1. 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

2. Overview of Class 2 u 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 http://www.cancer.gov/PDF/481f5d53-63df-41bc-bfaf-5aa48ee1da4d/TAAG3.pdf –Additional theories?? u Values/perspectives (covered in coursepack) –Evidence based/informed practice (EBP), win/win, strengths, empowerment

3. Basic Terms u Change agent: Person(s) carrying out the action/change u Client or target system: The person(s) benefiting from the action/change u Action system: All those involved in the action/change process u Stakeholders: Key players in the action/change process or those impacted by the condition or action/change

4. Learning Objectives of Class Be able to: u Understand principles of social work values and how they influence CAP u Understand principles of various perspectives and how they influence CAP u Understand basic concepts of several theories and how they influence CAP

5. Values of Social Work: a review u 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/ http://www2.uta.edu/cussn/courses/3306/

6. 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: u Provide a conceptual framework u Provide a common vocabulary u Guide actions u Assist comprehension or judgment u Challenge practice wisdom u Provide framework to evaluate interventions

7. 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)

8. Contingency Theory Basics u Contingency=relationship between 2+ phenomena; if one exists, then conclusions can be drawn about the other u Management depends on the major contingencies (so you must specify the contingencies). u With contingency theory, one tries to specify the conditions under which something will more likely occur u Example: if a job is highly routine, then an innovative and unstructured person will not be a good employee

9. Contingencies for HSOs u Internal (from inside the agency) –Goals –People –Tasks –Technology –Structure u External (from the environment) –Sociocultural –Political forces –Economic forces –Technological forces

10. Contingency view of an agency

11. Internal Variable: Goals u Economic-profit vs. social/change u Well vs. ill defined (sober vs. QOL) u Few coordinated vs. multiple conflicting u High vs. low accountability u High vs. low effectiveness u High vs. low efficiency

12. Internal Variable: People  Very organized or unionized vs. not organized or unionized u Young vs. elderly u High skills vs. low skills (dexterity, interpersonal, reasoning) u High vs. low needs for affiliation, power, achievement- McClelland u High vs. low level of training/education u Identity to a profession vs. identity to the organization u Coherent values and culture vs. divergent values and culture u High payment for work vs. high use of volunteers

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

14. Internal Variable: Task u Work with people vs. work with things u New each time vs. repetitive u Highly structured vs. ill structured u Well defined vs. ill defined

15. Internal Variable: Technology u Complex vs. simple machinery used u High vs. low use of formalized knowledge and procedures u Use vs. do not use computers u Have vs. do not have a basic information system u High vs. low use of web technology u High vs. low use of technology to support management u High vs. low use of technology to support workers u High vs. low use of technology to interact with clients

16. External Variable: Sociocultural u Sympathetic public (disabilities) vs. unsympathetic public (ex cons) u Voluntary client vs. involuntary client u Client has choice/input vs. no choice/input

17. External Variables: Economic u Expanding resources vs. contracting resources u Resources from another agency or government vs. resources from general public (fund raiser) u Client pays vs. funding source pays

18. External Variable: Political u High regulations vs. low regulations u Influenced by elections vs. not influenced by elections u Services politically charged vs. indifferent public (planned parenthood)

19. External variables: technological u Pressure to automate (telehealth) vs. pressure to not take money from services u Technology changing rapidly vs. technology stable

20. Application: Contingency Theory Given that u purpose of organization is service to clients u people served are involuntary, vulnerable & reluctant to speak out u people employed are young, altruistic, with BSWs u task is to provide case management for the elderly u service technology is complex, hard to quantify & support u public has mixed feelings about mission & procedures [external sociocultural] u resources are from taxes & contracting [external economic force] u 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

21. T otal Q uality M anagement (TQM) also called Continuous Quality Improvement (CQI) or quality assurance (QA)

22. TQM — Definition u TQM is a philosophy of management based upon the concepts of continuous quality improvement of services. u TQM combines principles of the quantitative and human relations schools of management.

23. TQM principles relevant to HSOs (1 of 3) u The system (not person) is responsible for 80-90% of performance u Customers defines quality (customers make good choices but cannot design systems) u Manager continuously optimizes system on quality, not efficiency or accountability u Manager focuses on long term improvement in agency processes not objectives, quotas, slogans, targets, etc.

24. TQM principles relevant to HSOs (2 of 3) u Drive out fear in the workplace u Break down barriers between departments u Improve using people closest to the change/action/work u Encourage pride in workmanship, prevent vs. correct u Profound knowledge comes from outside system u Manager like orchestra conductor--does not play but insures all in tune, playing well, playing same music, supporting each other

25. TQM principles relevant to HSOs (3 of 3) u Staff do their best, but may be doing the wrong thing u Managers support not direct workers u 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) u Use group vs. individual evaluations u Use short term problem solving teams

26. 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.

27. Organizational Culture Basics u Rooted in cultural anthropology u Cultures and subcultures exist in organizations u Cultures are ways to perceive, think, and feel in an organization u Culture guides behavior and is informally passed down to new employees, e.g., in break room

28. Org Culture: Definition Culture consists of: u History, language, artifacts u Traditions, stories, values, attitudes, beliefs, and myths u Behaviors, modeling, and norms u Rituals, rites, ceremonies, customs u The vision statement expresses the formal culture, not the informal culture

29. Function of Organizational Culture u Provides a sense of identity u Helps members make sense of work and workplace u Controls and shapes behavior u Reinforces the values of the org u Insures ethical conduct

30. Relevance u Culture must be strong to avoid chaos u Culture must fit the environment u Culture is difficult to change u Should be expressed in the mission statement u Culture must be able to adapt and evolve u Example=CPS=high stress--but saving lives, straight talking, etc. u Other examples?

31. Can change culture by u Being aware of the culture u Changing socialization of new employees u Having employees buy into a new set of values and philosophies u Changing symbols, rituals, artifacts, etc. u Providing win/win and face saving options to resisters of change

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

33. Change Theory Basics u 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) u Completing/documenting all change steps increases success u Many strategies, skills, and tools are needed along the way u Implementing change is not intuitive but learned

34. Change Process (change more successful if process followed) 1. Engagement/sensing/establishing relationships 2. Clarifying overall direction & agreements 3. Assessment (strengths, barriers, needs) 4. Prioritizing needs and capacities 5. Intervention planning—design by building on strengths to address needs 6. Implementation and goal attainment 7. Feedback, monitoring, and evaluation 8. Disengagement, termination, follow-up

35. Change more successful if (1 of 3) u One formally goes through more of the 8 stages u A powerful, guiding coalition has top level support u A change vision is created and communicated u Those impacted are involved u Those impacted feel ownership (it is their change) u Resistance assumed & tackled when first appears u The process empowers everyone rather than gives power to some

36. Change more successful if: (2 of 3) u Continuous improvement methods are employed u Trial balloons/hypothetical speculation are used u Someone is responsible to push the change u Change is modular & modules are independent u Change supporters are rewarded (behavior mod) u Those who oppose the change are given face saving options (win/win)

37. Change more successful if: (3 of 3) u Change is consistent with values of those impacted u The change and change process is documented –Get it in writing and develop a formal plan u Two way communication channels are open –No surprises or hidden agendas u Change is formalized in policies, procedures, training u Natural systems are available to support and reinforce the change (strengths perspective)

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

39. Systems Theory — Definitions u Systems are elements in interaction u Systems thinking vs. traditional thinking

40. Systems Types: Open Vs. Closed u An open system interacts with its environment u A closed system receives no inputs from its environment & entropy or decay sets in u Systems have levels of being open or closed u A variety of inputs is required to help a system to remain open u Suggestion: Keep human services as open as possible until openness becomes a problem

41. Systems Concepts: Hierarchy u Systems are nested in a hierarchy, that is, systems consist of subsystems and systems operate within environments u Example: human service agencies (systems) often have a management hierarchy (subsystem) and a professional hierarchy (subsystem) u Suggestion: Have one hierarchy & flatten it as much as possible while still accomplishing mission

42. Systems Concepts: Boundaries u Boundaries = interface between a system and its subsystems or a system and its environment. u 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. u By examining the boundaries of a system, we can often isolate the friction and its causes. u Suggestion: Develop many boundary spanning roles and activities

43. Systems Concepts: Inputs, etc. u All systems have inputs, processes, and output. u Suggestion: By identifying and mapping the cycles of inputs, processes and outputs, learn a lot about how it behaves and what changes are needed.

44. Systems Concepts: Goal Seeking u Systems tend to be goal seeking, that is, they move in the direction of goal achievement. u Systems without well defined goals often go in many different directions. u The primary goal of a system is survival. All goals will be sacrificed in order for a system to survive. u Agencies often have multiple conflicting goals u Suggestion: Staff should know if and how their work contributes to the goal of the agency.

45. Systems Concepts: Cybernetics u For a system to work properly, it must have feedback and control mechanisms. u Cybernetics is the study of feedback & control u 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

46. Systems Concepts: Equilibrium u Systems tend toward a state of non-change called homeostasis or equilibrium. u Thus, we should assume that no system will change unless it receives new inputs. u Systems that are most likely to change are those that are failing (survival is threatened) and successful (can risks without threatening survival)

47. Systems Concepts: Elaboration u When systems change, they tend to move in the direction of differentiation and elaboration. u Systems like change only if it allows them to become larger entities like themselves, bureaucracies like to grow u Suggestion: Communities (which do not tend to grow) should control agencies

48. Systems Concepts: Synergy u Systems working well experience synergy (also called nonsummitivity) where the total system output are greater than the sum of all inputs. u For synergy to occur, subsystems must not maximize, but sacrifice and cooperate for the good of the overall system, e.g., Teamwork. u Suggestion: If synergy is not occurring, then leadership and system redesign is probably in order.

49. Modern Systems Thinking u Innovation is more importation than optimization u It is more important to do the right job than to do the job right u Seeking opportunities is more important than solving problems u Seek sustainable disequilibrium to keep things in “churn” u To discover the unknown, must abandon the successful known u Things more plentiful are more valuable (fax machine) u Wealth follows things that are free (shareware) u Abandon a product/occupation/industry when it is best u Source: Kevin Kelly, Wired Magazine, Sep 97, p. 140+

50. Law of unintended consequence u 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

51. Ecological Systems Theory u Applies systems to living systems and focuses on people interacting with their environment u People must stay in ecological balance with their environment for functional adaptation; Imbalances result in dysfunctional adaptations u Programs must address the interaction of people in their physical and sociocultural environments (person in environment) u Programs must address neighborhoods, institutions, social networks, and individuals to be successful http://www.cancer.gov/PDF/481f5d53-63df-41bc-bfaf-5aa48ee1da4d/TAAG3.pdf

52. Community Power Theory Those who have power make the decisions and those who make the decisions have power

53. Community Power Power is perceived differently by different groups, e.g., phenomena of blind man and elephant u A power elite exists based on traditions, wealth, etc. u Those in key positions have power, e.g., mayor, city council, etc. u Those controlling key institutions have power, e.g., Chamber of Commerce, Police Dept, churches, etc. u Those who are organized have power (unions, ACORN)

54. 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.

55. Other theories u Admin: Theory X, Theory Y, and Theory Z u Behaviorism (examine/control rewards/punishments) u MBO (Management by Objectives) u Social exchange, role theory, social learning-- behavioral reinforcement u Collaboration, coordination, networking u Leadership theories (covered later) u Power theories (Donald Trump style) u White Knight theory (Just get the right CEO & she/he will rescue the agency)

56. Summary of class u Theory and perspectives challenges our thinking about practice u Contingency Theory is very applicable to HSOs but hard to apply u TQM focuses our thinking on consumers and quality u Org culture requires us to examine the beliefs, rituals, etc. of people as they interact in the workplace u Systems is an overarching theory u We will use a performance management perspective –Measurable performance standards tied to agency mission u Theory like religion is often preached but less often applied