Basic Theories, Perspectives, Concepts

SOCW 6371

Community and Administrative Practice

UTA School of Social Work

Dr. Dick Schoech

Suggest print Handouts, 3 per slide with grayscale setting

Copyright 2009. No Part of This Presentation May Be Used or Reproduced Without the Written Permission of Dr. Schoech

Class 2 Class 2

Overview of Class 2

Theories Covered (See coursepack for review)– Systems (review), Planned change (review)

– Contingency theory, TQM/continuous improvement

– Organizational culture, Community power (review)– Theories of health promotion http://www.cancer.gov/PDF/481f5d53-63df-41bc-bfaf-5aa48ee1da4d/TAAG3.pdf

– Additional theories??

Values/perspectives (covered in coursepack)– Evidence based/informed practice (EBP), win/win,

strengths, empowerment

Basic Terms

Change agent: Person(s) carrying out the action/change

Client or target system: The person(s) benefiting from the action/change

Action system: All those involved in the action/change process

Stakeholders: Key players in the action/change process or those impacted by the condition or action/change

Learning Objectives of ClassBe able to: Understand principles of social work values

and how they influence CAP Understand principles of various

perspectives and how they influence CAP Understand basic concepts of several

theories and how they influence CAP

Values of Social Work: a review

Core social work values are:– Service: all seek to improve humankind

– Social and economic justice, human rights

– Dignity & worth of person

– Importance of human relationships– Integrity and competence in practice CSWE EPAS p6

– Diversity: understand, affirm, respect differences

– Democratic participation

– Review: http://www2.uta.edu/cussn/courses/3306/

Use of Theory

A theory is a set of assumptions or principles that have been repeatedly tested to explain or predict facts or phenomena . Theories: Provide a conceptual framework Provide a common vocabulary Guide actions Assist comprehension or judgment Challenge practice wisdom Provide framework to evaluate interventions

Contingency Theory

Or

It all depends on the situation(e.g., based on the contingencies of this situation,

research/expertise suggests that this is the better way to proceed)

Contingency Theory Basics

Contingency=relationship between 2+ phenomena; if one exists, then conclusions can be drawn about the other

Management depends on the major contingencies (so you must specify the contingencies).

With contingency theory, one tries to specify the conditions under which something will more likely occur

Example: if a job is highly routine, then an innovative and unstructured person will not be a good employee

Contingencies for HSOs Internal (from inside the agency)

– Goals– People– Tasks– Technology– Structure

External (from the environment)– Sociocultural– Political forces– Economic forces– Technological forces

Contingency view of an agency

Purpose/goals

Politicalforces andinstitutions

Socioculturalforces andInstitutions

Technologicalforces andInstitutions

Economicforces andInstitutions

Tasks People/manager

Structure

Technology

Inputs of resources,policy, theories,values, etc.

Outputs of servicesprovided, behaviorschanged, goals met,rules/ethicsfollowed, etc.

Environment

Internal Variable: Goals Economic-profit vs. social/change

Well vs. ill defined (sober vs. QOL)

Few coordinated vs. multiple conflicting

High vs. low accountability

High vs. low effectiveness

High vs. low efficiency

Internal Variable: People Very organized or unionized vs. not organized or unionized Young vs. elderly High skills vs. low skills (dexterity, interpersonal, reasoning) High vs. low needs for affiliation, power, achievement-

McClelland High vs. low level of training/education Identity to a profession vs. identity to the organization Coherent values and culture vs. divergent values and culture High payment for work vs. high use of volunteers

Internal Variable: Structure Large vs. small One vs. many locations--networked Centralized vs. decentralized authority & power Participatory management vs. no involvement of staff Individual vs. team approach to work/problem solving Well defined vs. informal rules/procedures Many vs. few communication channels Much interaction vs. little interaction between staff Single vs. dual professional/administrative hierarchy

Internal Variable: Task

Work with people vs. work with things

New each time vs. repetitive

Highly structured vs. ill structured

Well defined vs. ill defined

Internal Variable: Technology Complex vs. simple machinery used

High vs. low use of formalized knowledge and procedures

Use vs. do not use computers Have vs. do not have a basic information system High vs. low use of web technology High vs. low use of technology to support management High vs. low use of technology to support workers High vs. low use of technology to interact with clients

External Variable: Sociocultural

Sympathetic public (disabilities) vs.

unsympathetic public (ex cons)

Voluntary client vs. involuntary client

Client has choice/input vs. no choice/input

External Variables: Economic

Expanding resources vs. contracting resources

Resources from another agency or government vs. resources from general public (fund raiser)

Client pays vs. funding source pays

External Variable: Political

High regulations vs. low regulations Influenced by elections vs. not influenced

by elections Services politically charged vs. indifferent

public (planned parenthood)

External variables: technological

Pressure to automate (telehealth) vs. pressure to not take money from services

Technology changing rapidly vs. technology stable

Application: Contingency TheoryGiven that

purpose of organization is service to clients people served are involuntary, vulnerable & reluctant to speak out people employed are young, altruistic, with BSWs task is to provide case management for the elderly service technology is complex, hard to quantify & support public has mixed feelings about mission & procedures [external

sociocultural] resources are from taxes & contracting [external economic force] agency has many regulations to follow [external political influences]then it makes sense that, or research shows that a bureaucratic structures

accomplishes missions better than an team structure

Total Quality Management (TQM)also called

Continuous Quality Improvement (CQI)or

quality assurance (QA)

TQM — Definition

TQM is a philosophy of management based

upon the concepts of continuous quality

improvement of services.

TQM combines principles of the quantitative

and human relations schools of management.

TQM principles relevant to HSOs (1 of 3)

The system (not person) is responsible for 80-90% of performance

Customers defines quality (customers make good choices but cannot design systems)

Manager continuously optimizes system on quality, not efficiency or accountability

Manager focuses on long term improvement in agency processes not objectives, quotas, slogans, targets, etc.

TQM principles relevant to HSOs (2 of 3)

Drive out fear in the workplace

Break down barriers between departments

Improve using people closest to the change/action/work

Encourage pride in workmanship, prevent vs. correct

Profound knowledge comes from outside system

Manager like orchestra conductor--does not play but insures all in tune, playing well, playing same music, supporting each other

TQM principles relevant to HSOs (3 of 3)

Staff do their best, but may be doing the wrong thing

Managers support not direct workers Managers do not rank workers based on

individual performance but on contribution to optimizing agency goals (because 80-90% of one’s performance is due to system)

Use group vs. individual evaluations Use short term problem solving teams

Organizational Culture

Just as individuals are highly influenced by their culture, organizations develop cultures which highly influence employees and their actions. Sometimes culture is defined by what is called a practice model (CPS), e.g., family centered practice or practice within systems of care.

Organizational Culture Basics

Rooted in cultural anthropology Cultures and subcultures exist in

organizations Cultures are ways to perceive, think,

and feel in an organization Culture guides behavior and is

informally passed down to new employees, e.g., in break room

Org Culture: Definition

Culture consists of: History, language, artifacts Traditions, stories, values, attitudes, beliefs,

and myths Behaviors, modeling, and norms Rituals, rites, ceremonies, customs The vision statement expresses the formal

culture, not the informal culture

Function of Organizational Culture

Provides a sense of identity Helps members make sense of

work and workplace Controls and shapes behavior Reinforces the values of the org Insures ethical conduct

Relevance Culture must be strong to avoid chaos

Culture must fit the environment

Culture is difficult to change

Should be expressed in the mission statement

Culture must be able to adapt and evolve

Example=CPS=high stress--but saving lives, straight talking, etc.

Other examples?

Can change culture by

Being aware of the culture

Changing socialization of new employees

Having employees buy into a new set of values and philosophies

Changing symbols, rituals, artifacts, etc.

Providing win/win and face saving options to resisters of change

Planned Change Theory

Change is more likely to be successful if it is planned using a formal, structured processes

Change Theory Basics Change of any client, from individual to community, follows a

similar process– 3 step process=unfreeze, change, refreeze (Kurt

Lewin--http://www.mansis.com/freeze.htm) – Precontemplation, contemplation, preparation, action, maintenance

(Prochaska & DiClemente--http://www.cancer.gov/PDF/481f5d53-63df-41bc-bfaf-5aa48ee1da4d/TAAG3.pdf)

– 8 step generic SOCW change process (next slide) Completing/documenting all change steps increases success Many strategies, skills, and tools are needed along the way Implementing change is not intuitive but learned

Change Process (change more successful if process

followed)

1. Engagement/sensing/establishing relationships2. Clarifying overall direction & agreements3. Assessment (strengths, barriers, needs)4. Prioritizing needs and capacities5. Intervention planning—design by building on

strengths to address needs6. Implementation and goal attainment 7. Feedback, monitoring, and evaluation8. Disengagement, termination, follow-up

Change more successful if (1 of 3)

One formally goes through more of the 8 stages

A powerful, guiding coalition has top level support

A change vision is created and communicated

Those impacted are involved

Those impacted feel ownership (it is their change)

Resistance assumed & tackled when first appears

The process empowers everyone rather than gives power to some

Change more successful if: (2 of 3)

Continuous improvement methods are employed

Trial balloons/hypothetical speculation are used

Someone is responsible to push the change

Change is modular & modules are independent

Change supporters are rewarded (behavior mod)

Those who oppose the change are given face saving options (win/win)

Change more successful if: (3 of 3)

Change is consistent with values of those impacted The change and change process is documented

– Get it in writing and develop a formal plan Two way communication channels are open

– No surprises or hidden agendas

Change is formalized in policies, procedures, training Natural systems are available to support and

reinforce the change (strengths perspective)

Systems Theory

Everything is a system and understanding how the rules by which all systems operate help understand systems and optimize them

Systems Theory — Definitions

Systems are elements in interaction Systems thinking vs. traditional thinking

Characteristic Traditional thinking Systems thinkingOverall view Reductionistic, focus is on the parts Holistic, focus is on the wholeKey processes Analysis SynthesisType of analysis Deduction InductionFocus of investigation Attributes of objects Interdependence of objectsState during investigation Static DynamicBasic assumption Cause and effect Multiple, probabilistic causalityProblem resolution A static solution An adaptive system or modelingOperation of parts Optimal Suboptimal

Systems Types: Open Vs. Closed

An open system interacts with its environment A closed system receives no inputs from its

environment & entropy or decay sets in Systems have levels of being open or closed A variety of inputs is required to help a system to

remain open Suggestion: Keep human services as open as

possible until openness becomes a problem

Systems Concepts: Hierarchy Systems are nested in a hierarchy, that is,

systems consist of subsystems and systems operate within environments

Example: human service agencies (systems) often have a management hierarchy (subsystem) and a professional hierarchy (subsystem)

Suggestion: Have one hierarchy & flatten it as much as possible while still accomplishing mission

Systems Concepts: Boundaries

Boundaries = interface between a system and its subsystems or a system and its environment.

Friction occurs at the boundaries of a system, e.g., Where rubber hits the road, when planes take off and land, between an agency and its stakeholders.

By examining the boundaries of a system, we can often isolate the friction and its causes.

Suggestion: Develop many boundary spanning roles and activities

Systems Concepts: Inputs, etc.

All systems have inputs, processes, and

output.

Suggestion: By identifying and mapping the

cycles of inputs, processes and outputs, learn a

lot about how it behaves and what changes are

needed.

Systems Concepts: Goal Seeking Systems tend to be goal seeking, that is, they move in the

direction of goal achievement.

Systems without well defined goals often go in many different

directions.

The primary goal of a system is survival. All goals will be

sacrificed in order for a system to survive.

Agencies often have multiple conflicting goals

Suggestion: Staff should know if and how their work contributes

to the goal of the agency.

Systems Concepts: Cybernetics

For a system to work properly, it must have feedback

and control mechanisms.

Cybernetics is the study of feedback & control

Suggestion: Feedback & control mechanisms should

– Capture information about system outputs and outcomes

– Evaluate that information using goal related criteria

– Use evaluative information as additional inputs

Systems Concepts: Equilibrium

Systems tend toward a state of non-change called homeostasis or equilibrium.

Thus, we should assume that no system will change unless it receives new inputs.

Systems that are most likely to change are those that are failing (survival is threatened) and successful (can risks without threatening survival)

Systems Concepts: Elaboration

When systems change, they tend to move in the direction of differentiation and elaboration.

Systems like change only if it allows them to become larger entities like themselves, bureaucracies like to grow

Suggestion: Communities (which do not tend to grow) should control agencies

Systems Concepts: Synergy

Systems working well experience synergy (also called nonsummitivity) where the total system output are greater than the sum of all inputs.

For synergy to occur, subsystems must not maximize, but sacrifice and cooperate for the good of the overall system, e.g., Teamwork.

Suggestion: If synergy is not occurring, then leadership and system redesign is probably in order.

Modern Systems Thinking Innovation is more importation than optimization It is more important to do the right job than to do the job right Seeking opportunities is more important than solving problems Seek sustainable disequilibrium to keep things in “churn” To discover the unknown, must abandon the successful known Things more plentiful are more valuable (fax machine) Wealth follows things that are free (shareware) Abandon a product/occupation/industry when it is best

Source: Kevin Kelly, Wired Magazine, Sep 97, p. 140+

Law of unintended consequence

Law=any change in a system has at least one unforeseen consequence– Windfall or serendipity, e.g., exercise improves

physical health & also is as effective as anti-depressants in reducing depression

– Perverse effects, e.g., (1) abstinence only education resulted in more unprotected sex & more variety in adolescent sex behavior ; (2) empower the individual and you disempower the group

Ecological Systems Theory Applies systems to living systems and focuses on people

interacting with their environment People must stay in ecological balance with their environment

for functional adaptation; Imbalances result in dysfunctional adaptations

Programs must address the interaction of people in their physical and sociocultural environments (person in environment)

Programs must address neighborhoods, institutions, social networks, and individuals to be successful

http://www.cancer.gov/PDF/481f5d53-63df-41bc-bfaf-5aa48ee1da4d/TAAG3.pdf

Community Power TheoryThose who have power make the

decisions and those who make the decisions have power

Community Power

Power is perceived differently by different groups, e.g., phenomena of blind man and elephant

A power elite exists based on traditions, wealth, etc. Those in key positions have power, e.g., mayor, city

council, etc. Those controlling key institutions have power, e.g.,

Chamber of Commerce, Police Dept, churches, etc. Those who are organized have power (unions,

ACORN)

Theories or Models of Health Promotion (gray triangles)http://www.cancer.gov/PDF/481f5d53-63df-41bc-bfaf-5aa48ee1da4d/TAAG3.pdf

The Transtheoretical Model-- self-changers cycle through the five stages: precontemplation, contemplation, preparation, action, and maintenance. Identifying and understanding stages can help predict change success (DiClemente, et.

al.1991).

Change focusing on the individual alone will not be as successful as those involving family, peers, school/work, and the community

(NIDA, n.d.).

Change must focus on attitudes, norms, and perceived abilities as well as knowledge (Ajzen & Fishbein, 1973)

Source: Peng B. W. & Schoech D. (2008). Grounding online prevention interventions in theory: Guidelines from a review of selected theories and research. Journal of Technology in Human Services, 26/2-4, 376-396.

Other theories Admin: Theory X, Theory Y, and Theory Z Behaviorism (examine/control rewards/punishments) MBO (Management by Objectives) Social exchange, role theory, social learning--behavioral

reinforcement Collaboration, coordination, networking Leadership theories (covered later) Power theories (Donald Trump style) White Knight theory (Just get the right CEO & she/he

will rescue the agency)

Summary of class Theory and perspectives challenges our thinking about

practice Contingency Theory is very applicable to HSOs but

hard to apply TQM focuses our thinking on consumers and quality Org culture requires us to examine the beliefs, rituals,

etc. of people as they interact in the workplace Systems is an overarching theory We will use a performance management perspective

– Measurable performance standards tied to agency mission Theory like religion is often preached but less often

applied