to Davis, there must continue to be increasing emphasis upon courses in general administrative management.37 Imparting such knowledge may be attempted through two complementary approaches-—a "principles approach" and a "case approach" to the teaching of management subjects. The future executive's capabilities for effective thinking can— not develop without mastery of the principles and general methods of approach for the accomplishment of the organi- zation's objectives. This implies some mental training in application. Devices facilitating such training ranges from thought-provoking questions through simple problems, incident cases, and specialized cases to integrated business cases and beyond.38 Since a large number of those selected for executive development are technically proficient in a specialized area as opposed to general administrative knowledge and experi- ence, James G. Coke and John W. Lederle have discussed equipping the professionally-trained functional specialist for general administrative responsibility. At the very time when intense specialization was beginning to characterize 37Ibid., p. 21. 38Ibid. 54 the public service, the potential contribution of the generalist was recognized.39 The strength a functional specialist brings to the administrative process is knowledge and competence in a particular subject-matter. The greater his skill, the firmer is his foundation for employing the prOgram-related responsibilities of top positions in organizations concerned with this subject matter. He is readily accepted within his field of competence by other organization members and is sensitive to the motivations and aspirations of the technically-oriented organization of which he is a member.40 However, despite his strengths the functional specialist may bring to the administrative process too strong an identification with his specialty that he over- values its importance in the achievement of organizational objectives. He may think in narrowly technical terms to the extent that program policy is neglected. Specialization may create difficulties in communication. Techniques may be confused with objectives.41 Coke and Lederle assume that the development of a specialist to discharge administrative responsibility 39James G. Coke and John W. Lederle, "Equipping the Professionally-Trained Specialist for General Administrative Responsibility," in Sweeney (ed.), pp. cit., p. 144. 41Ibid., pp. 148-149. 55 involves primarily self—development——a concept previously discussed in this review which was advanced by Blansfield as an alternative to appraisal methods. They point out that the principal motivation for acquiring administrative skills is derived from in-service experience and is the product of daily pressures for successful job performance. Implied in this concept of self—development is the need for individu- alized administrative training that takes into account the characteristics of the individual specialist. In order to bridge the gap between the strengths and weaknesses of the specialist who is selected for an administrative or execu— tive position and to narrow the chasm between specialists and generalists, Coke and Lederle advocate adequate training which evolves a partnership among professional schools, faculties of general public administration, and employers.42 Bennett's methods of instruction that might be employed to accomplish the executive's general and theoreti- cal intellectual conditioning already have been presented in this study. Turning toward a consideration of such methods as they have been advanced by others in the literature, DePhillips, Berliner and Cribbin view instruction as a function of the follOwing seven factors: job knowledge, teaching skills, experience, personality, training attitudes, communications, and management.43 42 . IbldOI pp. 151—1521 161. 43 DePhillips.gE._l.,Igp. cit., pp. 131-139. 56 In the opinion of Paul Thayer and William McGehee, the selection of the methods of instruction to be utilized are dependent upon a number of considerations. That which must be taken into account are the kinds of behavior, in- cluding attitudes, to be acquired; the number of employees to be trained; the ability level of trainers and their indi- vidual differences; the cost in relation to various factors; and the incorporation of alleged learning principles such as motivation, opportunity for practice, reinforcement, knowledge of results, meaningfulness, and overlearning.44 Before undertaking the methods of instruction, Frederick Bent and Joseph McLean consider the adoption of what they call assumptions for a discussion of teaching methods. They demonstrate that any discussion of method- ology should not obscure the fact that teaching is es— sentially an art and as such cannot be circumscribed by rigid laws governing its expression. They discuss how no one teaching method is equally applicable to all courses or phases of a single course. In addition, they show how every institution or organization is subject to a series of vari- ables that affect the selection of any one method regardless of the "proven" superiority of one over another. Such vari- ables include the aim of a particular course, the established 44PaulThayer and William McGehee, Training in Business and Industry (New York: John Wiley and Sons, Inc., 1961), pp. 195-196. 57 curriculum, the physical facilities and budget, the stra- tegic location of the institution or organization, the type of trainee and his reactions, and the influence of teacher personality and preference.45 Like Bennett--but even more concisely, Bent and McLean have categorized teaching methods. They label the lecture as a "method of authoritative exposition" wherein the student is usually passive and the lecturer probably more content-oriented than student-oriented. The discussion seminar--a student-oriented rather than teacher—oriented method-~involves active student participation within the class environment. Techniques of laboratory experimentation and roleplaying in which the student actively alters physical conditions in a contrived situation of vicarious experience marks the problem-solving method of inquiry. The case method ranges from complete presentation by the teacher to that which allows active student discussion and roleplaying. Such methods are not mutually exclusive.46 While it is not within the scope of this review of the literature to include extensive discussion of each of the methods of instruction listed by Bennett; nevertheless, a brief discussion of three of his suggested methods, which are particularly prevalent in business literature because of 45Frederick T. Bent and Joseph E. McLean, "Teaching Method-Course Instruction," in Stephen B. Sweeney (ed.), pp. Citol PP. 78-80. 46Ibid., p. 77. 58 their recent development and emphasis, will be included here. These methods--namely roleplaying, sensitivity train— ing, and spontaneity training-~are of particular interest due to their wide utilization on the executive level. A recent survey reported that roleplaying has been accepted as a method of training at the executive level by 79 per cent of a sample of participants in an American Management Association course and a comparable figure of 78 per cent was obtained from another group of executive trainees.47 Roleplaying is defined by Raymond Corsini, Robert Blake, and Malcolm Shaw as a "spontaneous" technique or method of human interaction that involves realistic behavior in imaginary situations for purposes of training, instruct- ing, or evaluating. It is particularly valuable to execu- tive training as a "how-to" technique for developing social skills and providing understanding and utilization of human relations skills and principles. Moreover, it develops training in spontaneity.48 The purpose of roleplaying may be viewed as three- fold--diagnostic, informative, and training. The diag- nostic aspect provides a better understanding of the 47Raymond Corsini, Malcolm E. Shaw and Robert R. Blake, Roleplaying in Business and Industry (New York: The Free Press of Glencoe, Inc., 1961), p. 45. 481bid., pp. 8, 110, 119. 59 roleplayers by hearing and observing them in action. Pro— viding the auditors and spectators with information on how various roles should be filled demonstrates the informative aspect. Training provides the roleplayers with knowledge and skills by permitting them to experience a near-veridical situation and enables better self-understanding through feed— back information.49 More specifically, roleplaying as a technique of approaching the study of human problems under laboratory— like conditions deals with the participant's own concerns. A specific, concrete, active approach is employed wherein the artificial separation of thinking and words on the one hand and action on the other is eliminated. Roleplaying is characterized by its opportunities for increasing social sensitivity, expanding social awareness, and practicing skillful ways of relating to others. In addition, one of its strengths lies in the transferability of a particular method by the participant employing it to analyze new difficulties in future situations.SO According to Corsini, Shaw and Blake there are three distinct approaches to teaching the executive how to deal more effectively with people--name1y lecturing, interviewing, and roleplaying. However, the first two approaches have 60 been proven relatively unsuccessful when used in an attempt to improve human relationships. Because of the complexity of human beings, the individual must be dealt with as a totality--a thinking, feeling, behaving individual. Role- playing resembles 1ife more clearly than lecturing or inter- viewing approaches. Since the subject matter being studied is an individual's behavior, he accepts the learning situ— ation as relevant to his needs and thereby is motivated to study, to inquire, to experiment, and to relate new insights to his actual way of behaving in concrete work situations. The unique facet of roleplaying lies in active participation in the subject matter being studied through analyzing, ex- ploring, experimenting and actually trying out new solutions. Essential to its success in the learning process is the use of feedback by which others tell the roleplayer how his be- havior appeared to them or how they were affected by his behavior.51 For diagnostic or testing purposes roleplaying is the theoretically preferred procedure for the evaluation of complex interactive abilities. A roleplaying situation forces individuals to ”think on their feet" and interact with one or several others. It places an individual in a realistic situation where he responds holistically and dynamically to emotional, intellectual, and behavioral Sllbido I pp. 17-23. 61 elements occurring simultaneously or in close succession. By observing the executive engaged in spontaneous behavior and responding in a totalistic fashion, during a brief period of time observers can reach fairly accurate con- clusions about his abilities.52 Spontaneity training is closely allied to the basic cOncepts of roleplaying but yet focuses upon a different approach. The ultimate objectives are the same--to change their behavior, to improve performance—-but their approaches are different. Roleplaying employs an analytical approach by providing conditions for effective feedback, while spontaneity training emphasizes an action approach by pro- viding conditions for development of spontaneity.53 Figure 1 graphically illustrates the difference in approach. Spontaneity training is concerned with feelings. The act is more important than any pre—determined value judgment. Analysis is avoided. NOt what the executive should do but what he can do "here and now" is the guiding principle. Such training opens up possibilities for maxi— mizing the participant's effectiveness both as an actor and observer. "Overacting" is encouraged in the hope that participants will break from rigid patterns and attempt things they have not tried before. Through successful Ibid., pp. 136-137. Ibid.. p. 152. 62 APPLICATION TRAINING APPROACH Roleplayin n:{/////// Spontaneity training ANALYSIS ACTION provide conditions provide conditions for effective\ feedback for development of \ /Sp°ntaneity OBJECTIVE To change behavior To improve performance FIGURE 1 ROLEPLAYING AND SPONTANEITY TRAINING COMPARED* *Raymond Corsini, Malcolm Shaw and Robert R. Blake, Roleplaying in Business and Industry (New York: The Free Press of Glencoe, Inc., 1961), p. 152. 63 application of spontaneity training the idea of training "the whole man" can become a real and valid concept.54 One approach for facilitating the development of human relations understanding and skills is through sensi- tivity training. Such training directs attention toward increasing the executive's sensitivity to and knowledge about personal and interpersonal factors and their influence on thought and action. It aims toward assisting him in his efforts to act more effectively in different and changing interpersonal relationships.55 Here the core of the training experience is provided in small group meetings where individual participation is possible and free and open communication serves as the basis for productive learning. In conjunction with small group meetings related general sessions are usually held for the presentation of theories, film forums, and the like.56 Sensitivity training is based on the assumption that participants have within themselves the desire and potential for personal improvement. Therefore, having no part in telling participants to change or how to change, the trainer functions primarily to help create situations under which 54;pig.. pp. 158-161, 166. 55Robert Tannebaum, Fred Massarik and Irving R. weschler, Leadership and Organization: .A Behavioral Science Approach (New York: McGraw-Hill Book Company, Inc., 1961), p. 119. 56Ibid., p. 120. 64 the most effective growth and development can take place. The trainer's role also includes establishing a model of behavior, introducing new values, facilitating the flow of communications, and participating as an "expert" in the group.57 According to Robert Tannebaum, Fred Massarik and Irving Weschler, the goals of sensitivity training center around getting people not merely to think differently but also to feel and behave differently with reference to day- to—day handling of human problems. Sensitivity training seeks to develop: social sensitivity (empathy), behavioral or action flexibility, greater self-understanding, under— standing of others, insight into group process, recognition of the culture, and other specific behavioral skills.58 While still largely in an experimental stage. sensitivity training is primarily "process-oriented" as opposed to "content-oriented” in that emphasis is upon the emotional rather than the conceptual--learning by doing and feeling. The training design, while partly unstructured, allows a free, permissive atmosphere from which moralistic or judgmental attitudes are absent and insures a high level of participation and involvement. Essential to the small group meeting_is the introduction of a certain amount of 57Ibid., pp. 120, 135. 58Ibid., pp. 124-131. 65 frustration which jars participants out of complacency and forces them to change.59 Sensitivity training is that which Blansfield was suggesting when as an alternative to appraisal methods he urged management to provide the environment for executive self-development and the means to facilitate this growth. Blansfield defines sensitivity training as a "method in which the trainer acts primarily as a resource person help- ing the group to effectively handle the problems they (the group) decide they wish to tackle." The trainer aids them in understanding the emotional as well as the intellectual processes they experience; but in essence, the group learns from its own experiences. In utilizing such a training method Blansfield sug- gests the introduction of case studies as the preliminary, the warm-up, for the group's "coming to grips with itself and appraising and developing itself collectively and individually." The design of sensitivity training enables individual rates of progress and precludes the necessity of . . 6 haV1ng to develop separate programs for each executive. l Supervised training. The third element of Bennett's master plan--the very core of all executive development--is 591bid., pp. 132-133. 6OBlansfield,.9_p. cit., p. 24. 6llbid. 66 supervised or "on-the-job" training. As previously indi- cated in greater detail, it involves the concepts of guidance and direction at all times in an organized manner. In addition, it seeks to broaden the executive's experience beyond the confines of his "resident" position in accordance with some organized, deliberate plan of development. Another spokesman in the field of business and industry, Rex D. Boyd, discusses four techniques of execu- tive development which seem to reflect Bennett's element of supervised training. Boyd begins by affirming his acceptance of the basic premise that people learn by doing, that experi- ence is the greatest teacher, and that people develOp on the job by doing the job. His first technique involves the principle of delegation. Delegation not only means giving up control but also requires recognition of the principle of management by exception--i.e. trusting subordinates, after standards have been set, to bring to their superior's attention those cases needing the consideration of a superior. The subordinate, however, must have sufficient responsibility that presents a definite challenge to his judgment and initiative.62 Boyd's second technique is good supervision or coaching-—one of the two concepts which Bennett claims de— fines supervised training. As Bennett has said, here is 62Rex D. Boyd, "Planning the Development of Managers,‘ Public Personnel Review, 23: 90-91, April, 1962. 67 where top executives must regard the training, coaching, and helping of their subordinates as an important responsibility. It is the responsibility of the superior to create an ideal atmosphere of mutual confidence in which he coaches only when the subordinate directly or indirectly asks for help.63 Consistent with Bennett's methods of supervised training, the third feature of Boyd's development program is periodic appraisal of performance. Instead of evaluating personal qualities, attention is focused upon evaluation of actual performance on the job, with a consideration for work accomplished or not accomplished, the reasons for any failure, and a setting of goals for the future. With this approach the subordinate is more likely to recognize his shortcomings and develop the desire to overcome them. Thus in the appraisal process there is as much concern with motivation as there is for recognition of weaknesses.64 The fourth technique is acceleration of the process of developing executive skills by planning a greater-than— normal variety of experience. This can be accomplished through planned job rotation and special temporary assign- ments-—both of which are listed by Bennett as supervised training techniques. Although rotation experience has been 631bid., p. 91. 64Ibid. 68 chiefly employed in line jobs, specialists can profit by short assignments in work other than their specialty and even in staff jobs in positions of "assistant to" senior executives. Job rotation is a technique that boosts the morale of a capable, promising, ambitious person; for there is an opportunity to gain broader experience normally pro- vided at a slow pace through promotion. In addition, if job rotation is accompanied by careful placement under superiors who welcome it, the interest of top management in the development of its staff is overtly demonstrated.65 Thomas Davy and York Willbern describe the intern- ship period of field experience as an opportunity to form at least some of the attitudes, sensitivities, habits, and skills needed for eventual administrative leadership. They view its intellectual purpose as being similar to those of case analysis, roleplaying, problem-solving and other methods of demonstration, interpretation, and application. However, as Bennett has already pointed out, its distinct advantage is that experience is direct not vicarious, re- sponsibility actual not simulated, and understanding through concrete rather than abstract terms. Supervised training encourages the student to formulate his own hypotheses regarding administrative phenomena he observes by applying the processes_of deduction and induction. It provides for 6SIbido, pp. 91-92. 69 the acquisition of specific knowledge of functions and diversified operations not usually achieved through formal courses of instruction.66 Coaching as an executive development tool, as Bower points out, is easier to achieve and will bring positive results with a small investment in time and money for organizations that cannot afford a full-scale executive de- velopment program. Yet in most businesses both quality and quantity of supervision are lacking and few executive personnel spend time in sharing their experience with younger men. Nevertheless, with a little experience and practice most executives can become skillful coaches.67 According to John Pfiffner, coaching as an indi- vidualized approach to executive development demands that the executive become people-centered in his superior- subordinate relationship. A certain intimacy between him and his subordinates on an individual basis is required. One must be aware of oneself and of the attitude of others toward him. A goal of the executive is to perceive the motivations and sensibilities of others. However, Pfiffner claims that "the traditional American executive belief system has not been people-centered but, rather, has 66Thomas J. Davy and York Willbern, "Teaching Methods - Field Experience," in Sweeney, pp. cit., pp. 107- 109. 67Bower,p_p. cit., p. 70. 7O expected automatic conformity to officially set behavior patterns and goals." Therefore, the executive utilizing the new approach injects more human values into the process while still seeking fulfillment of his responsibility toward attaining organization goals.68 Pfiffner describes the role of the executive in the superior-subordinate relationship as primarily that of the "catalytic motivator." Such behavior is postulated upon psychological and sociological theories which describe moti- vation as coming from the group and from the individual him- self but possibly triggered by the skillful leader acting as a catalyst. The leader strives for a group atmosphere congenial to a desire for development and takes advantage of the devices of participation, consultation, and counsel- ing. While relying upon his formal power, he recognizes the need for social power or social acceptance on the part of the organization of the goals and the means by which those goals are to be achieved. He also must have personal ac- ceptance as a leader whose role has achieved a social ac- ceptance among his associates and subordinates. In other words, the leader must realize the essential truth of the Barnard—Simon concept of authority which in essence holds that the official leader has that authority which is 68John M. Pfiffner, "Superior-Subordinate Relation- ships and the Coaching Syndrome," University of Southern California, 1960. (Mimeographed.) 71 commensurate with his ability to secure compliance with his wishes and his orders. People follow him because they want to and not because of pressure from above.69 Included in the superior-subordinate relationship at the executive level is the assumption that there will be a strong element of instruction and teaching relative to the job itself. As Bennett has said, every executive at the next higher level becomes a teacher to his subordinates in the everyday work situation. The difficulty of such an approach at the executive level rests in the frequent ina- bility of the generalist executive to demonstrate in the areas of technical subjects or operations in which his subordinates are functional specialists. Moreover, Ernest Miller discusses the psychological blocks against accepting this intimate relationship between superior and subordinate at particular levels, especially among the older executives.70 The executive may apply the counseling technique during the period of supervised training. This could in- volve interviewing his subordinates by applying a "listening attitude.” The executive, refraining from admonition and 6?;pig.; also see C. I. Barnard, The Functions of the Executive (Cambridge: Harvard University Press, 1946)?— Herbert A. Simon, Administrative Behavior (New York: The Macmillan Company, 1960). 70Ernest C. Miller, "When the Coach Can't Coach," Personnel, 36: 35-41, NOvember-December, 1959. 72 criticism, seeks to have his subordinate bare his innermost feelings. Such an approach would tend to generate catharsis and stimulate self-analysis on the part of the subordinate, which, in turn, promotes and encourages self correction. The counselor meets situations calling for criticism by carefully phrased questions which induce further self- analysis and answers direct questions by challenging the subordinate to seek his own solutions.71 "A good candidate for an executive position is one who has been trained in adaptability and versatility to the extent of doing well under different men and in different departments."72 This reflects Planty and Freeston's view of job rotation as an essential part of every well-planned development program. Through rotation the individual who is being developed for executive responsibility serves with several different executives and learns to work well with all of them. Rotation avoids the danger of promoting a man to the executive level who has only demonstrated success in a single situation, in a single kind of work, or under a . . 7 Single regime. 71Pfiffner, "Superior—Subordinate Relationships and the Coaching Syndrome," loc. cit. 72Planty and Freeston, pp. cit., p. 186. 73:51.3. 73 According to Planty, Efferson and McCord, rotation training may be employed in cases where potential super- visors or even established supervisors need development in some particular function. They may then be assigned to work with another individual who is experienced in that function and who has the time and ability to pass on his superiority to others.74 Illustrating Bennett's concern for an organized, deliberate plan of development, a formal rotation program must satisfy several important conditions. There must be a definite scheduling of assignments designed to meet the particular needs of each individual trainee, along with the establishment of a pattern of progression to avoid the piling up of trainees in any one department. Those execu- tives responsible for this training must be given sufficient time for their teaching and must receive guidance in the organization and presentation of their material. There also must be Opportunity within the organization for the absorp- tion of these trainees into positions where their newly- acguired knowledge and techniques may be applied.75 Bower cautions against merely shifting men from one position to another without carrying with it real responsi— bility. "Just shuffling someone from one kind of boon- doggling assignment to another may increase his knowledge 74Planty, McCord and Efferson, pp. cit., p. 187. 75Ibid. 74 about the company, but it is not likely to develop his executive talent." Bower also points out that job rotation into line work can assist talented staff people in evalu- ating their interests, aptitudes, and abilities as a line executive.76 Summarizing the use of job rotation as a technique of increasing the individual's span of experience, Bennett advocates the employment of the method: (1) to enhance the executive's competence in his resident position, even though he has absolutely no ability to advance beyond that level; (2) as a means of preparing the individual having the potential for a higher position; and (3) to test out the executive whose promotional potential is in doubt.77 A number of companies have successfully experimented with the training technique of sharing executive decision— making with lower echelons of supervision. Such a method of on—the-job training is known as multiple-management. When the system is employed, the trainee experiences a sense of involvement in organization policy-making that contributes overall to the development of executive competence. He gains experience in how policies are developed as well as experi— ence in working as a member of a management team. Moreover, 76Bower, loc. cit. 77Bennett, pp, cit., p. 169. 75 _his participation results in greater awareness of the nature and complexity of the many management problems.78 Specifically, multiple-management involves the establishment of what some organizations call a junior board of directors. Such a board is composed of a group of selected supervisors, potential executives, and junior executives who are assigned real problems to review, re- search, and analyze. Reports of their findings, along with recommendations, are forwarded to the top executives who quite frequently accept and implement them. So that a number of trainees may participate, membership in the board usually rotates.79 Business and industry have recognized for many years the need for sound appraisals of executive performance. Arch Patton advocates what he calls the planned performance approach which aims at judging the relative performance of executives expressed in terms of their individual responsi— bilities. Such an approach establishes goals for the indi- vidual that are implicit in the job he holds and provides for judging performance in terms of these goals rather than by a purely mathematical measurement. Moreover, the planned performance approach relates these individual goals to the short and long-term goals of the organization. In other 78United States Civil Service Commission, Training the Supervisor (Washington, D. C.: United States Government Printing Office, 1956), p. 73. 791bia., pp. 73-74. 76 words, each individual executive is working toward the same agreed-on objectives of the organization and will be evalu- ated on how well he performs these tasks.80 Patton's planned performance approach presents several advantages to executive appraisal. The long and short-term objectives of the organization must become an integral part of the appraisal process. Since the job responsibilities of executives provide the basis for establishing individual goals, which in turn directs attention toward the interrelationships between job activi— ties; there is a more effective and realistic directing of individual effort. By first identifying the outstanding and poorest performers, then in pairs the second most out- standing and the second poorest, etc.; those eligible for promotion or merit recognition and those requiring training or elimination are easily discernible. Subjective criteria are replaced by objective criteria in that the individual's personality plays a less important part in the final evalu- ation of performance than his actions.81 Using such an appraisal approach the organization is forced to formulate objectives and review them constantly. The responsibilities involved in individual positions must. 80Arch Patton, "How_to Appraise Executive per- formance," Guideposts pp Executive Growth (Boston: Harvard Business Review, 1955-1962), p. 77. 81ibid., p. 82. 77 be studied and a determination made of their relative importance to the organization. The organization must set practical work tasks for individuals and hold them account- able for their achievement. Finally, in order to develop more effective executives the organization must take what— ever action that is called for by the information presented to it through the appraisal process.82 According to Harold Mayfield, appraisal is simply an attempt to think clearly about an individual's performance and future prospects against the background of his total work situation. Performance is appraisal through a descrip— tion of the individual's best work achievements, and future prospects are reviewed when superiors attempt to suggest jobs subordinates could perform if given the opportunity.83 However, in Mayfield's opinion appraisal is a pre— liminary to the progress interview. While each superior should appraise his subordinates periodically by reviewing each person's performance and potential, following this preparation he should talk with each subordinate. The immediate goal of such interviews is better understanding on 'both sides, and the ultimate goal is to discuss and effect a mutually agreed—on plan that will help the subordinate 82Ibid. 83Harold Mayfield, "In Defense of Performance Appraisal," Guideposts pp_Executive Growth (Boston: Harvard Business Review, 1955—1962), p. 101. 78 improve his effectiveness on his present job. More specifi- cally, the progress interview includes counseling for im- provement. Much of its content is not to be described in terms of problems, but rather the interview is an attempt toward understanding. The following are typical interview subjects in areas which are non-threatening.to either party: objectives, recognition of good work, suggestions for im- provement (on both sides), agreement on top priority job elements, clarification of responsibilities, verification or correction of rumors, personal long-range goals, etc.84 Pfiffner points out that most appraisal programs call for initial appraisal by a panel of three to five persons. For example, one method is to call upon a panel of five, of whom two are superiors and three are peers. These peers may be immediate associates of the individual being appraised, but two of them are outside the immediate work group who have had an opportunity to observe the individual.~ The appraisals are carried on separately and reported to the personnel officer of the division, who sets up an interview with the appraisal interviewer from the corporate management development office. The latter attempts to fill in gaps in the information in order to assure a well—rounded . 8 evaluation. 84Ibid., pp. 104-105. 85Pfiffner, "Executive Development: A Preliminary Exploration," loc. cit. 79 Similar to Mayfield's progress interview, Pfiffner suggests that an integral part of the appraisal process is the appraisal interview. In order to be helpful such inter— views must be scheduled at a particular time and place. The superior may begin the interview with a stimulating question aimed toward inducing the subordinate to discuss results of the appraisal from his standpoint. The superior maintains a listening attitude that eventually will induce catharsis and encourage the subordinate to come up with his own develop- mental plan which will correct his weaknesses indicated by the appraisal. At its best the interview becomes a dynamic interchange generating enthusiasm both on the part of the subordinate and his superior. Whatever the precise method of executive appraisal may be, Bower emphasizes the welcomed attitude displayed by most high-potential executive candidates toward regular appraisals. These men are anxious to know their own weak- nesses and discuss their performance with superiors. How- ever, most superiors, as Bennett has previously emphasized, are reluctant to make critically constructive appraisals of subordinates; for they believe subordinates resent criticism. Bower indicates how experience has shown that the superior who emphasizes coaching and actually discusses with his subordinates their work progress is both respected and liked. 86Pfiffner, "Superior-Subordinate Relationships and the Coaching Syndrome," loc. cit. 80 This is especially true if such coaching prompts the sub- ordinate into thinking about his own strengths and 87 weaknesses. Summary. The foregoing presentation and discussion of the background, assumptions, objectives, and values of executive development and the processes and techniques of executive selection, education, and training, as reflected in the literature of business and industry, are not to be construed as all—inclusive or even as the best representative of all available literature. Rather the foregoing review and analysis, conducted within the scope of Bennett's master plan for executive development, have been presented as a frame of reference for purposes of adjudging and comparing present police executive development programs and con- structing a theoretical model program for the police service. Generally, the brief review of the literature has supported Bennett's three key elements of executive de- velopment. When considering the selection process, Bennett spoke of "quality control" and Blansfield provided illus- tration by discussing the subjective selection of an "heir apparent." Similar to Bennett, Blansfield enumerated currently employed standardized selection techniques and warned against their limitations. However, he extended his discussion by including an approach to self-understanding 87Bower,pp. cit., pp. 70-71. 81 and self—development as an alternative to appraisal methods. Bower's suggestion regarding the better handling of execu— tive talent to insure availability was included, after which Andrews discussed the selection of men for university execu- tive programs. Selection of executives in terms of particu- lar target positions, as presented by Riegel, was summarized. Planty and Freeston's argument that no selection is necessary since all executives should be developed according to their present job needs concluded the discussion of executive selection. Bennett's second element——intellectual conditioning-- and his emphasis upon the executive's conception of his development within the profession were supported on the organizational level by DePhillips, Berliner and Cribbin with their philosophy of executive development as a state of mind or a way of business life. On the individual level, Summer's view of developing the "managerial mind" was pre— sented. Throughout Fisher's four stages of executive de- velopment, aspects of Bennett's theory appeared to be present. Planty, McCord and Efferson's objectives and sub- jective matter of intellectual conditioning were explored. In addition, the role of higher educational institutions in contributing to the development of executives was discussed by Davy, Reining and Andrews. Bennett's concept of a con- tinuing educational process also was emphasized by Davis. A discussion of equipping the functional specialist for 82 general administrative responsibility by Coke and Lederle followed, along with an extended presentation of specific methods of instruction advanced by Bent and McLean. Con— cluding the section on intellectual conditioning, three methods of instruction——roleplaying, sensitivity training, and spontaneity training—~were discussed at length. Boyd's four techniques of executive development were demonstrated to be consistent with Bennett's third ele— ment, supervised training, as were Davy and Willbern's views of field experience. Coaching, counseling, job rotation, multiple-management, and appraisal--all listed by Bennett as techniques or methods used to make supervised training more effective—-were discussed in the terms of such authors as Bower, Pfiffner, Patton, and Mayfield. While each of the three key elements of Bennett's master plan for executive development has been generally supported and/or illustrated by the authors included in this review of the literature of business and industry, no single author has embodied Bennett's total plan or possessed his breadth of vision in their concepts. Most of the authors were concerned with concentrating upon a particular technique or area without regard for a well-rounded, well—balanced program. It is this breadth of vision, this quality of meaningful simplicity, this concern for a coherent whole wherein lies Bennett's greatest contribution to the literature and his profession. 83 II. POLICE LITERATURE While there is a wealth of literature pertaining to executive development in business and industry, such is not the case within the police field. With the exception of a few notable works, existing police literature concerned with executive development or any related phases sheds little light upon the problems of planning and inaugurating an extensive executive development program within a police department. Such material also neglects discussing the identification, selection, appraisal, and development of police officers who possess potential executive abilities and who might be trained for future executive positions. Other than the few exceptions, the majority of police executive literature either is obsolete in meeting current police administrative needs or is generally classi— fiable as scattered articles and passing reflections. The scattered articles found in various law enforcement peri- odicals and journals usually consist of presentations of the accomplishments of individual police agencies discussed in rather unsophisticated, non-analytical terms. Although leading scholars within the field of police administration have not failed to underline the need for a well—developed, trained, and enlightened group of police executives to meet the complexities of modern police management, few have advanced any program for alleviating this need. 84 Some of these leading scholars and practitioners within police administration have voiced the need for police executive development in the following manner. Frank Day sees law enforcement "at the crossroads" after having reached adolescence. For it to reach the maturity of a professionalized service, the transition must be initiated by supervisory, command, and administrative officers. Since the quality of law enforcement is dependent on the "direction at the top," formal training--a requisite to efficient police administration--also must begin at the top. Today police administrators must recognize that training is essential for them and the future growth of policing. Day emphasizes that: A police leadership cooperating with higher education may cope with the future requirements of policing . . . The objective now must be in terms of administrative training for the higher ranks of today. Trained administrators will solve tomorrow's training pro- blems. It is not enough to train subordinates!88 According to A. C. Germann, the training of the police executive is of the utmost importance if the police service is to become professionalized. No training program for police personnel should overlook the executive or com- mand level; for if police executives fail to obtain advanced knowledge and techniques in policies and procedures, the education and training of the recruit, the specialist, and 88Frank D. Day, "Police Administrative Training," Journal pp Criminal Law, Criminology and Police Science, 47: 253, July-August, 1956. 85 the supervisor are nullified. Today effective administra- tion demands knowledge in organization and management, personnel, public and human relations, fiscal control, planning and research, and leadership. As long as entrance qualifications to the police service remain at a low level and lateral entrance to responsible positions is unaccepted, "the executive development program becomes a sine gpa non to organizational effectiveness."89 Germann also warns that without constant research and study the police executive will be embarrassed by find- ing his later-trained subordinates possessing skills and knowledge more advanced than his. According to Germann, the order of priority in in—service training should begin with the chief administrator and his executives and then extend down through the ranks to supervisors, senior officers, and finally to recruits. In light of the traditionally "closed" police system, he concludes that "it seems abortive to select high capacity recruits, present them with excellent training, and then stop at that point."90 Although it is contrary to general practice, Allen Gammage believes that formal training is as important for 89A. C. Germann, Police Personnel Management (Springfield, Illinois: Charles C. Thomas, Publisher, 1963), p. 132. 90A. C. Germann, "Hurdles to Professional Police Competence: IV. Failure to Exploit Pre-Service Training Resources," Police, 4: 26-28, September—October, 1959. 86 top police administrators as it is for first-line super- visors and middle managers. It is foolish to assume that previous experience and traininglunnasufficiently prepared a captain to perform effectively as a deputy chief or chief. However, few departments have the manpower, time, "know—how," and equipment to implement a formal executive training program, but "anything less would fail to satisfy the need." Nevertheless, police agencies must provide such training to the extent that their resources allow and must utilize pre—service preparation and outside facilities to fill the gaps.91 While much knowledge concerning administration may be acquired on-the-job, it is essential, according to John Klotter, that training in administration be made available. Since most administrators have been selected from the ranks and know only through personal experience those administra- tive policies within their department, formal training is requisite to the acquisition and practice of new techniques. Klotter points out that: At no time in the history of policing has there been greater need for the officer to pass on what he has learned to others. The police activity has become more and more specialized and trained men are 91Allen Z. Gammage, Police Training in the United States (Springfield, Illinois: Charles C. Thomas, Publisher, 1963), pp. 156—157. 87 necessary to effectively carry out the duties of the police agency.92 John Kenney reports that police executive development has been limited and is not generally available, even though the need for improved management is being recognized. Only the very large departments can provide and justify formal executive training; but all departments, however, can bene- fit from outside programs. Kenney comments that executive programs may derive assistance from those successful programs in the business field. According to him, the future of police executive development lies in a cooperative venture between many departments or state or national police associations. Selection. In contrast to the advancement oppor- tunities in business and industry for young men with ad- ministrative talents and executive potential, police organi- zations of the United States have long been characterized by traditional "closed shop" promotional and executive selection practices. Generally, police executives are 92John C. Klotter, Techniques for Police Instructors (Springfield, Illinois: Charles C. Thomas, Publisher, 1963), pp. 3, 154—155, 164. 93John P. Kenney, Police Management Planning (Springfield, Illinois: Charles C. Thomas, Publisher, 1959), PP. 86-87. 88 chosen "from the ranks" and such selection is even further limited within the specific agency. These selection practices caused Frank Sherwood to observe policemen as a social group composed of individuals who tend to associate with each other and share their pro- blems. The group association is accentuated by strong commitment to the closed promotion system, which is even supported by members at the top of the police hierarchy. Consequently, the interjection of "new life" into such an organization is difficult since those in positions of leader— ship came up through the ranks bringing with them all the learned bad habits as well as the good ones. Also, many officers, who are unable to move laterally into other cities, find the lack of promotional opportunities a real morale problem.94 The rigidity of civil service systems and procedures has largely been responsible for perpetuating the tradi- tional approach to police promotions and executive selection. Although designed to guard against political and police corruption and the "spoils system," civil service practices may prevent the chief police administrator from selecting and developing administrative talent. This situation prompted Bruce Smith to comment that: 94Frank M. Sherwood, "Roles of the City Manager and Police," Public Management, 41: 110-113, May, 1959. 89 One of the greatest handicaps suffered by the merit system as now practiced is that its mechanisms and processes are largely concerned with a personnel of mediocracy. Rarely is there provision for ways and means by which a real career in higher administra- tive posts can be quickly achieved by qualified men . . .95 An excuse often advanced today in favor of present procedures of civil service selection is that such pro- cedures allow "equal opportunity" while preserving the "demo— cratic principle." However, according to Edward Comber, in practice the appointing authority is the first to recognize that equal opportunity and the democratic principle are not adequate criteria for qualification. Indeed they are the least important. Rather the appointing authority directs his concern toward seeking the most qualified professional the community can afford.96 Discussing the traditional approach to police execu- tive selection, A. C. Germann points out that most police organizations lack a systematic, analytic method of dis- covering and developing executive talent. Instead, the trial and error method of selecting and placing executives is employed. Like Smith, he is concerned with the civil service system wherein the most promising individual is 95Bruce Smith, Police_§ystems in the United States (New York: Harper and Brothers, 1949), p. 335. 96Edward Comber, "Selection for What? The Long Range Goals," in Richard H. Blum (ed.), Police Selection (Springfield, Illinois: Charles C. Thomas, Publisher, 1964), pp. 205-206. 9O often by—passed in preference of another who has longer tenure or greater personal influence with the "oral board." Moreover, the common method of promotion may result in placing a thorough-going technician, a "policeman's police- man into a managerial position. Lack of preparation and/or aptitude for management responsibilities leads to failure or ineptness in the new position. However, since fewer checks are made or records kept regarding the performance of the new executive's diversified duties, the executive level is often a place of extended trial. Thus, because of the scope and importance of his activity over a lengthy period of time, the inferior executive can be greatly detrimental to the police agency. According to V. A. Leonard, public personnel manage— ment historically has been concerned with barring from service the unfit and products of the spoils system, but only recently has a policy of positive selection been adopted. Nevertheless, "the police service, with the ex- ception of a very few progressive jurisdictions, remains negatively oriented in its selection philosophy. . . ." Leonard continues by asserting that minimum entrance quali— fications and selection techniques are "substandard and are 97A. C. Germann, "The Executive Development of Police Administrators by Agency and College" (unpublished Master's thesis, University of Southern California, Los Angeles, 1955). pp. 33f. 91 not designed to recruit the kind of personnel that the nature of the modern police service demands."98 In the opinion of Comber, failure to provide a program designed to select and develop future mid-management and top level police administrators is one of the signifi- cant oversights associated with law enforcement. Comber be- lieves that: This lack of recognition of the need actively to train selected members to fill key management positions is a mark of administrative immaturity. Under the influence of current civil service practices law enforcement has been subject to the same short-sighted and indifferent approach to the selection of management personnel as it has experienced in the selection of recruits.99 With the selection of police executives from "up through the ranks," it follows that the education level ac- cepted for general police service generally reflects the minimum education level of the police administrators of to— day as well as those selected for executive positions in the future. Recruit educational requirements vary widely throughout the United States. There is evidence of police jurisdictions which employ illiterate police officers; other agencies which require only the ability to "read and write"; and still others that only require a grammar school edu— cation. However, the majority of police agencies now do 98V. A. Leonard, Police Organization and Management (Brooklyn: The Foundation Press, Inc., 1951), p. 105. 99Comber, pp. cit., p. 205. 92 require a high school education or its equivalent and there is a slow movement afoot toward elevating educational qualifications.lOO Increasing evidence indicates that many police officers and police management personnel are no longer con- tent to remain at the high school level of educational at— tainment but have pursued or are actively participating in advanced education and training before and after accepting employment with a police agency. The police literature re- flects the in-service training activities in many progressive jurisdictions and attests to well-attended police training institutes, seminars, and conferences. In spite of these training programs, John Peper claims that "we are still suffering along with the 'practical' policeman, who learns his precious little through his own limited experience."101 The police officers who have gained a high level of education largely through their own initiative so they may be equipped to discharge the responsibilities of their positions are still clearly in the minority within the larger system which, according to Smith, breeds mediocracy. Generally, the rank and file only expose themselves to such additional training only for purposes of passing the next 100Germann, Police Personnel Management, pp. cit., p. 23. 101John P. Peper, The Recruit Asks Some Qnestions (Springfield, Illinois: Charles C. Thomas, Publisher, 1954), P. 16. 93 civil service promotional examination to the next higher rank.102 Moreover, Leonard comments that "in—service training was never intended nor can it be expected to train men pro- fessionally for a given field."103 Yet, the police litera— ture tends to indicate that the majority of police agencies have limited their training programs, both on the super- visory and on the operational and technical levels, to such techniques. Still another obstacle to the selection and pro- motion of police officers who possess executive ability is the so-called police "seniority rights." The potential police recruit—executive development prospect must start his career at the bottom of the hierarchical ladder and serve a predetermined number of months or years, according to depart- mental or civil service regulation, before he is eligible for promotion to the lowest supervisory rank. The Inter- national City Managers' Association reports that the usual interval between eligibility for promotional examinations for the next higher rank is three years of service in the next lower position. Thus, the recruit with potential execu- tive ability must serve in a purely operational assignment 102George C. Winn, "A survey of Contemporary Execu— tive) Development Practices as Applied within the Municipal Police Function" (unpublished Master's thesis, University of Southern California, Los Angeles, 1959). 103Leonard,pp. cit., p. 4. 94 during this period where there is little opportunity to be- come familiar with the administrative techniques and problems of leadership, supervision, and human relations. These hurdles continue throughout the police officer's career as he progresses from the rank of patrolman to sergeant, to lieutenant, to captain, and deputy chief.104 Also contributing to the delay in executive se- lection is the lack of vacancies in lower supervisory positions. Such positions are frequently filled by personnel of little executive talent, who have progressed up the pro- motional ladder as far as their capabilities allow and are therefore content to remain and "wait out retirement."105 When contrasting the police versus the private enterprise approach to management personnel selection, the vastly different results of the traditional "closed shop" approach on the part of the police and the abundant re- sources of talent employed by business and industry are obvious. No rigid civil service requirements or forced se- lection within the specific organization hampers business and industry. Private enterprise may look for executive talent outside the organization and, once identified, may develop it as fast as it wishes. The preceding review of the literature of business and industry reflects executive 104Winn, loc. cit. lOSIbid. 95 development practices that aim at obtaining the best possible talent and the detailed, systematic application of personnel selection in terms of interests, aptitude, capa- bilities, and leadership potentials. Further comparison notes the variance between the entry level to future police executive assignment and the executive entry level requirements of modern business and industrial organizations, which in increasing numbers are actively recruiting their future management personnel directly from the college graduate level. In other words, the executive development candidate within business and industry has usually a thorough foundation as a result of a college degree prior to entry into the organization's executive development program. Such a candidate in most cases has been selected for executive training upon the basis of his individual management capabilities, as deter- mined by means of the best executive appraisal and testing techniques available. This has prompted George Winn to conclude: Thus, while the executive development candidate within business and industrial organizations may productively devote his time to the learning of the techniques of executive leadership, the ambitious police officer, if he contemplates additional college work after entry into the police service, must undertake such advanced training in competition with his routine daily Opera— tional assignments and his learning of the fundamentals of police work, or his participation in agency directed in—service police proficiency training program. lO6Ibid. 96 Before attempting to formulate a concise statement applicable to the selection process included within a pro- gram for police executive development, Leonard briefly con— siders executive qualifications. According to Leonard, the potential executive should have extended and successful police experience preferably characterized by service at every rank and ideally in each of the major functional divi— sions and bureaus of the department. This experience should be coupled with administrative capabilities, attributes of executive leadership, intelligence, good judgment, common sense, and the analytical approach of the scientifically- minded thinker. In addition, the potential candidate should exhibit audacity which is tempered with fine judgment and discrimination and should possess an interest in and regard for people.107 A significant study of police leadership and execu— tive selection has been recorded in the literature by Gilmore Spencer and Keith Jewell.108 Shortly after 0. W. Wilson was named Superintendent of the Chicago Police Department in 1960, an appraisal of various police officers was instituted by The McMurry Company-—a firm of management consultants with extensive experience in assessing executives 1O7Leonard,gp. cit., pp. 49-51 (1964 edition). 108Gilmore Spencer and Keith Jewell, "Police Leader- ship: A Research Study," The Police Chief, 30: 40-45, March, 1963. 97 for business and industry. The purpose of the appraisal was to serve as an aid to judgment in selecting men for pro- motion and transfer and in identifying potential executives of the future. The following is a summary of the study and its conclusions. Selected for appraisal were over 100 officers; of which men assigned as deputy superintendent, chief, and deputy chief were included along with 61 captains and 39 lieutenants. Assessments were made on the basis of a personal history form, several mental ability tests, Sentence Completion Test, Thematic Apperception Test, and a comprehensive patterned interview. After evaluating the officers as individuals, it was possible to study them as a group. The result of such an analysis produced a picture of the composite police officer. In summary, Spencer and Jewell found him to be: . . . a large man, with a generally good health record; active, out-going and sports-minded; unusually stable in terms of tenure; and a good family man who divides his time and interests primarily between job and home. In sociological terms, he comes from a lower middle— class background; has shown good upward mobility in reaching his present position; is proud of his achieve— ments; and is strongly identified with police work as a professional career. During the course of the study, efforts were made to determine numerically how many times various character traits and leadership skills were mentioned in the evaluation. 109Ibid., p. 41. 98 In the case of the "above average" police officer, self- confidence, industriousness, and ability to get along with others were mentioned most frequently. For the "average" officer industriousness and ability to get along with others were most frequently found, and lack of self-confidence was his most frequently mentioned shortcoming. As a result, it was concluded that potentials for advancement center to a great degree around personality factors which were related to self-confidence. The "above average" officer exhibits inner self-assurance and personal security; he is a leader within a structured and well—defined environment which de— mands a high degree or responsibility in implementing established policies and maintaining good relationships. When evaluating the officers for promotion and/or development, additional factors were found to be signifi- cant. Good health and energy--essential prerequisites to more demanding assignments-—were considered in each case. A determination was made regarding the strength of ambition and the eagerness for new responsibility and challenge. While there was little difference in levels of mental ability, the difference rested in how intelligence was used, which in turn is interrelated with other personality charac- teristics. A progressive forward—looking vieWpoint, com- bined with the ability to think in general administrative terms, was deemed important. The "above average" officer placed greater emphasis on formal education and had 99 progressed further academically. He also was adjudged to have better interpersonal skills. During the course of their study Spencer and Jewell sought to compare the police officers with business execu- tives. Two major differences were noted. First, the typical executive is rarely exposed to crime or misfortune. He is surrounded by successful peOple and is preoccupied by his own self-centered achievement drive. The police officer, on the other hand, has been exposed to the world of crime and misfortune. Having marked social service values, he reveals feelings of sympathy and helpfulness toward the unfortunate. Secondly, Spencer and Jewell characterize the business executive as concentrating upon personal self— expression and individual achievement within the framework of competitive performance for material rewards. Avoiding total commitment to any one organization, he transfers his loyalty to another company when opportunity arises. The police officer, however, is involved to an unusual degree in his work. Since he is officially on duty twenty-four hours a day and may work various shifts, there is little time for outside interests. Belonging to a police department demands abdication of personal goals conflicting with those of the department. The result is strong loyalty and dedication to the police profession and a deep concern for the reputation and public image of the department. lOO Intellectual conditioning. In recent years a number of writers contributing to the police literature have been concerned with the "intellectual conditioning" phase of developing police executives. According to Leonard, nothing is more complex and technical within an enterprise than its organization and administration. However, "there is a wide gap between mere leadership ability and adminis- trative 'knowehow' that must be bridged." Without mastery of the developed principles within the field of organization and administration, the police chief executive cannot hope to adequately fulfill his responsibilities.110 Besides utilizing the principles of organization and administration, Leonard would employ the subjects of mili- tary science in an executive development program. The police executive should be trained in the principles of strategy, tactics, patrol, command, organization, span of control, combat, communications, and intelligence.111 According to Klotter, the classroom, bookish com- ponent of training in administration should include the following basic courses: Principles of Police Adminis- tration, Principles of Police Organization, Police Manage- ment, Police Personnel Management, Coordination with Other Agencies, Problems of the Police Administrator, The Police 110Leonard,pp. cit., pp. 120—121 (1964 edition). 111ibid., p. 121. 101 and the Public. Also, the police executive should acquire knowledge of laws that determine the authority of the police agency, knowledge of effectively training others and com- municating with others, and understanding of human behavior.112 In a study conducted by Allen Bristow, interviews with various police chiefs indicated the importance of decision-making ability as a prime requisite for the police administrator. Few chiefs, however, were aware of the techniques they themselves use or familiar with written decision techniques that might be applicable to police pro— blems. As a result of his study, Bristow advances the following curriculum for police decision—making: Preliminary Subjects Police Administration Supervision and Management Skills Introduction to Data Processing Methods City, County and State Government- Methods of Social Research Statistics ' Public Relations Techniques Administrative Law Psychology of the Group Public Finance WOrk Simplification Logic Primary Subjects Game Theory Brainstorming Basic Decision-making Techniques113 112Klotter,_gp. cit., PP. 164—165. 113Allen P. Bristow and E. C. Gabard, Decision-Making in Police Administration (Springfield, Illinois: Charles C. Thomas, Publisher, 1961), pp. 111-112. 102 An executive training technique employed to promote intellectual conditioning is the conference method. Ac— cording to Dan Hollingsworth, the conference method provides training in the art of thinking, reasoning, and decision- making by bringing together a group of police officers "for the express purpose of discussing, analyzing, weighing and making recommendations for the best method of establishing best police procedures, and coming up with definite con- clusions and agreements."114 Germann warns, however, that the conference method in the police service may be severely handicapped due to the secretness of police executives. The "Caesar" complex is not known to police administrators, who tend to ration— alize that certain information pertaining to the organi- zation should remain secret.115 Nonetheless, Hollingsworth believes that the confer— ence method has great potential for police executive development. He states that: The conference method would be most effective in police service, for the knowledge on the part of the police- man that his opinions and judgments are important and valuable to the department gives him the feeling of be- longing and sharing responsibility that no other method Could develOp. . . . One of the most fruitful fields in 114Dan Hollingsworth, "The Conference Method--A Stimulant for Police Management and Training," Police, 11: 18, September-October, 1957. 115A. C. Germann, Police Executive Development (Springfield, Illinois: Charles C. Thomas, Publisher, 1962), p. 41. 103 which to discover, train and season potential super- visors in the police department is in the conference room. Not to be overlooked is the value of police- men working together on the same problem, working as a team, coming out with agreed conclusions, learning to think their way through problems, and have their .thinking challenged and rising to its defense.116 The conference method for supervisory training of sergeants and lieutenants was inaugurated in 1946 by the Los Angeles Police Department, marking the beginning of its extensive use by a police agency. Several years ago the Los Angeles department employed the conference method to determine the need for developing and implementing super- visory and executive training programs. The number of persons to be trained exceeded 600; of which 400 were sergeants, 200 lieutenants and captains, and 20 inspectors and deputy chiefs.117 The planning process began with a study of past periodic supervisory training programsconducted by the department, at which time their content inadequacies were noted. The methods and experiences of other police agencies were examined but proved of little help. Assistance was requested and obtained from training officers of the local telephone company, the gas company, an aircraft 116Hollingsworth, loc. cit. 117Louis Sunyich, "An Analysis of the Supervisory and Executive Training Program of the Los Angeles Police Department" (a report presented to the faculty of the School of Public Administration, University of Southern California, Los Angeles, February, 1960). 104 manufacturer, and a container fabricator. The University of Southern California also assisted. Each person of command rank within the department was asked to submit what he considered important for inclusion in the training program. Course content was sought through a series of problem-seeking conferences, starting with the patrolman's level and working upward through the deputy chiefs. In preparation for the first conference questions were con- structed by the conference leader, such as: Why do you consider some supervisors better than others? What do you expect from a supervisor? Do you think sergeants have enough knowledge of the work they supervise? What do you think the job of sergeant encompasses? These types of questions were prepared for each of the conferences and were designed to stimulate participation by the conferees if case discussion lagged or it was believed that points of interest might be overlooked. The "unguided" conference technique was utilized, i.e. the conferee was permitted to make any comments in the general field with which the conference was concerned. Conferees were encouraged to be objective and make any com- ments with a complete feeling of freedom of expression. A free response method technique was used wherein each man was asked to write on individual slips of paper (thus assuring anonymity) those things which he felt constituted the job of sergeant, etc., without reference or benefit to a general 105 conference discussion. Later in each conference buzz sessions were devoted to the responses made on such slips. The first conference of fifteen selected patrolmen lasted two days, the second conference of sergeants and the third conference of lieutenants each lasted three days, the fourth conference of captains lasted three days, and the fifth conference of inspectors took four and one-half days. Throughout the conference periods the deputy chiefs met periodically to review the conference summaries, conclusions, and areas of agreement. Briefly, the patrolmen, sergeants, and lieutenants concentrated upon defining problems and departmental needs; the captains were asked to delete the problems determined by their subordinates which could be researched and become a part of supervisory training; and the inspectors devoted their discussions to topics presented in the captains' conference. As a result of the planning conferences, it was decided to launch the training for command and staff offi— cers first, followed by lieutenants, and then by sergeants so that support, enthusiasm, and dedication would permeate throughout all supervisory personnel of the department. Another technique of intellectual conditioning which is seen as a new police training tool by Rolland Soule is roleplaying. Soule defines the technique as a method of instruction wherein incidents based on real—life police, public, and criminal situations are re—enacted by trainees 106 who are playing roles but making their own decisions in how these roles should evolve. Roleplaying provides a close-to- reality basis for personal understanding and an opportunity for group training and discussion. In addition, it allows prediction of future performance in a real situation by observance of behavior under quasi—real conditions.118 Soule lists the following uses to which roleplaying may be applied: (1) training in leadership and human relations skills, (2) training in sensitivity to people and situations, (3) stimulation of discussion, (4) training in more effective group problem-solving, and (5) teaching certain subjects.119 There has been a gradual recognition by the oper- ating police field, as evidenced by recent police literature, that universities and colleges have a significant contri- bution to make to law enforcement. As the demand for a professional police service has increased, more and more police departments have looked to college and university resources. Prior to 1916 there was no opportunity for formal college and university police training in the United States. The only type of police technical training, other than 118Rolland L. Soule, "Role Playing--A New Police Training Tool," Police, 19: 19-22, March-April, 1960. llglbid. 107 in-service, offered at that time was through private corre- spondence schools, professional and vocational journals, and a few worthwhile books. Schools were primarily concerned with the training of identification experts. Police and allied professional journals rendered the most valuable educative service in the advancement of new experiences and ideas and first advocated higher education in law enforcement.120 According to Allen Gammage, college and university preparation for the police service has progressed beyond mere speculation or wishful thinking. He states that: On the one hand, many progressive college and uni- versity administrators are now convinced of their responsibility to provide professional programs in police science, police administration, and cor- rections. On the other hand, police administrators, realizing that in—service training programs are limited in scope and constrained by budgetary con- siderations, are turning to the logical alternative, effective pie-service college and university training.l Presently, such pre—service and advanced training is available through junior colleges, senior colleges, and university programs conducted by both private and public educational institutions. Ninety-five of such educational institutions in 29 states and the District of Columbia offer 204 programs leading to academic degrees. Two-year programs which prepare_students for transfer to four—year programs 120Gammage, pp. cit., p. 60. 1211bid., p. 93. 108 or which offer the Associate of Arts (A.A.) degree are found in 49 institutions in 7 states. Four-year programs leading to the baccalaureate degree (B.S., B.A.) are conducted by 39 institutions in 25 states and the District of Columbia. Graduate programs culminating in the Master's and Doctorial degrees are presented by 30 institutions in 20 states and the District of Columbia.122 The School of Police Administration and Public Safety in the College of Social Sciences of Michigan State University is one of the largest university programs in the nation in enrollment and offers the most comprehensive curricula. Established in 1935 in cooperation with the Michigan State Police, it became the first four-year, degree- granting program offered by a separate department in a major university. Today there are four areas of study in the police field—-Law Enforcement Administration, Criminalistics, The Prevention and Control of Delinquency and Crime, and Highway Traffic Administration--and two in related areas, namely Correctional Administration and Industrial Security Administration. Undergraduate and graduate study leading to the bachelor's and master's degrees (B.S., M.S.) is offered in each of these areas.123 122Ibidu pp. 93—94. 123A. F. Brandstatter, “Winds of Change" (an address presented to the Law Enforcement Administrators' Seminar, Kellogg Center, Michigan State University, March 5, 1964). 109 Contrasted to police academy-type programs, the Michigan State University undergraduate program is developed on a broad and fundamental basis; including a minimum number of courses in the social sciences, natural sciences, and humanities, which are supplemented by additional required courses in liberal arts and social sciences. Such require— ments provide a broad, general educational base upon which is built an historical, sociological, psychological, and political appreciation of the administration of criminal justice with a focus upon law enforcement. Enrollment for the last several years has been slightly under 400 students, the majority of whom are majoring in the law enforcement administration curriculum.124 Instituted in 1954, a most unique approach to college training in the police field was established jointly by the Baruch School of Business and Public Administration of the City College of New York and the Police Department of the City of New York. In this program there is demon— strated the most complete cooperative effort on the part of a police department and college which has to date been attempted. The Police Science Program, designed to achieve "effective law enforcement, intensive professional training for police service, development of the qualities of leader- ship, and fostering of ideals of professional achievement in 124Ibid. 110 the public service," has evolved in three phases. In 1955 the two-year program leading to the Associate in Applied Science degree was established. A year later the graduate program leading to the degree of Master of Public Adminis- tration was inaugurated in order to encourage advanced study on the part of the over 1000 baccalaureate degree holders in the department at that time. The last phase, instituted in 1957, provided a four-year baccalaureate program leading to the B.B.A. degree in police science.125 The equal partnership in this educational venture between the Baruch School and the New York City Police Department is a unique aspect of the program. The Command- ing officer of the police academy is designated an Assistant Dean of the College. The ruling body of the program is the Joint Committee on Curriculum and Personnel, which is com- posed of three members of the Baruch School and three mem- bers Of the Police Department. The program is an integral unit in The City University under the Board of Higher Education.126 The entire program was designed especially for and entrance limited to those people actively engaged in the police field. -Instructors for all police science courses 125James B. Meehan, "Police Participation in the College Training of Police," Police, 8: 24, March-April, 1964. 126ibid. 111 are active members of the New York City Police Department holding the rank of sergeant or lieutenant and possessing at least a baccalaureate degree. These instructors have been accredited as lecturers at The City College by the Board of Higher Education. The City College provides the faCUItY for the "background“ or typical college courses.127 During the eight years in which the program has been in operation, a total of 487 degrees have been granted; in- cluding 392 associate degrees, 47 baccalaureate degrees, and 48 master's degrees.128 Emphasizing the need for such cooperative effort in the area of police training as has been exemplified in the foregoing example, J. Edgar Hoover recently pointed out that: Progress is a product of cooperative effort. It is vital then that law enforcement, colleges and uni- versities, business and professional leaders, and local governments join forces to field a professional striking force in the unconditional war against crime. More States should be making available es- sential police training. More universities and col— leges should be initiating and increasing courses of study oriented toward the development of a career police profession. Law enforcement must raise its sights, broaden its outlook, and insist on a higher caliber of performance.12 When discussing the external versus the internal departmental approach to the intellectual development of l27Ibid., pp. 24-25. 128Ibid., p. 26. IZQJ. Edgar Hoover, WA Message from the Director," FBI Law Enforcement Bulletin, 33: 2, May, 1964. 112 police executives, Arthur Brandstatter, Director of the Michigan State University program, favors the external ap- proach primarily because of its concern for the broad problems of society as opposed to the problems of the indi- vidual department. According to Brandstatter,-the external approach not only deals with the problems of a particular department and of police service in general, but also with problems, basically sociological in origin, confronting the community and society. The external approach also permits utilization of the resources of colleges and universities that are concerned with world problems. The external ap— proach enables the bringing together of greater potential ability and greater resources. It avoids the danger of police officers dealing only with other police officers by introducing other points of View and considering the com- munity problems of peOple outside the field of law enforcement.130 The benefits derived from college and university professional education are manifold. Each educational institution is literally a group of scholars and experts who have organized for instruction and study for purposes of sharing individual training, knowledge, and experience. A university setting provides the best of laboratories wherein 130A. F. Brandstatter, "Discussion: Developing the Police Executive," The Police Yearbook (Washington, D. C.: International Association of Chiefs of Police, Inc., 1962), p. 217. 113 students work with and learn from and about people. College law enforcement training fills the gap between high school and productive employment—-a period of growing up in which rapid mental and psychological changes are occurring. More— over, a college education trains police officers and pro- spective police officers to think by developing "mental muscles" for use when they are actually needed in work situations.131 From all indications, the role of colleges and uni- versities in the training of police officers will continue to grow in significance as long as the professionalization of the police service continues. As Leonard has said: The full implications of professional police training at the university level in terms of sound public policy can best be understood from the Standpoint of results. As these men, university trained for a technical job, move upward on the scale of management to positions where they can influence police and administration, the cities (counties and states) of this nation will begin to receive the caliber of police service to which they are entitled.132 In contrast to the deep concern for intellectual conditioning by colleges and universities, there are those who advocate the elevation of the police service to pro- fessional status but yet at the same time contend that col- lege training of police personnel is unnecessary. For 131Gammage,p_p. cit., pp. 108-109. 132V. A- Leonard, "University Training for the Police Profession," Encyclopedia pp Criminology (New York: The Philosophical Library, 1949), p. 503. 114 example, Charles Sloane has said that "it is fallacious to presume that the various phases of police work cannot be done by men with a minimum education of high school graduation."133 Another author, Thomas Frost, states that "except for certain specialized positions in the police department, a college degree is not necessary. In fact, a person with a college education is in grave danger of becoming frustrated."134 But, in response to these statements and others of a similar nature, Germann replies: . . . there is as great a logic in requiring a col— lege degree for the local law enforcement officer as there is for the federal agent. Why? For two major reasons: first, his duties and responsi- bilities as a policeman pp professional stature de- mand it; and second, his duties and responsibilities as a supervisor pp administrator 9; professional stature demand it. One can only agree if he truly believes that the police service should be of pro- fessional stature . . . if the police recruit of to- day is to be chief of police tomorrow, his prepa- ration must be the finest and the eduCational quali- fication must be related to that top position, as well as to the needs . . . at the patrolman level. calls for raising the educational requirement for patrolmen to an Associate of Arts (two years of col— lege), or to a Baccalaureate degree (four years of college) would, we think, be supported by public administrators, the Bar Association, academicians, 133Charles F. Sloane, "Police Professionalism." Journal pp Ciminal Law, Criminology and Police Science, 45: 78, May-June, 1954. 134ThomasFrost, “Selection Methods for Police Recruits," Journal 2; Criminal Law, Criminology and Police Science, 46: 137, May-June, 1955. 115 and citizens with but little opposition. In all probability, we think the most strident Opposed voices would come from within the police service it— self. If this is true, it is directly contrary to the very broadly proclaimed desire for professional status--for one cannot carry the banner for a pro— fessional police service and, at the same time, dis- claim the need for a high educational qualification.135 Supervised training. Executive appraisals, defined and advanced as a technique of supervised or on—the—job training by Bennett, vary within the police service, but ac- cording to Germann fall into one of two categories--the individual rating method and the collective appraisal method or multiple interview. To aid in the appraisal process the police agency should maintain basic personnel records, utilize "gap" sheets to record deficiencies in training, and employ an executive appraisal system with follow-up counsel- ing. The "gap"sheet for the police agency is constructed to reveal the experiential, in—service training, and formal educational mandates for each grade and executive position so it may serve as a means for evaluation and as a form for . . . 136 training recommendations. According to Germann, an area deserving considerable attention in the police service is counseling following 135Germann, "Hurdles to Professional Police Compe- tence," loc. cit. 136Germann, Police Executive Development, pp. cit., pp. 34—35. 116 executive appraisal and evaluation. Also, the police service might profit from the "bottom-up" appraisal method in which subordinates rate superiors.137 A study conducted by Allen Bristow provides some insight into the use of appraisals or performance ratings by police departments. One hundred twenty—six state, county, municipal, and special district law enforcement agencies, all serving jurisdictions over 50,000 in population, re— sponded to Bristow's survey of training in techniques of rating. An unusually large number of those agencies have no established training program for performance raters. State agencies tend to lead the others in the establishment of performance rating systems as well as in training of raters, and the percentage of agencies within California and Michigan exceed the other regions in providing such training. The primary objective of the training, as mentioned by the majority of the responding agencies, is focused upon uniform definition of traits listed on the evaluation form. The least mentioned objective is the development of skills in post-rating interviews.138 Job rotation, another technique that is achieved through direct experience, has been employed by a few police 137Ibid., p. 36. 138Allen P. Bristow, "Training in the Evaluation of Police Personnel," Police, 5: 18—19, November-December, 1960. 117 departments, but Germann concludes that it is not at present an accepted standard practice. Although personnel movement within a police agency is a continual process, too often Germann has found the police executive who has spent the greater part of his experience within one specialized bureau or division. Job rotation, however, may provide great bene- fit to both the police executive and the police agency by: (l) (2) (3) (4) (5) (6) providing the individual police executive with orientation and insight into the nature of the responsibilities of other executive positions, and assisting him in identifying his own position in the total organizational structure; having a broadening effect, which minimizes the narrowing effects of specialization; eliminating assumptions of "vested right" in positions; providing experience, which, if lacking, may prevent the executive's promotion or transfer; providing a means of testing the executive's ability prior to consideration for promotion or transfer; introducing new management techniques as the "sacred cows" are replaced with "new blood."139 Summary. Although there is little within the police literature that is concerned with police executive de- velopment, an attempt has been made to briefly present the passing reflections of the leading scholars and practitioners 139 Germann, Police Executive Development, pp. cit., pp. 40-41. 118 and to summarize recorded trends and executive training techniques. Using Bennett's model program for executive de- velopment as a guide to presenting the police literature, the traditional "closed shop“ police promotional and execu- tive selection practices were discussed in conjunction with the rigidity of civil service systems. The selection of police executives from up through the ranks focused at- tention upon the often substandard educational qualifications for entrance into the police service. Police "seniority rights" were recognized as a continual hurdle throughout the police officer's career and as an obstacle to the advance- ment of officers with potential executive abilities. Sig- nificant differences were noted when contrasting the police versus the private enterprise approach to management personnel selection. Executive qualifications necessary to potential candidates were presented, and a study of police leadership and executive selection within the Chicago Police Department concluded the discussion of police selection practices. The intellectual conditioning phase of police execu- tive development was discussed in terms of basic curriculum courses for future administrators. The conference method as it may be applied in the executive training program was advanced as an intellectual conditioning technique. An illustration of its use by the Los Angeles Police Department 119 was included. Also presented was a brief discussion of roleplaying as a new police training tool. Concluding the discussion was a view toward the role that colleges and uni- versities may assume in the intellectual conditioning of police officers and potential police executives. The techniques of executive appraisal and job rotation were presented as methods of supervised training for executive personnel. The results of a study by Bristow regarding training in the techniques of performance rating provided insight into the use of appraisals by police departments. Although employed by only a few departments, the supervised training technique of job rotation was con- sidered, along with a View toward its potential contribution to the police service. In marked contrast to the review of the executive development literature of business and industry, the three key elements of Bennett's master plan for executive de— velopment have only been scantily supported and/or illus- trated by the police literature. What is noticably lacking is any type of theoretical or practical program to meet the need for well—developed, trained police executives. While leading scholars and police practitioners recognize the necessity for training all police officers in order for the police service to achieve full professionalism, none have recorded and seriously advanced any solution to the problem of developing the police administrators of both today and tomorrow. CHAPTER IV THE SURVEY I. METHODOLOGY In order to determine the type and quantity of police executive development practices presently being em— ployed, a survey of the police departments serving cities over 500,000 in population throughout the country was attempted. The survey was limited to cities of such size in that it was assumed that executive development programs would be more prevalent in populous localities. Although a department of any size would benefit from executive de- velOpment practices and the use of specialists in such areas, for example, as training, planning and research, and criminalistics; the need for executive talent of sufficient quantity and quality is especially recognizable and more easily justifiable in the larger cities. It was assumed that in the smaller jurisdictions the formal application of executive development practices would tend to be prohibited due to an insufficient number of executive personnel and limited financial resources. 121 Through the use of questionnaires and accompanying letters of explanation,1 twenty police departments through— out the United States were contacted. These departments included those of New York City, Los Angeles, Philadelphia, Detroit, Baltimore, Houston, Cleveland, Washington, D. C., St. Louis, Milwaukee, San Francisco, Boston, Dallas, New Orleans, Pittsburg, San Antonio, San Diego, Seattle, Buffalo and Cincinnati. The Chicago Police Department was contacted through a series of interviews, the results of which are discussed in the case study following this chapter. Only nine of the twenty departments contacted by means of the questionnaire answered. II. DATA OBTAINED According to the responding police departments, eight to four hundred thirty-nine individuals fill execu- tive positions in each department, the average having forty— two executives. Since the letter accompanying the question— naire clearly defined the term "executive" as being appli— cable only to the administrators or top-level command personnel of a department, it is assumed that those in executive positions of the responding departments include the chief, deputy or assistant chief, inspectors (command), lSee Appendices A and B. 122 commanders, bureau or division heads, and district or precinct commanders. Of the nine responding departments, only New York City, Detroit, and New Orleans affirmatively asserted that they currently have in effect a fully planned, organized, and functioning executive development program. None of the remaining six departments reported any plans to initiate such a program in the near future. The responding departments reported the following as major factors preventing or restricting the utilization of a formal executive develOpment program: budgetary limitations (reported by three departments), manpower short- age (three departments), need for executive development not established as having a high priority (one department), executives trained through own efforts (four departments), length of experience required before selection for execu- tive training (one department). When asked to report the present methods utilized in selecting personnel to fill positions of executive responsibility, eight of the nine responding departments indicated some degree of selection by the chief adminis— trator. Six departments reported the use of merit- performance rating, seven indicated that civil service examination influenced the decision, six reported selection as based in part on demonstrated supervisory and leadership ability, four included consideration Of tenure of service, 123 TABLE I FACTORS PREVENTING OR RESTRICTING UTILIZATION OF A FORMAL EXECUTIVE DEVELOPMENT PROGRAM Police Survey Question #3 Department (3a) (3b) (3C) (3d) (3e) (3f) New York City X Detroit Baltimore Washington D.C. X X San Francisco Dallas X X New Orleans X X X San Diego X Cincinnati X X X (3a) Budgetary limitations (3b) Civil Service (3c) Executives trained through own efforts (3d) Manpower shortage (3e) Need for executive develOpment not established (3f) Other 124 three departments reported the importance of educational achievements, and two departments also considered per- formance in training courses. Of significance is the fact that all responding departments reported the application of more than one method of selection. More specifically, the New York City Police De— partment reported that promotion to the rank of captain is attained by successful competition in civil service examin— ations and a record of sequential competent performance in the lower ranks. From the rank of captain, the chief administrator selects those to be detailed to higher execu— tive ranks by their demonstrated supervisory and leadership ability, their merit—performance rating, and efforts at self-improvement through educational achievement and developed specialized competencies. Similarly, the police departments of Baltimore, Washington, D. C., New Orleans, San Diego, Cincinnati, and San Francisco select their captains from the ranks through civil service examination and records of competent per— formance and achievement. However, Baltimore executives holding the title of inspector, San Francisco executives holding ranks above captain, and Washington, D. C. in- spectors and deputy chiefs are appointed solely by the police commissioner. Mention of seniority consideration was made by San Diego and Cincinnati. The Detroit Police De— partment and the Dallas Police Department indicated selection 125 by the chief administrator as the only method of filling positions of executive responsibility, while Cincinnati was the only responding department to omit any indication that the chief administrator selects or helps select his executives. Responding to the question regarding selection of personnel to receive executive development and/or manage- ment training, New Orleans reported that final selection of recommended, qualified men is made by a special departmental committee, with a competitive examination administered in the event of a large number of applicants. Cincinnati and San Diego indicated that selection is dependent upon the individual's need in relation to his present or anticipated assignment. Washington, D. C. and Dallas claimed selection on demonstrated ability or potential based on performance and aptitude. Some type of in—service training for each specific rank, including those filling executive positions, is provided to all members of each rank by the Detroit Police Department. The New York City Department of Personnel has established criteria defining the "executive" as one who combines considerable responsibility with a policy—making role. In the New York City Police Department the lowest rank to which this definition is applicable is the deputy inspector, although a few captains with particularly im— portant responsibilities and/or highly specialized 126 TABLE II TECHNIQUES OF SELECTION IN FILLING POSITIONS OF EXECUTIVE RESPONSIBILITY Survey Question #4 (4h) Police Department (4a) (4b); (4c) 1(4d) (4e) <4f) .(49) (4h) New York City x x x x x x x Detroit X Baltimore X X X X X X X X Washington, D. C. X X X San Francisco X X X X Dallas X X X New Orleans X X X X X X San Diego X X X X X X X Cincinnati X X X (4a) Civil Service Examination (4b) Demonstrated Supervisory ability (4c) Educational achievements (4d) Leadership ability (4e) Merit-performance rating (4f) Performance in training courses (4g) Selection by Chief Administrator(s) Tenure of Service 127 assignments are included. These individuals participate in an executive development program for fifteen weeks, two sessions a week, three hours a session. Participants, limited to forty persons a semester, twenty to a session, at— tend this course on their own time. The program, conducted as a series of conferences, seeks to interpret present think- ing and research on current organization planning and ad- ministration processes and encourages participants to make improvements in their procedures, their processes, and in themselves. Among the most common resources outside the police departments which are utilized in the training of personnel for executive positions, as indicated by the responding de— partments, are the Federal Bureau of Investigation National Academy, the Northwestern University Traffic Institute, Southern Police Institute of the University of Louisville, the University of Southern California Delinquency Control Institute, and Michigan State University. Use of colleges and universities within the departments' localities also were listed; e.g. Wayne State University, Detroit; New York University and the City College of New York; San Diego State College; American University, Washington, D. C.: University of Maryland; Louisiana State University and Loyola University, New Orleans. Those selected to utilize such resources hold the rank of sergeant or above. 128 Various executive training techniques were listed by the responding departments.: Committee participation not confined to the department was reported by New York City, Baltimore, New Orleans, and Cincinnati. The type of com- mittees included civic and government groups, safety com— mittees, and supervisory groups. Five of the eight departments responding to the question regarding executive training techniques indicated training through departmental conference participation in the form of staff meetings. Only Detroit and New York City reported the use of specific departmental executive management courses. Regarding in—service executive training, New York City discussed its programs in conjunction with New York University and the City College of New York. Detroit again referred to its attendance at Northwestern University Traffic Institute, the Federal Bureau of Investigation National Academy, and the Police—Community Relations Insti— tute at Michigan State University. San Francisco reported participation in the courses of the California Commission on Peace Officers' Training and Standards. San Diego claimed participation in every local institute dealing with law enforcement as they are offered. While the Cincinnati Police Academy offers in—service command training; a few members of the department have also attended Northwestern University Traffic Institute, Southern Police Institute, 129 TABLE III RESOURCES OUTSIDE DEPARTMENT UTILIZED IN TRAINING EXECUTIVES Police Survey Question #6 Department <6a) (6b) (6c) (6d) (6e) (6:) New York City X X Detroit X X Baltimore X X X X Washington, D. C. X X X San Francisco Dallas X X X X New Orleans X X X ,X San Diego X X X Cincinnati X X X X .X (6a) Federal Bureau of Investigation National Academy (6b) Northwestern University Traffic Institute (6c) Southern Police Institute, University of Louisville (6d) Michigan State University (6e) University of Southern California Delinquency Control Institute (6f) Local college or university 130 and University of Southern California Delinquency Control Institute. Job rotation is a technique employed by New York City, New Orleans, and Cincinnati. In New York City job rotation--controlled by promotion, transfer, or specialized assignment--occurs as the needs of the service require and as the potential executive's skills are discovered or enhanced by academic training and/or experience. Job rota— tion occurs annually or biennually in New Orleans and is supervised personally by the chief administrator and execu- tive responsible for administrative services. In Cincinnati job rotation occurs only on a need basis and also is con- trolled by the chief administrator. New York City reported that upon occasion people with specialized experience, qualifications, and/or required academic background are sent to observe or survey the practices and specific police problems of other law enforce— ment agencies. Observational assignments are viewed by New Orleans as a never-ending training technique. Washington, D. C. indicated that a program of observational assignments is currently in the planning stage as a technique to be employed for acquainting Operating officials with head- quarters procedures and problems. Five of the eight departments responding to training techniques--New York City, Baltimore, Washington, D. C., New Orleans, and Cincinnati--indicated the utilization of 131 apprentice-type on-the-job executive training under experi- enced division or bureau commanding officers. Only New York City and Cincinnati reported employing the preparation of staff studies as a training technique. Examples of such studies include analysis of current crime problems and the preparation of a disaster procedure manual. The use of problem-solving projects and/or confer- ences, special reading assignments, special training as- Signments, and substitutional assignments were listed by New York City and New Orleans. Special reading assignments and study courses involve the reading of material and participation in short extension courses or workshops at the officer's own initiative. In New Orleans an example of a special training assignment involves the rotation of Officers from one task to another, while in New York City such an assignment might include the improvement of patrol performance in a designated area. Five of the eight responding departments (New York City, Washington, D. C., San Francisco, New Orleans, and Cincinnati) indicated the use of special study courses as a training technique. Most of these study courses are work— shops or short courses conducted outside the departments by local universities and colleges that have been named previously. In response to listing various incentives offered by a department to enCOurage executive self—development, 132 TABLE IV EXECUTIVE TRAINING TECHNIQUES Police Survey Question #7A Department 1 2 3 4 5 6 7 8 9 10 11 12 13 14 New York City X X X X X X X X X X X X X Detroit X X X Baltimore X X X Washington, D. C. X X X San Francisco X X Dallas New Orleans X X X X X X X X X X X San Diego X Cincinnati X X X X X X X 1 Administrative internships 2 Committee participation 3 Conference participation, Departmental 4 Departmental executive management courses 5 In—service executive training at direction of the Department 6 Job rotation 7 Observational assignments 8 On-the-job executive training (apprentice or understudy) 9 Preparation of staff studies 10 Problem-solving projects and/or conferences 11 Special reading assignments 12 Special study courses 13 Special training assignments 14 Substitutional assignments (leave, vacation) 133 counseling by the chief administrator, commanding officers, and selected experts outside the department was reported by New YOrk City and Cincinnati. New Orleans, San Diego, and Cincinnati indicated the payment of educational expenses; while some degree of promotional consideration was listed as given to potential executives who have participated in training at New York City, Baltimore, New Orleans, San Diego, and Cincinnati. New York City and New Orleans claimed as incentives the recognition and utilization of developed talents. Six of the seven departments responding to the question regarding incentives release officers from duty to attend certain classes and all seven departments provide for the tuition payment, either in its entirety or in part, to officers selected for executive training outside the de- partment. No department reported salary increments based upon educational attainment as an incentive to executive training. III. DISCUSSION Several basic considerations and conclusions derived from the foregoing survey warrant discussion at this point. A major consideration is the recognition of the fact that the operational effectiveness, efficiency, and actual pro- ductive value of the individual formal or informal executive development programs and training techniques reported in the survey cannot be evaluated upon the basis of data obtained. 134 TABLE V EXECUTIVE DEVELOPMENT TRAINING INCENTIVES Police Survey Question #7B - r. Department 4 5 6 7a l 7b 8 5 New York City x x x : x x Detroit X X l X | Baltimore X X | X Washington, I D. c. x ' | San Francisco I | Dallas | New Orleans X X X I X | San Diego X | X | Cincinnati X | X 1 Counseling 2 Payment of educational expenses, e.g. books, fees 3 Promotional consideration 4 Recognition of develOped talents 5 Release from duties to attend classes 6 Salary increments based upon educational attainment 7 Tuition payment (a) All (b) Part 8 Utilization of develOped talents 135 Thus, without qualitative appraisal and with an awareness of possible misinterpretation of the questions on the part of the responding department, the executive development activities of a department reporting only limited use of selection and training techniques may be superior in terms of the actual results obtained therefrom than a department reporting a large number of techniques. Comment must be made relative to the poor response of the departments contacted through the questionnaire. Only nine of twenty departments returned the questionnaire. Based upon this low response and the relative sparcity of information reported on most of the returned questionnaires, it might be concluded that either a serious error was made in the construction of the questionnaire or the departments that failed to respond or provided little information have no executive development program and/or have little interest in and concern for the development of their future executives. Of the nine departments responding to the survey, the majority of executive development activity appears to be confined to the New York City Police Department and the New Orleans Police Department--both of which reported formal executive development programs. Although the Detroit Police Department claimed a formal executive development program, little evidence demonstrating this claim was found in the questionnaire. The remaining six departments reported use of at least some contemporary executive development tech- niques and procedures. 136 When considering the responding departments in light of the total universe of the survey, five of the nine de— partments reporting executive development activities, either formal or informal, do not serve the ten most populated jurisdictions. It also is significant to note that those departments reporting a formal executive development program are New York City, the most populated city in the country, and New Orleans, the fifteenth largest city in the country. Based upon these observations, one might argue that police executive development requirements are not dependent upon the size of the jurisdiction but rather upon the recognition of the need for and benefits to be derived from such practices. In summary, the data obtained through the survey of municipal police executive development has revealed the following: 1. The incidence of both formal and informal executive develOpment programs among the departments surveyed is relatively low. Compared with the far-reaching intensive programs found in private business and industry, police executive development programs are considered either non-existent or in the first stage of infancy. 2. There exists in the police service the feeling that executive development is not the responsibility of the department but rather the individual alone. In 137 terms of budgetary consideration, financial backing for executive training is low in priority. This feeling for complete self-development, budgetary limitations, and manpower shortage are the major factors preventing the utilization of formal execu— tive development programs as indicated by the respondents. Current police executive development candidate appraisal and selection techniques, as indicated by the responding departments, are largely restricted by the traditional or orthodox police merit— performance rating techniques, civil service ex- amination, and final subjective evaluation by the chief administrator. The great reliance upon resources outside the police departments for the training of future execu— tives was evident in all responses. The use of such facilities as the Federal Bureau of Investigation National Academy, Northwestern University Traffic Institute, Southern Police Institute, and local universities indicates an awareness of the need for specially trained individuals in positions of execu- tive responsibility. Such reliance demonstrates the hesitancy on the part of the individual department to train its own executives. 138 The relatively high number of responses regarding the use of various executive training techniques identified by authorities as applicable to the police service, as well as the reported availability of various incentives to self—development, supports a growing awareness of the need for highly qualified management personnel within the police profession. Moreover, such responses also indicate that constructive efforts are being advanced within law enforcement to provide specialized training of police personnel for the management role. CHAPTER V THE CHICAGO POLICE DEPARTMENT: A CASE STUDY OF EXECUTIVE DEVELOPMENT Through a series of interviews with the Executive Assistant to the Superintendent of Police and the Director of Training and his staff, the following information was obtained regarding executive development within the Chicago Police Department. Within the Chicago Police Department there are seventy-three executive positions which include the ranks of deputy superintendent, chief, deputy chief, district commander, and director. Also considered executive posi— tions are the staff aides and finance officers serving within the office of the Superintendent. These executive positions are known as exempt positions in that they are not under the civil service system and the men who fill them are ultimately hand-picked by the Superintendent. While the final selection of individuals to fill the exempt positions of executive responsibility rests solely with the Superintendent, every person considered for such a position is given an exhaustive series of in— telligence, psychological, and attitude tests and a compre— hensive interview by The McMurry Company, a firm of 140 management consultants who specialize in executive as- sessments. A detailed discussion of the findings of such executive appraisals by The McMurry Company has been previ- ously included in the review of the police literature. Such a testing program has been in effect sine 1960 when 0. W. Wilson became Superintendent of Police. Recommendations by The McMurry Company are studied by top-level command personnel, namely the three Deputy Superintendents and the Director of Personnel, who in turn add their recommendations and include their knowledge of the individual's demonstrated supervisory ability, edu- cational achievements, and leadership ability. Utilizing a combination of the above findings and recommendations, the Superintendent selects the department's executives. Since 1961 executive development and/or management training programs have been conducted periodically by the department for personnel in executive positions. Through- out 1961 a series of Supervision Conferences were conducted in cooperation with the University of Chicago. Attendance at one of the week-long sessions was compulsory for all sergeants, lieutenants, and captains. Instructors from across the country participated, basing their lectures upon the International City Managers' Association text, Municipal Police Administration. During the spring of 1962 a Labor Relations Seminar was held for all executive (exempt) personnel. Lasting 141 fifteen weeks, one night per week, three hours per session, the seminar was conducted by people from labor, government, mediation boards, and management consultant firms. The lecture technique was combined with the conference method. For the last four years the Annual Human Relations Seminar has been conducted each May by the department for all those holding the rank of lieutenant and above. The one-day seminar, repeated each day for one week to enable small group participation, is concerned with local racial problems. Approximately half of the instructors come from the community outside the department and the others are department command officers——all of whom discuss the past and present community racial situation and make a prognosis with a view toward the role of the police in alleviating or handling any racial problem. In 1961 for fifteen weeks, one day per week, two hours per session, Professor Kenneth Henning of the Center for Advanced Studies in Administration, University of Wisconsin at Milwaukee, conducted the Advanced Management Seminar for Command Personnel. All district commanders, directors, and other selected command personnel were required to attend. Beginning in November 1963, Professor Henning repeated this same seminar for all other exempt personnel who had not participated in the first seminar. Again attendance was compulsory. In January 1964, Professor 142 Henning offered an Advanced Executive Development Seminar for participants of the first seminar. Attendance at this seminar, which provided a more thorough, intensive dis- cussion and review of the course content of the first seminar, was voluntary, but practically all those eligible participated. Subject matter of Professor Henning's seminars in- cluded readings and discussion in such topics as the fol— lowing: theories of organization, organizations as co- operative systems, principles of organization, the reorganization of the Chicago Police Department, leadership and motivation, and innovation and creativity in decision— making and problem-solving. Also beginning in January 1964, an executive de- velopment seminar was conducted for all captains on a voluntary basis by Dr. Gus Economos of DePaul University of Chicago. Continuing for fifteen weeks, one two—hour session per week, the seminar dealt with basic concepts and theories of advanced organization and management. Resources outside the department are utilized extensively in the training of personnel for executive responsibility. A list of such resources includes the following: (1) Northwestern University Traffic Institute (2) Southern Police Institute of the University of Louisville 143 (3) Michigan State University's Police—Community Relations Institute (attended to date by six deputy chiefs and twelve commanders) (4) Brookings Institution, Washington, D. C. (a two— week program attended by two deputy superintendents) (5) American Management Seminar at the University of Georgia (attended by one deputy superintendent) (6) Program of the American Society of Training Directors at the University of Wisconsin, Madison (7) Advanced training for potential executives in the field of youth work at the University of Minnesota (8) Two-week advanced program for government adminis- trators offered by the University of Chicago (at- tended by two chiefs). In most cases present executives who feel a need for particular specialized training at one of these outside resources initiates a request to attend the school or insti- tute. In some cases a particular executive may be desig- nated by the department to attend a school. All requests initiated by present executives or by any member of the de- partment who wishes to attend a school, academy, institute, or seminar outside the department are submitted through channels to the Academic Selection Board, established by Department General Order 63—23 (1 Jul 63). Such requests are accompanied by the applicant's qualifications, previous training and experience, and recommendations of superiors in the chain of command. The Board--which consists of the Deputy Superintendent for Field Services, the Deputy Super- intendent for Staff Services, the Deputy Superintendent for 144 Inspectional Services, the Director of Personnel, and the Director of Training-—screens the applicants and recommends those best qualified for participation to the Superintendent for his final approval. Encouragement to engage in executive self- development and to request consideration for participation in outside programs is provided to subordinates on a personal basis by command personnel. Incentives offered by the department include tuition payment, reimbursement for additional educational expenses, and promotional consider- ation. In addition, a program of counseling was initiated at the beginning of 1964 by the Personnel Division. Besides the periodic offering of department execu- tive management courses, other executive training techniques employed by the Chicago Police Department involve city—wide committee participation, e.g. Youth Commission, and weekly staff conferences during which the Superintendent personally has the opportunity of teaching and develOping his execu- tives. Job rotation is used occasionally but in no sense is it a systematic, formal programmed technique. A few executives have complemented their training through obser- vational assignments at the police departments of New York City, Los Angeles, St. Louis, and Cincinnati. As a matter of routine, executives also gain experience by preparing staff studies and participating in problem—solving projects and/or conferences . 145 While it cannot be said that the Chicago Police Department currently has in effect a fully planned, organ— ized and functioning executive develOpment program beyond the periodic offering of short executive management courses, nevertheless there is an awareness of and concern for the training of present and future executives. The Superin- tendent relies heavily upon continuing self-development and initiative on the part of his highest level of executives through recognition of their own shortcomings. However, because he is kept informed of the management training re- sources available outside the department, the Superintendent has on occasion designated or suggested their participation in such a prOgram. In the case of identifying and nurturing potential executives for the future, the Superintendent de- pends upon his present executives to develOp and encourage the self—development of all members of their command. An impression gained as a result of the various interviews was the department's recognition of the need for higher education for all police officers. A college edu— cation is encouraged at all levels. Although there is no college or university in the Chicago area that offers a major in law enforcement, study in related fields and utili— zation of the city's junior college system are advocated. Presently under consideration is the adoption of a master's degree program by the Illinois Institute of Technology in 146 conjunction with the Chicago Police Training Division. If inaugurated, the program would be available to twenty-five or thirty Chicago Police Department command personnel hold- ing the rank of captain or above and would center primarily around a curriculum of sociology with some business admin- istration and political science courses. Upon the suc- cessful completion of thirty credit hours and a number of short research papers, a Master of Public Administration degree would be awarded. According to the Director of Training, executive development within the Chicago Police Department will con— tinue as it has been conducted in the past four years. Periodic executive training seminars will be offered by the department as the need arises to recently named executives and advanced and refresher seminars will be conducted for seasoned executives. Resources outside the department will continue to be used extensively, and the possibility of utilizing management correspondence courses and management programs offered by the United States Army will be explored. In the opinion of the Director, such outside resources are more desirable than department executive development courses in that a change in environment enables the participant to gain new perspective and take advantage of studying under qualified, academic scholars. Continued emphasis will be placed upon formal education as a requirement for executive positions and a professionalized police service. 147 Because no attempt toward evaluating the training of executives has been made by the Chicago Police Department and because of the confidentiality of department personnel files, it would be unfair to generalize regarding the ef- fectiveness, efficiency, and actual productive value of the department's informal executive development program and training techniques. However, it is evident that the efforts of the Chicago Police Department are incomparable to the intensive programs found in business and industry and cannot support or illustrate Bennett's master plan for executive development in its entirety. This case study of executive training tends to support and elaborate the data obtained and impressions derived from the survey of other municipal police executive practices. In the Chicago Police Department there is a feeling that executive development is a responsibility of the individual. Executive selection is limited by the final subjective evaluation of the chief administrator. Reliance is placed upon resources outside the department for the training of both its present and future executives. But, although executive development within the Chicago Police Department is in its "first stage of infancy," it is strong in its awareness of the need for highly qualified management personnel within the police profession and its recognition of executive development as a responsibility shared by the individual, his commanding officers, and the department. CHAPTER VI CONCLUSIONS, A MODEL PROGRAM, AND NEED FOR FURTHER RESEARCH I° CONCLUSIONS This study has been focused upon current executive development programs and techniques employed in the field of business and industry and utilized by large municipal police agencies throughout the country. Willard E. Bennett's master plan for executive development was selected as the framework around which the presentation and dis- cussion of such current practices evolved. The brief review of the literature of business and industry generally supported Bennett's three key elements of executive development; namely the processes of selection, intellectual conditioning, and supervised training. Various authors were found to either elaborate and illustrate spe- cific aspects of Bennett's total theory or to similarly ad- vance a combination of ingredients requisite to a complete functioning program. However, no single author other than Bennett was found to present such a total plan or such a coherent, well—balanced program, in a language of such meaningful simplicity. 149 The literature of business and industry has clearly indicated that executive development is far from being an empty concept or merely an impressive term which really has little meaning. Rather executive development is a meaning- ful concept that has been applied to active, on—going execu- tive programs by progressive business and industrial organi- zations. Such private enterprises are very much concerned with having well—qualified and trained management personnel at this very moment. Moreover, they are looking to the future by selecting and developing their executives of to- morrow. The quantity of literature available concerning executive development within business and industry is an additional indication of the concern and serious regard for this subject. On the other hand, due to an obvious lack of concern for police executive development within the police litera- ture, only the passing reflections of leading scholars and practitioners and a few scattered executive training tech— niques and trends could be included in this study. As a result, the three key elements of Bennett's master plan were only scantily supported and/or illustrated by the police literature. Furthermore, no theoretical or practical plan to meet the need for well-developed, trained police execu— tives, comparable to Bennett's plan for business and industry, was found to be seriously advanced within the police literature. 150 Executive development is a term that has only recently been applied to the police service and is little more than a wishful fancy to progressive police administra- tors and an unintelligible concept to others. While there has been much clamor for the training of recruits and even supervisory officers, the training of top police adminis- trators has seldom been mentioned. Unlike business and in- dustry, law enforcement generally has failed to recognize that the administrative level needs training in management and that recruits and supervisors of today must be develOped for management positions of the future. The general impressions received from reviewing the police literature have been supported and intensified by the case study and the survey of executive development with- in the large municipal police departments of the country. The low response to the questionnaire and the relatively low incidence of reported executive development programs and techniques led to the conclusion that such programs and techniques were either non-existent or in their first stage of infancy when compared with the intensive programs found in business and industry. The survey and case study indi- cated that in the police service there exists the feeling that executive development is not the responsibility of the department but rather the individual alone. While business and industry encourage and promote self-development, such 151 self—development is coupled with a formal program of the organization. However, possible signs of an increasing awareness of and concern for police executive development were noted in the favorable responses to the survey re- garding the utilization of high—level training resources outside the departments and the employment of various execu- tive training techniques, despite the absence of a formal development program. Also encouraging was the impression derived from the Chicago Police Department case study: that there is an awareness of the need for highly qualified management personnel on the part of a few top administrators and that the responsibility for such executive development rests with the individual, his commanding officers, and the department. Nevertheless, despite the faint glimmerings of executive development as seen in the police literature, the survey, and the case study, the initial hypothesis suggested at the very outset of this study has not been negated. Rather the hypothesis--that the present day executive de— velopment programs of large municipal police departments, as defined in this study, are either absent or totally in— adequate in meeting the needs of a growing and developing police service-—has been supported and confirmed by the survey and case study, as well as the review of the police literature. 152 Furthermore, if it is accepted that police business is indeed "big business," that large municipal police de- partments have problems of organization, administration, and management which are analagous to those problems faced by business and industry, then this study has demonstrated through a comparison of police and private executive de— velOpment programs that such existing police programs are "totally inadequate in meeting the needs of a growing and developing police service." II. A MODEL PROGRAM FOR POLICE EXECUTIVE DEVELOPMENT While the rigidities of civil service procedures may hamper the chief administrator, they do not prevent him from establishing guides for the objective selection or placement of executives. The administrators of a police de- partment consistently create new activities, new plans and strategies for expansion, and make transfers of personnel and job assignments of promoted men. Therefore, it would seem that the executive development programs and techniques of business and industry, as highlighted in the review of the literature, have application within the police service. It also would seem that methods of appraising, developing, aand assigning key executive personnel according to a systematized procedure, already proven effective would 153 result in distinct benefits to a progressive law enforcement organization that is striving toward professionalism. Indeed it may even be convincingly argued that as long as successful private business and industrial enter- prises find it profitable to engage in extensive personnel training and executive development practices, at least the equivalent of such development and training should be established within the police service. As previously noted, no master plan similar to Bennett's plan nor model program which provides a guide to meeting the need for well—developed, trained police execu- tives was found during a review of the police literature. It was anticipated during the course of such a review and from the analysis of information obtained during the survey and case study sufficient data would allow the construction of a theoretical model program of police executive de- velopment. Despite the limitations and disappointing nature of the data obtained, there follows a brief attempt toward suggesting elements that are necessary or highly desirable to the establishment of a successful executive develOpment program within a large municipal police department. The first element of the proposed model program in— volves the recognition by the chiefladministrator of the need for and desirability of having executive develOpment within the police department. The ultimate responsibility for an executive development program must necessarily remain 154 at the top of the organization and must be supported by the chief and his highest level of executives. Such thinking is based on the effect that executive training has on the continuance, future growth, and development of the de— partment. Moreover, the quality and effectiveness of present police administrators, by virtue of their recog— nition, appraisal, and selection of potential executive talent, control and direct the department's future. The chief administrator must be prepared to meet criticisms against the idea of police executive development. Some will claim it is impossible to predict the need for police executives and that the expense of such a program outweighs any benefits. Others will point out the diffi- culties of appraisal and evaluation procedures and believe that the place for such a program is only within very large or privately operated organizations. Still others will say that civil service promotional procedures are doing an adequate job of selection. To these criticisms the chief administrator may reply that: (1) It is customary to plan for future needs, whether it be for fiscal needs of manpower, equipment. and facilities, or for community needs of programs and operations--and planning for future management in the police service is even more important. (2) Instead of reducing initiative and incentive, morale is improved due to promotion and placement based on merit, and due to the opening of the upper-ranks. 155 (3) Any costs will be offset by the utilization of the competence and insights developed by such training to reduce waste, unproductive inertia, and bungling. (4) Small organizations, just as larger agencies, must be managed--and management can be just as good, or just as deplorable in either. (5) The appraisal system in the police service is admittedly in need of overhaul, therefore any attention given to it by inaugurators of executive development programs can do naught but good. (6) Although civil service promotional procedures select, they do not develOp-—and the development of latent executive capabilities can be of as great a value to the police service as it has been to industrial organizations.1 The second element of the proposed program calls for organizational analysis. During this process executive positions within the department are identified, executive job requirements are established, and the qualifications necessary to fulfill such positions of responsibility are determined. The organizational analysis then enables the setting of development objectives and planning the scope of the program for both present and potential executives. It not only provides the means by which present needs and in- adequacies can be recognized but also allows a measurement by which progress can be evaluated. The third element involves the development of present police executives by employing Bennett's processes 1A. C. Germann, Police Executive Development (Springfield, Illinois: Charles C. Thomas, Publisher, 1962), p. 59. 156 of selection, intellectual conditioning, and supervised training. Here by utilizing the organizational analysis the performance and qualifications of present executives are appraised and their inadequacies and develOpmental needs determined. The approach is a highly individualized one, for certainly not every executive would benefit, for example, from classroom training in the theories of manage- ment or observational assignments in a particular area of his specialty. Various techniques suggested by Bennett to select, condition, and train these executives could be advantageously employed. Along with the individualized approach the chief administrator would be wise in en— couraging the continuing self-development of his executives. Through the organizational analysis the chief administrator is aided in anticipating replacement needs of his executive positions and the possibility of creating additional executive positions as the need arises and financial resources allow. The fourth element of the model program involves the employment of Bennett's processes of selection, intellectual conditioning, and supervised train- ing in regard to the development of potential executive talent. Although this element may be carried out at the same time the development of present executives is being undertaken, the development of potential talent is placed at this point to emphasize an earlier comment-—that present police executives play a vital role in selecting, appraising, 157 and even develOping potential police executives. Untrained, unqualified police executives thus are a detriment to the department's future growth. In conjunction with the selection of potential executive development candidates, a review of the de- partment's recruit selection standards and procedures should be conducted to insure at a later time a sufficient number of promotable men to positions of increased responsibility. Again, as in the case of developing present execu- tives, Bennett's various techniques of selection, intel- lectual conditioning, and supervised training should be em- ployed in developing potential executives. Again the individualized motivational concept must be considered and self-develOpment encouraged. A potential candidate who does not want to participate in a development program, who does not desire advancement or additional responsibility, who is content to remain and perform satisfactorily at his present position, should not be designated by the department for executive training. The fifth and final element of the proposed model program for police executive develOpment is evaluation. The evaluation process is conducted in terms of executive development objectives, methods and techniques, and achieve— ments. It must not be viewed as the final element that is applied after the completion of all phases of the whole de- velopment program. Rather evaluation should be conducted 158 prior, during, and after executive training by the chief administrator, command level officers, training officers, and individual program participants. Evaluation is requi— site for future planning and determining whether or not de— partmental needs have been met. It leads to continuous im- provement in the selection and application of training techniques and enables the department to secure a balanced, overall program. Generally, evaluation involves the development of a plan, pretesting the plan, collecting and analyzing data, comparing the findings with standards, and planning and taking action based upon the findings. From the vieWpoint of the administrator evaluation is in terms of program success, from the vieWpoint of the supervisor it is in terms of unit success, and from that of the officer in terms of individual development.2 In summary, the proposed model program for police executive development includes the following elements: (1) recognition of need by and support from the department's top echelon; (2) organizational analysis; (3) selecting, conditioning, and training present police executives; (4) se— lecting, conditioning, and training potential executive talent; and (5) evaluation. The model program is but an Raymond Galvin, "Evaluation of Training" (outline developed for the Traffic Institute, Northwestern University, March 1, 1962). 159 FIGURE 2 MODEL PROGRAM FOR POLICE EXECUTIVE DEVELOPMENT 160 application and expansion of Bennett's master plan. However, it includes the elements of organizational analysis and I evaluation which are amply discussed in the literature of business and industry but whose consideration was omitted by the limitations of this study. Like Bennett's theory, to insure a successful over- all department program, all of the elements must be present in combination, subtly interacting and complementing one another. The difference between police executive de- velopment programs from department to department lies in the amount of emphasis given each element and the specific techniques employed to place each element into process. Lastly and of utmost importance, a department's executive development program must be a continuing, on—going program. While particular phases or aspects of the total program may run their course, at no time can the chief administrator afford to announce that the department's execu- tive develOpment program has been completed. III. NEED FOR FURTHER RESEARCH The future holds promise of a demand for increased emphasis upon executive development within individual police departments and the entire police service. As long as police agencies grow in organizational complexity, public demands are made for more efficient and effective police 161 service, and police officers continue their struggle for professional status, executive development will be a requisite to insuring a continual supply of well-qualified departmental leadership and the best possible law en- forcement within a community. When considering the problems of executive develOp— ment police administrators should look toward other disci- plines for assistance and cooperation. The principles and theories of psychology, sociology, business administration, and management have much to contribute to the development of police administration and police management practices. Taking their cue from Bennett, leading police scholars and practitioners must recognize now the need for formulating theories and master plans applicable to the solution of police management problems. There has been sufficient discourse concerning the many techniques and methods of management and training. Guides are urgently needed by the policy-level executive who decides the scope and reach of his department's training activities and by his staff specialist who makes final selection of the methods and applies them to an overall plan. Specifically regarding executive development, the police administrator needs a broad perspective from which he may view the many possible aspects of executive selection and training. This means more and more police—oriented research. On the department level many police agencies have responded 162 to this need by establishing planning and research divi— sions. The entire police profession, if indeed it ever is to be a true profession, must follow suit. This study has been a small attempt toward police research, the formulation of such a theoretical master plan, and the application, in part, of another discipline to police organization and management. Additional research and analysis needs to be con— ducted into the applicability of business and industrial executive development programs and techniques to the police field. There exists the need for extensive research into civil service selection and promotion procedures and how such procedures affect the identification, development, and early productive assignment of police personnel pos— sessing latent executive abilities. Serious research con- sideration also must be given the concept of lateral entrance of highly qualified personnel into positions of executive responsibility, the acceptance of executive trans- fers from one department to another without loss of rank, and the advisability of formulating a separate administrative career element within the police service similar to a career element currently established within business and industry, various military establishments, and other sectors of the civil service. The purpose of this study has not been one of pro— viding a panacea to the problems of police executive 163 development or the wider concern of police administration and management. Executive development can in no sense be considered an end in itself. Rather it is one of the means toward achieving more effective, efficient, and responsive law enforcement. In view of the present rigidity of civil service procedures and the closed promotional system, execu- tive development is the only credible answer to improved executive competency. BIBLIOGRAPHY A. BOOKS Barnard, Chester I. The Functions_gf the Executive. Cambridge, Massachusetts: The Harvard University Press, 1946. Bennett, Willard E. Manager Selection, Education and Training. New York: McGraw—Hill Book Company, Inc., 1959. - Bent, Frederick T. and Joseph E. McLean. "Teaching Method - Course Instruction," Education for Administrative Careers in Government Service, Stephen B. Sweeney, editor. Philadelphia: University of Pennsylvania Press, 1958. Pp. 76-99. Bristow, Allen P. and E. C. Gabard. Decision-Making in Police Administration. Springfield, Illinois: Charles C. Thomas, Publisher, 1961. Cleeton, Glen U. and Charles W. Mason. Executive Ability: Its Discovery and Development. Yellow Springs, Ohio: The Antioch Press, 1946. Coke, James G. and John W. Lederle. "Equipping the Pro- fessionally-Trained Specialist for General Adminis- trative Responsibility," Education for Administra- tive Careers in Government Service, Stephen B. Sweeney, editor. Philadelphia: University of Pennsylvania Press, 1958. Pp. 140—161. Comber, Edward. "Selection for What? The Long Range Goals," Police Selection, Richard H. Blum, editor. Springfield, Illinois: Charles C. Thomas, Publisher, 1964. Pp. 199-214. Corless, George B. Report Number 594. The Dartnell Corpor- ation, Training Programs for Office Supervisors and Executives. Chicago: The Dartnell Corporation, 1951. 165 Corsini, Raymond, Malcolm E. Shaw, and Robert R. Blake. Roleplaying in Business and Industry. New York: The Free Press of Glencoe, Inc., 1961. Davy, Thomas J. and Henry Reining, Jr. "The Respective Roles of Higher Education and Governmental Employers in Preparing People for Professional Administrative Careers," Education for Administrative Careers in Government Service, Stephen B. Sweeney, editor. Philadelphia: University of Pennsylvania Press, 1958. Pp. 168-193. Davy, Thomas J. and York Willbern. "Teaching Methods - Field Experience," Education for Administrative Careers in Government Service, Stephen B. Sweeney, editor. Philadelphia: University of Pennsylvania Press, 1958. Pp. 103-133. DePhillips, Frank A., William M. Berliner, and James J. Cribbin. Management of Training Programs. Homewood, Illinois: Richard D. Irwin, Inc., Publisher, 1960. Dooher, Joseph and Vivienne Marquis (eds.). The Development ‘gf Executive Talent. New York: The American Manage— ment Association, 1952. Fosdick, Raymond. American Police Systems. New York: The Century Company, 1921. Gammage, Allen Z. Police Training in the United States. Springfield, Illinois: Charles C. Thomas, Publisher, 1963. Germann, A. C. Police Executive Development. Springfield, Illinois: Charles C. Thomas, Publisher, 1962. . Police Personnel Management. Springfield, Illinois: Charles C. Thomas, Publisher, 1963. International City Managers' Association. Municipal Police Administration. Chicago: International City Managers‘ Association, 1950, 1964. Jennings, Eugene Emerson. The Executive. New York: Harper and Row, Publisher, 1962. Kenney, John P. Police Management Planning. Springfield, Illinois: Charles C. Thomas, Publisher, 1959. 166 Klotter, John C. Techniques for Police Instructors. Springfield, Illinois: Charles C. Thomas, Publisher, 1963. Leonard, V. A. "University Training for the Police Pro- fession," Encyclopedia 9f Criminology. New York: The Philosophical Library, 1949. Police Organization and Management. Brooklyn: The Foundation Press, Inc., 1951, 1964. Mayfield, Harold. "In Defense of Performance Appraisal," Guideposts £9 Executive Growth. Boston: Harvard Business Review, 1955-1962. Pp. 100-106. Patton, Arch. "How to Appraise Executive Performance," Guideposts £9 Executive Growth. Boston: Harvard Business Review, 1955-1962. Pp. 75-82. Peper, John P. The Recruit Asks Some Questions. Spring- field, Illinois: Charles C. Thomas, Publisher, 1954. Planty, Earl G. and J. Thomas Freeston. Developing Manage— ment Ability. New York: The Ronald Press, 1954. Planty, Earl G., William S. McCord, and Carlos A. Efferson. Training Employees and Managers. New York: The Ronald Press, 1948. Powell, Norman J. Personnel Administration in Government. Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1956. Randall, Raymond L. (ed.). Executive Development in Action. Pamphlet #9 of the Society for Personnel Administra- tion based upon proceedings of the First and Second Annual Institutes for Executive Development 1953-4, April, 1955. Riegel, John W. Executive Development: .5 Survey 2; Experi— ence in Fifty American Corporations. Ann Arbor, Michigan: University of Michigan, Bureau of In— dustrial Relations, 1952, 1956. Simon, Herbert A. Administrative Behavior. New York: The Macmillan Company, 1960. Smith, Bruce. Police Systems in the United States. New York: Harper and Brothers, 1949. 167 Summer, Charles E., Jr. "The Managerial Mind," Guideposts .39 Executive Growth. Boston: Harvard Business Review, 1955-1962. Pp. 36—45. Tannebaum, Robert, Fred Massarik, and Irving R. Weschler. Leadership and Organization: .A Behavioral Science Approach. New York: McGraw-Hill Book Company, Inc., 1961. Thayer, Paul and William McGehee. Training in Business and Industry. New York: John Wiley and Sons, Inc., 1961. , United States Civil Service Commission. Training the Supervisor. Washington, D. C.: United States Government Printing Office, 1956. B. PERIODICALS Andrews, Kenneth R. "Is Management Training Effective?" Harvard Business Review, 35:63-72, March-April, 1957. Bennett, Willard E. "Master Plan for Management Develop- ment," Harvard Business Review, 34:71-84, May—June, 1956. Blansfield, Michael G. "The Challenge of Executive Ap- praisal," Advanced Management, 25:20-24, April, 1960. Brandstatter, A. F. ”Discussion: Developing the Police Executive," The Police Yearbook, International Association of chiefs of Police, Inc., 1962. Bristow, Allen P. "Training in the Evaluation of Police Personnel," Police, 5:17-20, November-December, 1960. Bower, Marvin. "Nurturing High—Talent Manpower," Harvard Business Review, 35:66-72, November-December, 1957. Boyd, Rex D. "Planning the Development of Managers," Public Personnel Review, 23:90—93, April, 1962. Davis, Ralph C. "Education for Business Management," Advanced Management, 26:16—21, September, 1961. 168 Day, Frank D. "Police Administrative Training," Journal 2; Criminal Law, Criminology and Police Science, 47:253-256, July-August, 1956. Fisher, Norman J. "The Making of a Manager," Personnel, 38:8-15, September-October, 1961. Frost, Thomas. "Selection Methods for Police Recruits," Journal 2; criminal Law, Criminology and Police Science, 46:137, May-June, 1955. Germann, A. C. "Hurdles to Professional Police Competence: IV. Failure to Exploit Pre-Service Training Re- sources," Police, 4:26-28, September-October, 1959. Hollingsworth, Dan. "The Conference Method--A Stimulant for Police Management and Training," Police, 11: l8-24, September-October, 1957. Hoover, J. Edgar. "A Message from the Director," FBI Law Enforcement Bulletin, 33:2, May, 1964. Luikart, Fordyce W. "Executive Development: Boundaries and Challenges," Personnel Administration, 85:8—9, May, 1951. Meehan, James B. "Police Participation in the College Training of Police," Police, 8:23-25, March-April, 1964. Miller, Ernest C. "When the Coach Can't Coach," Personnel, 36:35-41, November—December, 1959. Sherwood, Frank M. "Roles of the City Manager and Police," Public Management, 41:110-113, May, 1959. Sloane, Charles F. "Police Professionalism," Journal 2; Criminal Law, Criminology and Police Science, 45: 78, May-June, 1954. Soule, Rolland L. ,"Role Playing-—A New Police Training Tool," Police, 19:19—22, March—April, 1960. Spencer, Gilmore and Keith Jewell. "Police Leadership: A Research Study," The Police Chief, 30:40—45, March, 1963. 169 C. UNPUBLISHED MATERIAL Brandstatter, A. F. "Winds of Change." An address pre- sented to the Law Enforcement Administrators' Seminar, Kellogg Center, Michigan State University, March 5, 1964. Galvin, Raymond T. "Evaluation of Training." Outline developed for the Traffic Institute, Northwestern University, March 1, 1962. (Mimeographed.) Germann, A. C. "The Executive Development of Police Admin— istrators by Agency and College." Unpublished Master's thesis, University of Southern California, Los Angeles, 1955. Pfiffner, John M. "Executive Development: A Preliminary Exploration." November 1, 1959. (Mimeographed.) . "Superior—Subordinate Relationships and the Coaching Syndrome." Los Angeles: University of Southern California, 1960. (Mimeographed.) Sunyich, Louis. "An Analysis of the Supervisory and Execu- tive Training Program of the Los Angeles Police Department." A report presented to the faculty of the School of Public Administration, University of Southern California, Los Angeles, February, 1960. Winn, George C. ”A Survey of Contemporary Executive De- velopment Practices as Applied within the Municipal Police Function." Unpublished Master's thesis, University of Southern California, Los Angeles, 1959. Wood, James E. "Training as a Function of Management." Outline developed for the Traffic Institute, North— western University, October 16, 1961. (Mimeographed.) APPENDIX A POLICE DEPARTMENTS CONTACTED THROUGH QUESTIONNAIRE Police Population of Department city served* New York City, New York 7,781,984 Los Angeles, California 2,479,015 Philadelphia, Pennsylvania 2,002,512 Detroit, Michigan 1,670,144 Baltimore, Maryland 939,024 Houston, Texas 938,219 Cleveland, Ohio 876,050 Washington, D. C. 763,956 St. Louis, Missouri 750,026 Milwaukee, Wisconsin 741,324 San Francisco, California 740,316 Boston, Massachusetts 697,197 Dallas, Texas 679,684 New Orleans, Louisiana 627,525 Pittsburg, Pennsylvania 604,332 San Antonio, Texas 587,718 San Diego, California 573,224 Seattle, Washington 557,087 Police Department Buffalo, New York Cincinnati, Ohio *1960 population 171 Population of city served* 532,759 502,550 APPENDIX B POLICE EXECUTIVE DEVELOPMENT QUESTIONNAIRE AND ACCOMPANYING LETTER I. LETTER Chief Police Department City, State Dear Chief: This is to request your help in obtaining infor— mation concerning the identification, selection, and train- ing of personnel for executive and managerial positions in your Department. While engaged in graduate study at the School of Police Administration and Public Safety, Michigan State University, I am doing research into the problem of securing highly trained police personnel to assume positions of execu- tive responsibility in our nation's large municipal police agencies serving cities of over 500,000 in population. Data gained from such departments will be tabulated and utilized for thesis purposes. 173 When using the term "executive," the writer is con- cerned with those persons who are responsible for the efforts of others, who make decisions both as to policy and practice, and who exercise authority in effecting such decisions. More specifically, the attached questionnaire applies only to the administrators or the top-level command personnel of your Department, such as the Chief, Deputy or Assistant Chief, Inspectors (command), Commanders, Bureau or Division heads, and District or Precinct Commanders. The question- naire excludes any concern with those training programs for the middle management or supervisory positions. It would be greatly appreciated if you would fill out the attached questionnaire and return it in the enclosed addressed envelope. Also, if possible, please include an outline, summary, and/or description of any executive de- velopment and/or management courses offered by your De- partment in the training of your future executives. If it is at all possible upon the completion of my survey, I will forward a summary of my findings to the responding departments. Thanking you in advance for your assistance, I am Sincerely yours, Number of Executive Positions 174 II. QUESTIONNAIRE Number of Sworn Personnel Number of Non-sworn Personnel 1. Is there currently in effect in your Department a fully planned, organized and functioning executive development program? Yes No A. If yes, is there a specific individual(s) responsible for the administration of this program? Position(s) Full—time ____ Part-time If your Department does not currently have in effect a fully planned, organized and functioning executive de- velopment program, are there plans to initiate such a program in the near future? Yes No Will be operation in 3-6 mos. 6—9 mos. 9-12 mos. 12-24 mos. What are the major factors preventing or restricting the utilization of a formal executive development program by your Department? Budgetary limitations Civil Service Executives trained through own efforts Manpower shortage Need for executive development not established Other: 4. 175 How are personnel in your Department presently selected to fill positions of executive responsibility? Civil Service examination Demonstrated supervisory ability Educational achievements Leadership ability Merit-performance rating Performance in training courses Selection by Chief Administrator(s) Tenure of service Other: A. For those items checked, briefly describe each se- lection technique as it is specifically applied by your Department? How are personnel within your Department selected to receive executive develOpment and/or management training (either training within or outside of your Department)? What resources outside your Department are utilized in the training of personnel in executive positions? Please be specific, e.g. name of school, institute, short course, etc. and include the position of the individual receiving or having received such training. Are any of the following executive training techniques and/or executive development training incentives avail- able to your personnel of potential executive ability? 176 Check as many as are applicable. A. Training Techniques: Administrative internships Where assigned? Committee participation (not confined to Dept., city—wide) Type or name of committee(s) Conference participation, Departmental Type of conference(s) Departmental executive management courses (Please enclose description and/or summary) In—service executive training at direction of the Department (Please specify by name or description:) Academic institutions Institutes Conferences Job rotation How often? How controlled? Describe: Observational assignments Where? On—the-job executive training (apprentice or understudy) Under whom? Preparation of staff studies Example: 8. 177 Problem-solving projects and/or conferences Example: Special reading assignments Example: Special study courses What kind? Special training assignments Example: Substitutional assignments (leave, vacation) Other: Incentives offered to encourage executive self- develOpment: Counseling by: Payment of educational expenses, e.g. books, fees Promotional consideration Recognition of developed talents by: Release from duties to attend classes Salary increments based upon educational attainment Tuition payment: All Part Utilization of developed talents Other: Additional comments: ll...- 9.356915: A Q "" "‘!-hiow lllllHlfllH‘jHHUNI$1Huwlfllmfllfl|||H|lH||Ll 3 053