The Vocabulary of Appraisal
A test is a sample of behavior, i.e., a series of tasks (e.g., items) used to obtain systematic observations
presumed to represent attributes or characteristics. A test is used as a measurement tool.
Measurement is the process of assigning numbers to human attributes or characteristics.
Assessment is the use of methods or processes to gather data about, or evidence of, human behavior.
Assessment is a preferred term because it (merely) connotes the collection of data concerning the present
state of human behavior, whereas the term diagnosis connotes determination of the degree of
abnormality.
Interpretation is the act of stating the meaning and/or usefulness of behavioral data.
Evaluation is the process of applying judgments to and/or making decisions based on the results of
measurement.
An evaluation program is a program test designed to measure and assess an individual’s growth,
adjustment, and/or achievement, or a program’s effectiveness.
Tests used in the counseling professions are usually (and generally) classified into five categories:
Aptitude
Achievement
Intelligence
Interest
Personality
Aptitude, achievement, and intelligence tests are sometimes clustered under the heading ability tests.
An ability test is a standardized test that measures a test taker’s current level of performance in a
specified area of cognitive, psychomotor, or physical functioning.
An achievement test measures a test taker’s achievement level in one or more content or subject matter
areas.
An adjustment inventory is a self-report instrument used to identify personal and social adjustment
problems.
Cognitive assessment is a data-collecting technique used to assess an individual’s ability to perform
mental activities relative to acquiring, processing, retaining, conceptualizing, and organizing verbal,
spatial, psychomotor, sensory, and perceptual information.
A diagnostic (ability) test measures specific aspects of achievement in a single subject or field.
An intelligence test is a psychological or educational test designed to measure intellectual operations,
functions, and general abilities.
An inventory assesses an individual’s opinions, interests, and dispositions about specific situations.
A mastery test assesses whether an individual has achieved mastery, generally defined by a passing or cut
score, in a specific domain of knowledge or skill.
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A multi-factor test measures multiple constructs that are relatively uncorrelated with one another.
A performance test is one that generally requires the use and manipulation of physical objects and the
application of physical and manual skills in situations rather than oral or written responses.
A screening test is a beginning point in a selection or diagnostic process that identifies broad
classifications of test takers.
A projective test technique assesses personality dynamics through psychological projection. Test takers
respond to ink blots, pictures, incomplete sentences, or other unstructured stimuli, in such a manner that
they “project” into their responses manifestations of personality characteristics.
An aptitude test is a cognitive or psycho-motor measure used to predict success in a course, job, or
educational or training program.
An interest inventory measures preferences for one or more activities from a large set of possible
activities.
A personality inventory measures one or more aspects of personality, including attributes, dynamics, or
characteristic ways of behaving.
A self-report inventory usually consists of questionnaire-type statements requiring a limited form of
responding (e.g., true-false or multiple-choice items).
An individual test is administered to one person at a time.
A group test is administered simultaneously to a group of people.
In a power test, speed is not measured as a component of performance, i.e., there is more than sufficient
time to respond.
In a speed(ed) test, time is measured as a component of performance.
A verbal test necessitates command of language for effective responding.
A nonverbal test de-emphasizes comprehension of language as a requirement for effective responding.
An objective test has clear and unambiguous scoring criteria.
A placement test is used to assign individuals to different levels or categories.
Construct equivalence is the degree to which multiple tests measure essentially the same construct. It
also refers to the extent to which the same test measures the same construct when administered to two
different cultural or linguistic groups.
Documentation includes supporting materials such as test manuals and research reports created by test
authors and publishers to provide evidence of a test’s quality and promote use of that test.
Discriminating power is the ability of a test item to differentiate between individuals who possess much of
a given characteristic such as skill, knowledge, or attitude, and individuals who possess little of the
characteristic.
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Adaptive testing is an individualized, sequential form of testing in which successive test items are selected
on the basis of a test taker’s responses to previous items. Test items also are selected based on
psychometric properties and test content.
A pilot test is the administration of a test to a representative sample of examinees so that the test’s
properties may be determined.
A test battery is a group of tests for which the results are valued individually and/or in combination. It is
standardized on the same population so that norm-referenced scores can be derived and used for
comparison and decision-making purposes.
A standardized test is one in which testing conditions are the same for all examinees, including directions,
scoring procedures, test use, data on reliability and validity, and adequately determined norms.
A field test is an administration of a test employed to examine the quality of testing procedures such as
test administration, responding, scoring, and reporting, in a manner that is more extensive than in pilot
testing.
Alternate forms are two or more interchange-able versions of a test that generally assess the same
construct, use the same instructions for test administration, and are given for the same purposes.
Alternate forms include:
parallel forms, which have identical content and psychometric properties;
equivalent forms, which sample the same content areas and are considered equivalent in regard to
derived scores; and
comparable forms, which have similar content areas but do not share statistical similarity.
Neuropsychological assessment is an evaluation that generates possible hypotheses and conclusions
regarding processes that affect the central nervous system, or psychological or behavioral dysfunctions
related to pathology in the central nervous system.
Outcome evaluation is a practitioner-generated assessment of the efficacy of a particular intervention,
program, or service.
A job analysis identifies the (a) knowledge, skills, abilities, and other personal qualities needed to
perform a given job; and (b) the specific tasks to be performed relative to the job.
Portfolio assessment is the evaluation of systematically collected educational or work products over a
period of time.
Performance assessment is evaluation of observable products or behaviors in settings designed to
represent real-life contexts in which knowledge and skills are actually utilized.
Program evaluation is assessment of the efficacy of a planned set of procedures.
Personality assessment is evaluation of normal or abnormal dimensions of personality.
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Psychological assessment is an evaluation of an individual’s psychological functioning that includes
administering, scoring and interpreting tests and inventories, behavioral observations, client and thirdparty interviews, and analysis of prior educational, occupational, medical, and psychological records.
Psychological testing is employment of tests and inventories to measure an individual’s psychological
traits and dimensions.
Vocational assessment is a form of psychological assessment that generates hypotheses and inferences
related to constructs such as the test taker’s values, work needs, interests, and career- development
status.
Norms are statistics that describe the performance of individuals of various ages or grade levels who
comprise the standardization group for the test.
Age norms are scores that represent average performances for individuals by chrono-logical age. They
usually are expressed as central tendencies, scores, percentiles, standard scores, or stanines.
Local norms are a set of scores obtained from a specific sample that are not considered generalizable to
populations beyond the sample.
The reference population is the group of people from which a sample was used to establish norms for a
given test.
The standardized sample is the group of people from the reference population whose performances were
used to establish the norms for a given test.
Utility is an evaluation, often in cost-benefit form, of the relative value of using or not using a given test
for a specific purpose.
Ability is the power to perform a designated responsive act. The power may be potential or actual,
native, or acquired.
Achievement level is an individual’s performance and competency in a specified subject area.
The description of achievement level is usually defined as a category on a continuum that ranges from
“basic” to “advanced.”
Aptitude is the capacity to gain proficiency with training.
Intelligence is the cognitive ability to perceive and understand relationships, such as logical, spatial,
verbal, numerical, and recall of associated meanings.
Intelligence is sometimes considered synonymous with academic aptitude, scholastic aptitude, mental
ability, capacity, or mental maturity.
A raw score is an original and unadjusted test score, usually characterized by a sum of the correct
answers or another combination of item scores.
The “ceiling” is the upper limit of ability measured by a test.
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The “ceiling effect” is when many respondents achieve very high (raw) scores on a test or measurement,
i.e., the test is too easy for most of the respondents.
A criterion is a standard, norm, or judgment used as the basis for quantitative and/or qualitative
comparison.
In a criterion-referenced test, score interpretations are made based on the test taker’s independent
performance level, rather than relative to the performance levels achieved by others.
In a norm-referenced test, score interpretations are made relative to the performance levels achieved by
others.
A composite score results from the combination of several scores as specified by a certain formula.
A cut score is the particular score value or point on a score scale that differentiates interpretation of
scores below or above the point. If one cut score is used, the potential scores may fall into ranges of
either “pass” and “mastery” or “fail” and “nonmastery.”
A gain score is the difference between an individual’s two test scores on the same or equivalent test.
Holistic scoring is a method that uses previously specified criteria to determine an overall appraisal of
performance on a test or test item.
A derived score is one numerically converted from a quantitative or qualitative mark on one scale into
the units of another scale. It is also referred to as a scaled score.
Examples include grade placement, chronological age equivalent, chronological age placement,
educational age, intelligence quotient, percentile rank, and standard score.
An equated score is a derived score that is comparable from test to test, such as standard scores, grade
placements, and mental ages.
A grade-equivalent score is the real or estimated mean or median score for a grade-level population.
An intelligence quotient (IQ) is a measure of potential rate of intellectual growth that is expressed as the
ratio of mental age (MA) to chronological age (CA). The formula is IQ = MA/CA x 100.
A mental age is the average or normal chronological age for a given score on an intelligence test.
A deviation IQ is an intelligence test score that is a derived score based on the individual’s deviation from
the mean of the norm group in standard deviation units.
A scaled score is a unit in a system of equated scores established for the raw scores of a test.
A scaled score usually is interpreted relative to the mean performance of a given reference group,
whereby the interval between any pair of scaled scores represents meaningful differences in terms of the
characteristics of the reference group.
A scoring rubric is the set of principles, rules, and standards used to assess an individual’s performance,
a product, or a response to a test item.
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Scoring rubrics vary by the amount of judgment involved, number of distinct score levels, and latitude
for intermediate or fractional score values.
A standard score (e.g., Sigma score, T score, or z score) is a type of derived score that indicates the extent
to which a score deviates from the mean.
A distribution of standard scores for a specified population will have values for the mean and standard
deviation that can be readily interpreted and understood.
A “true score” is the mean score of the theoretical distribution of scores that would be obtained by the
individual test taker on an unlimited number of identical administrations of the same test.
In “true score theory”
X (the actual/observed score received) =
systematic error (e.g., test anxiety) +
random error (e.g., not feeling well)
true score (i.e., actual trait level) +
Classification accuracy is the degree of accurate categorizations and diagnoses when a test is used to
classify an individual or event.
A false negative is an error whereby an outcome or performance that is predicted not to meet an expected
criteria actually meets those criteria.
A false positive is an error whereby an outcome or performance is predicted to meet an expected criteria
but actually does not fulfill those criteria.
In a high-stakes test, results have a significant and direct impact for the individual test taker, program,
or institution being evaluated.
In a low-stakes, results have inconsequential impact on the individual test taker, program, or institution.
Intervention planning is the work behavior of a practicing helping professional that involves the
development of treatment goals, plans, and protocols.
The local setting is the place where a test is used.
Local evidence is the reliability and/or validity data collected for a given set of test takers at a single
institution or specific location.
A test user is an individual or organization that chooses to administer and interpret test scores elicited in
a given setting so that test-based decisions and actions may be made.
Psychodiagnosis is the use of psychological test data to classify an individual’s mental health status.
Selection is an objective of testing that results in either accepting or rejecting candidates for specific
opportunities in educational and employment contexts.
Sensitivity is the extent to which a diagnostic test identifies a disorder when it actually is present.
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(Test) Bias is the under representation or irrelevance of construct components in test scores that results
in one group of test takers being typically favored over another.
Response bias is the systematic error caused by the test taker’s tendency to respond in a certain way to
test items.
Translational equivalence is the extent to which the (original) content of a test corresponds to a
linguistically translated version of the test.
Sociometry is the measurement of the interpersonal relationships among members of a group.
Coaching is the process of helping prospective examinees increase their test scores. It includes practices
such as learning test-taking strategies that are independent of the curricula of schools and training
programs.
Correction for guessing is a score-change technique that compensates for guessing on a test. The number
of right answers on a test is adjusted by subtracting a proportion of the total number of incorrect
responses from the total number of correct answers.
Flagging is the process of attaching an indicator to a test score to signify that the score was obtained in a
nonstandardized testing administration.
Item analysis is a method used in test construction to determine how well a given test item discriminates
among individuals who differ in some characteristic.
Item-effectiveness considerations include validity relative to curriculum content and educational
objectives, discriminating power relative to validity and internal consistency, and level of difficulty.
A construct is the underlying theoretical concept or characteristic to be measured by a specific test.
The construct domain is a set of associated attributes to be assessed by a specific test.
The content domain is the specific set of skills or level of knowledge that is measured by a given test.
The criterion domain is the variable used as a frame of reference when making comparisons for a specific
test.
An item pool is a set of potential items from which items are extracted for either the development of a test
or the selection of successive items when adapting the test.
An item prompt is a stimulus, such as a question or set of instructions, that guides the test taker in
formulating a response.
A test manual is a publication (aka a “user’s guide”) prepared by test developers and publishers to
provide information on administering and scoring the test, and interpreting scores. It also may provide
information on test characteristics, and procedures used in developing the test and evaluating the
technical quality of its test scores.
A technical manual is a publication prepared by test authors and publishers that provides technical and
psychometric data concerning the respective test.
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A test developer is the individual(s) or organization that constructed a test and its supporting materials.
Test development is the process of designing, constructing, assessing, and modifying a test. It includes
the development of content, administration, and scoring procedures, and determination of technical
quality.
Test documents are publications, written works, and technical information concerning a test that test
users may use to evaluate the test for appropriateness and technical adequacy for a particular intended
purpose.
Classical test theory is a school of thought that defines an individual’s observed test score as the product
of two separate components: a true test score and an independent error of measurement.
Classical test theory and its premises about the components of a test score yield (traditional) implications
for relationships among validity, reliability, and other statistical measures.
Generalizability theory is an extension of classical test theory in which analyses are used to evaluate the
generalizability of scores beyond the specific sample of items, persons, and observational conditions that
were studied.
Item response theory (IRT) is a theory of test performance that highlights the relationship between the
mean item score and the calibrated level of the ability or trait measured by the item to theoretically yield
the maximally appropriate items for each respondent.
A population is the group of people to whom results will apply, typically considered as the group to whom
results will be generalized.
A sample is a subset of a given population.
A random sample is a sample of a given population that is selected in such a way that selection bias is
eliminated and every member of the population has an equal chance of being included in the sample.
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Appraisal
Part 2
Statistical Concepts for Appraisal
A frequency distribution is a tabulation of scores in numerical order showing the number of persons who
obtain each score or group of scores.
A frequency distribution is usually described in terms of its measures of central tendency (i.e., mean,
median, and mode), range, and standard deviation.
The (arithmetic) mean is the sum of a set of scores divided by the number of scores.
The median is the middle score or point above or below which an equal number of ranked scores lie; it
corresponds to the 50th percentile.
The mode is the most frequently occurring score or value in a distribution of scores.
The range is the arithmetic difference between the lowest and the highest scores obtained on a test by a
given group.
Variability is the dispersion or spread of a set of scores; it is usually discussed in terms of standard
deviations.
The standard deviation is a measure of the variability in a set of scores (i.e., frequency distribution).
The standard deviation is the square root of the squared deviations around the mean (i.e., the square root
of the variance for the set of scores).
The normal distribution curve is a bell-shaped curve derived from the assumption that variations from
the mean are by chance, as determined through repeated occurrences in the frequency distributions of
sets of measurements of human characteristics in the behavioral sciences.
Scores are symmetrically distributed above and below the mean, with the percentage of scores decreasing
in equal amounts (standard deviation units) as the scores progress away from the mean.
Skewness is the degree to which a distribution curve with one mode departs horizontally from symmetry,
resulting in a positively or negatively skewed curve.
A positive skew is when the “tail” of the curve is on the right and the “hump” is on the left.
A negative skew is when the “tail” of the curve is on the left and the “hump” is on the right.
Kurtosis is the degree to which a distribution curve with one mode departs vertically from symmetry .
A leptokurtic distribution is one that is more “peaked” than the normal distribution.
A platokurtic distribution is one that is “flatter” than the normal distribution.
Percentiles result from dividing the (normal) distribution into one hundred linearly equal parts.
A percentile rank is the proportion of scores that fall below a particular score.
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Two different percentiles may represent vastly different numbers of people in the normal distribution,
depending on where the percentiles are in the distribution.
Standardization, sometimes called “normalizing,” is the conversion of a distribution of scores so that the
mean equals zero and the standard deviation equals 1.0 for a particular sample or population.
“Normalizing” a distribution is appropriate when the sample size is large and the actual distribution is
not grossly different from a normal distribution.
Standardization, or normalizing, is an intermediate step in the derivation of standardized scores, such as
T scores, SAT scores, or Deviation IQs.
Stanines are a system for assigning a score of one through nine for any particular score. Stanines are
derived from a distribution having a mean of five and a standard deviation of two.
A correlation coefficient is a measure of relationship between two or more variables or attributes that
ranges in value from -1.00 (perfect negative relationship) through 0.00 (no relationship) to +1.00 (perfect
positive relationship).
A regression coefficient is a measure of the linear relationship between a dependent variable and a set of
independent variables.
The probability (also known as the alpha) level is the likelihood that a particular statistical result
occurred simply on the basis of chance.
The coefficient of determination is the square of a correlation coefficient. It is used in the interpretation
of the percentage of shared variance between two sets of test scores.
Error of measurement is the discrepancy between the value of an observed score and the value of the
corresponding theoretical true score.
The standard error of measurement is an indicator of how closely an observed score compares with the
true score. This statistic is derived by computing the standard deviation of the distribution of errors for
the given set of scores.
Measurement error variance is the portion of the observed score variance that is attributed to one or
more sources of measurement error (i.e., the square of the standard error of measurement).
Random error is an error associated with statistic analyses that is unsystematic, often indirectly
observed, and appears to be unrelated to any measurement variables.
Differential item functioning is a statistical property of a test item in which, conditional upon total test
score or equivalent measure, different groups of test takers have different rates of correct item response.
The item difficulty index is the percentage of a specified group that answers a test item correctly.
The item discrimination index is a statistic that indicates the extent to which a test item differentiates
between high and low scorers.
Extrapolation is the process of estimating values of a function beyond the range of the available data.
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A confidence interval is the interval between two points on a scale within which a score of interest lies,
based on a certain level of probability.
The error of estimate (standard or probable) is the degree to which test scores estimated from a criterion
correspond with actual scores.
The regression effect is the tendency of a predicted score to be nearer to the mean of its series of scores
than was predicted.
A factor is a hypothetical dimension underlying a psychological construct that is used to describe the
construct and intercorrelations associated with it.
Factor analysis is a statistical procedure for analyzing intercorrelations among a group of variables, such
as test scores, by identifying a set of underlying hypothetical factors and determining the amount of
variation in the variables that can be accounted for by the different factors.
The factorial structure is the set of factors resulting from a factor analysis.
Reliability
Reliability is the degree to which an individual would obtain the same score on a test if the test was readministered to the individual with no intervening learning or practice effects.
The reliability coefficient is an index that indicates the extent to which scores are free from measurement
error. It is an approximation of the ratio of true variance to observed score variance for a particular
population of test takers.
The coefficient of equivalence is a correlation between scores for two forms of a test given at essentially
the same time; also referred to as alternate-form reliability, a measure of the extent to which two
equivalent or parallel forms of a test are consistent in what they measure.
The coefficient of stability is a correlation between scores on two administrations of a test, such as test
administration and retest with some intervening time period.
The coefficient of internal consistency is a reliability index based on interrelationships of item responses
or of scores on sections of a test obtained during a single administration. The most common examples
include the Kuder-Richardson and split-half.
Coefficient Alpha is a coefficient of internal consistency for a measure in which there are more than
dichotomous response choices, such as in the use of a Likert scale.
The split-half reliability coefficient is a reliability coefficient that estimates the internal consistency of a
power test by correlating the scores of two halves of the test (usually the even-numbered items and the
odd-numbered items, if their representative means and variances are equal).
The Spearman-Brown Prophecy Formula projects the reliability of a test that has been reduced from the
calculated reliability of the test. It is a “correction” appropriate for use only with a split-half reliability
coefficient.
Interrater reliability is an index of the consistency of two or more independent raters’ judgments in an
assessment situation.
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Intrarater reliability is an index of the consistency of each independent rater’s judgments in an
assessment situation.
Validity
Validity is the extent to which a given test measures or predicts what it purports to measure or predict.
The two basic approaches to the determina-tion of validity include logical analysis, which applies to
content validity and item structure, and empirical analysis, which applies to predictive validity and
concurrent validity. Construct validity falls under both logical and empirical analyses.
Validity is application specific, not a generalized concept. That is, a test is not in and of itself valid, but
rather is valid for use for a specific purpose for a specific group of people in a specific situation.
Validation is the process by which the validity of an instrument is measured.
Face validity is a measure of the acceptability of a given test and test situation by the examinee or user, in
terms of the apparent uses of the test.
Concurrent validity is a measure of how well a test score matches a measure of criterion performance.
Example applications include comparing a distribution of scores for men in a given occupation with those
for men in general, correlating a personality test score with an estimate of adjustment made in a
counseling interview, and correlating an end-of-course achievement or ability test score with a gradepoint average.
Content validity is a measure of how well the content of a given test represents the subject matter
(domain or universe) or situation about which conclusions are to be drawn.
A construct is a grouping of variables or behaviors considered to vary across people. A construct is not
directly observable but rather is derived from theory.
Construct validity is a measure of how well a test score yields results in line with theoretical implications
associated with the construct label.
Predictive validity is a measure of how well predictions made from a given test are confirmed by data
collected at a later time.
Example applications of predictive validity include correlating intelligence test scores with course grades
or
Cross-validation is the process of determining whether a decision resulting from one set of data is truly
effective when used with another relevant and independent data set.
Convergent evidence is validity evidence derived from correlations between test scores and other types of
measures of the same construct and in which the relationships are in predicted directions.
Discriminant evidence is validity evidence derived between test scores and other forms of assessment for
different constructs and in which the relationships are in predicted directions.
Appraisal of Intelligence
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A very general definition of intelligence is that it is a person’s global or general level of mental (or
cognitive) ability.
However, there is considerable debate as to what intelligence is, and a corresponding amount of debate
about how it should be measured.
Perhaps the biggest debate in the assessment of intelligence is how to use intelligence tests effectively.
Given that intelligence is a “global” construct, what are the implications of intelligence test results for
relatively specific circumstances and/or sets of behaviors?
In general, intelligence test results have been most useful for interpretation in contexts calling for use of
mental abilities, such as in educational processes.
Another argument concerns whether intelligence is “a (single) thing,” which is reflected in unifactor
theories of intelligence, or a unique combination of things, which is reflected in multifactor theories of
intelligence.
The measurement implications from this debate result in some intelligence tests at-tempting to measure a
single construct and some attempting to measure a unique set of interrelated constructs.
Another debate centers on what proportion of intelligence is genetic or inherited and what proportion is
environmentally determined. This is the so-called “nature-nurture” controversy.
So-called “fluid” intelligence (theoretically a person’s inherent capacity to learn and solve problems) is
largely nonverbal and is a relatively culture-reduced form of mental efficiency.
The nature-nurture concern has significant implications for how intelligence is assessed (e.g., what types
of items and/or tasks are included), but there has not been full or consensual resolution of the debate.
A fourth major debate concerns the extent to which intelligence tests are racially, culturally, or otherwise
biased.
Although evidence of such biases were found in some “early” intelligence tests, improvements in
psychometry have done much to alleviate such biases, at least in regard to resultant psychometric
properties of “newer” intelligence tests.
In light of these and other considerations, the primary focus for the assessment of intelligence is on the
construct validity of intelligence tests.
In general, individually administered intelligence tests have achieved the greatest credibility.
Individual intelligence tests typically are highly verbal in nature, i.e., necessitate command of language
for effective performance.
Individual intelligence tests typically include both verbal (e.g., response selection or item completion) and
performance (e.g., manipulation task) subsets of items.
However, nonverbal and nonlanguage intelligence tests have been developed.
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Group administered intelligence tests, such as those commonly used in schools, are typically highly verbal
and non-performance in nature.
Appraisal of Aptitudes
An aptitude is a relatively clearly defined cognitive or behavioral ability.
An aptitude is a much more focused ability than general intelligence, and the measurement of aptitudes
also has been more focused.
Literally hundreds of aptitude tests have been developed and are available for a substantial number of
rather disparate human abilities.
Theoretically, aptitude tests are intended to measure “innate” abilities (or capacities) rather than learned
behaviors or skills.
There remains considerable debate as to whether this theoretical premise is actually achieved in practice.
However, this debate is lessened in importance IF the relationship between a current aptitude test result
and a future performance indicator is meaningful and useful.
Aptitude tests are used primarily for prediction of future behavior, particularly in regard to the
application of specific abilities in specific contexts.
Predictive validity is usually the foremost concern in aptitude appraisal and is usually established by
determining the correlation between test results and some future behavioral criterion.
Although there are many individual aptitude tests, aptitude appraisal is much more commonly achieved
through use of multiple-aptitude test batteries.
There are two primary advantages to the use of multiple-aptitude batteries (as opposed to a collection of
individual aptitude tests from different sources):
First, the subsections of multiple-aptitude test batteries are designed to be used as a collection; therefore,
there is usually a common item and response format, greater uniformity in score reporting, and generally
better understanding of subsection and overall results.
Second, the norms for the various subtests are from a common population; therefore, comparison of
results across subtests is facilitated.
Perhaps the most widely recognized use of aptitude tests is for educational purposes, e.g., Scholastic
Assessment Test (formerly the Scholastic Aptitude Test; SAT), American College Testing Program
(ACT), and Graduate Record Examination (GRE).
However, aptitude tests used specifically for vocational purposes (e.g., General Aptitude Test Battery;
GATB) or armed services purposes (e.g., Armed Services Vocational Aptitude Battery; ASVAB) also are
very widely used.
Appraisal of Achievement
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Achievement tests are measures of success, mastery, accomplishment, or learning in a subject matter or
training area.
The greatest use by far of achievement tests is in school or educational systems to determine student
accomplishment levels in academic subject areas.
The vast majority of achievement tests are group tests.
Most achievement tests also are actually multiple-achievement test batteries because they typically have
subtests for several different subject matter areas.
However, there are achievement tests available that measure across several different subject matter areas
but that are designed for individual administration.
Individual achievement tests are used most commonly in processes to diagnose learning disabilities.
Most achievement tests are norm-referenced to facilitate comparisons within and between components of
educational systems.
However, increasingly, criterion-referenced achievement tests are being used in the at-tempt to determine
with greater specificity the particular skills and/or knowledge students are mastering at various
educational levels.
Appraisal of Interests
The primary goal of interest assessment is to help individuals differentiate preferred activities from
among possible activities.
Presumably, the information derived from interest assessment will enable the respondent to achieve
greater vocational productivity, success, and/or life satisfaction.
Most interest inventories are used in the context of vocational counseling (i.e., to help individuals
determine preferences in various aspects of the world of work).
However, increasingly, interest inventories are being developed and used to assess preferences in other
aspects of life, such as leisure.
Some interest (and some personality) inventories are ipsative measures, which means that the average of
the subscale responses is the same for all respondents.
Ipsative measures usually have a forced-choice format, which means that a respondent cannot have all
high scores or all low scores across subscales.
Interest inventories are most commonly used by and developed for young adults, such as late high school
or college students.
However, interest inventories suitable and valid for use with persons at any age are available.
The major problem with interest inventories is the tendency for respondents to interpret them as
measures of ability or probable satisfaction, neither of which is necessarily directly related to any
particular preference.
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Appraisal of Personality
Personality is a vague, difficult-to-define construct. People tend to think of it as “the way a person is.”
However, there are at least two points of agreement about personality:
First, each person is consistent to some extent (i.e., has coherent traits and action patterns that are
repeated).
Second, each person is distinct or unique to some extent (i.e., has traits and behaviors different from
others).
It is exactly this strange set of conflicting conditions that makes the assessment of personality so complex.
“Normality” is a relativistic term used to describe how some identifiable group of people (should) behave
most of the time.
The assessment of personality thus involves determining the extent to which a person’s traits and/or
behaviors fit normality (i.e., are compared to average behavior in some reference group).
The use of projective techniques and self-report inventories are the two primary methods of appraisal of
personality.
Projective techniques involve respondents constructing their own responses to vague and ambiguous
stimuli.
The projective hypothesis is that personal interpretation of ambiguous stimuli reflects unconscious needs,
motives, and/or conflicts.
Generally, five types of projective assess-ment techniques are discussed:
Association techniques, such as the Rorschach or Holtzman Inkblot techniques, ask the respondent to
“explain” what is seen in the stimulus.
Construction techniques, such as the Thematic Apperception Test or the Children’s Apperception Test,
ask the respondent to “tell a story” about what is represented by the stimulus, usually a vague picture.
Expression techniques, such as the Draw-A-Person Test or the House-Tree-Person Test, ask the
respondent to create a figure or drawing in response to some instruction.
Arrangement techniques ask respondent to place in order the elements of a set (usually) of pictures and
then to “explain” the sequence.
Completion techniques ask the respondent to make a complete sentence from a sentence stem.
Historically, the results of projective tech-niques have exhibited poor psychometric properties.
However, the use of projective techniques remains quite popular, primarily because respondents often do
disclose information, particularly “themes” of information, not easily obtainable through other methods.
Generally, three types of self-report personality inventories are discussed in the professional literature:
16
Theory-based inventories, such as the Myers-Briggs Type Inventory, State-Trait Anxiety Inventory, or
Personality Research Form, assess traits and/or behaviors in accord with the constructs upon which the
inventory is based.
Factor-analytic inventories, such as the Sixteen Personality Factor Questionnaire or the Neo-Personality
Inventory-Revised, assess personality dynamics outside the context of any particular theory of
personality.
Items in these types of instruments are selected from the results of factor analyses of large samples of
items and generally have very good psychometric properties.
Criterion-keyed inventories, such as the Minnesota Multiphasic Personality Inventory-2 or Millon
Clinical Multiaxial Inventory-III, contain subscale items that discriminate between a criterion group
(e.g., schizoid or narcissistic) and a relevant control group (e.g., “normals”).
These types of inventories usually are used to assist in making clinical diagnoses.
Self-report personality inventories generally have much better psychometric properties than do
projective techniques.
However, clinical diagnoses should never be made solely on the basis of personality instrument results;
clinical judgments should be used in combination with assessment results.
Computers and Appraisal
Clearly the most prominent trend in appraisal today is toward “computerization” of testing.
In computer-based testing, instruments or techniques that are or could be in other formats (e.g., “paperand-pencil”) are converted to a situation in which they are presented on and responded to through use of
a computer.
Adaptive testing is when an item presented subsequently to a respondent is selected based on the
qualitative or accuracy nature of the response to the preceding item.
Adaptive testing is facilitated through the use of computers due to the capability to handle large numbers
of contingencies and choices efficiently and accurately.
Computer-generated interpretive reports also are increasing in frequency of use.
A computer’s capability to analyze complex data sets and intricate patterns in data are the primary
reasons for the increasing use of computer-generated interpretive reports.
However, computer-generated interpretive reports are only as good as the programming underlying
them, and never as good as when used in conjunction with sound clinical judgment.
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Career and Lifestyle Development Part 1
Career Development Theories and Decision-Making Models
In order to understand career development theories and decision-making models, it is important to be
familiar with the basic terms used in this field.
Although different theories and models may put a specific "spin" on a particular term, a common
understanding of terms has evolved over the years that allows professionals to communicate effectively
irrespective of the theory or model they use in practice.
Beginning counselors and the general public are often imprecise in their use of terms. For example, the
terms "occupation," "job," and "position" are sometimes (erroneously) used as synonyms.
To avoid confusion and miscommunication with clients or each other, counselors need to use terms that
accurately reflect the aspect of the career development process that they are describing.
Following are common terms used in discussion of career development. By viewing the "big picture," the
reader can be better prepared to understand the use of specific terms.
Career - The interrelationships among an individual's paid work, unpaid work, leisure, family,
education, and training that evolve over time. Often defined previously as the sequence of occupations
held by an individual over a lifetime, now the term is typically viewed in a broader, more holistic manner.
Career counseling - A process where a client and counselor identify a career problem, set goals for
resolving the problem, and then use a variety of assessment, information, and instructional resources
(within the context of a helping relationship) to resolve the problem.
Career counseling is one component of a fully functional career guidance program and is used most costeffectively for clients with limited readiness for career choice or with complicated career problems.
Career decision making - A process of identifying that a decision needs to be made, generating options,
examining self and options, selecting an option, and planning needed action to follow through with the
decision.
Career development - The internal and external factors that influence a person's career development
over time.
Career development can be planned, purposeful, reactive, or random.
Career guidance, career education, career counseling, career interventions, and career management are
intended to help individuals have healthy, successful careers by proactively dealing with the factors that
influence career development.
Career education - An education-community partnership to integrate assessment, information, and
instructional resources for students at developmentally appropriate times, from elementary school
through postsecondary education, to proactively influence students' career development.
Instruction is a key element of the career education process.
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Career guidance - A comprehensive strategy (including career education and counseling, self-help
resources, and job placement) designed to help individuals access and use assessment, information, and
instructional resources in a developmentally appropriate manner to enhance career development.
Although the focus shifts to career management once an individual becomes employed, career guidance
services may be sought as individuals negotiate ongoing employment, education, and training
opportunities.
Career intervention - The use of assessment, information, and instructional resources to solve a career
problem, with or without the assistance of a practitioner.
A career intervention can be as simple as an individual's use of self-help career informa-tion or as
complex as the exploration of interrelated work and family problems in individual career counseling.
Career ladder - A series of jobs within an organization with increasing complexity and diverse skill
requirements designed to prepare workers for upward mobility and greater responsibility.
Career lattice - A series of jobs within an organization that allow upward or lateral transfers. It can
include a number of career ladders, thus allowing workers to transfer laterally, and help them to
continue to develop skills and remain motivated when upward mobility is limited.
Career management - Actively assuming responsibility for one's ongoing career development by
proactively using supervision, career resources, and educational and training opportunities to maximize
career success.
Individuals seeking to manage their careers may make use of career counseling, career guidance, career
interventions, or job placement assistance to help them make career, occupational, educational, training,
or employment decisions.
Job - A paid position held by one or more persons requiring similar attributes in one organization.
Occupation - A group of jobs with similar characteristics that can be found in different employing
organizations. A “professional” also will have common training and experience requirements for entry.
Leisure - Self-determined physical, social, intellectual, volunteer, or creative efforts and experiences that
allow the pursuit of interests and the use of abilities.
Job placement - A process of translating career aspirations into employment within an organization.
Components of job placement services typically include job-search training and access to position
openings.
Ideally, job placement efforts are built upon the foundation of earlier learning and problem solving
promoted by the use of assessment, information, and instructional resources provided in career guidance.
Position - A group of tasks performed by one individual in an organization.
Work - Paid or unpaid effort to accomplish a goal valued by the individual or others. The purpose may
include the inherent satisfaction of completing the tasks involved, the structure it provides for living, and
the economic benefits.
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Numerous internal and external factors interact to influence career development and career decision
making.
These factors often make the process of career decision making seem overwhelming to clients (and
sometimes to counselors).
Theories of career development and decision making help to make the process manage-able.
Career theories have been developed by theorists to accomplish various goals.
Some career theories are closely related to another theory (e.g., social learning theory) and seek to
explain career events using the other theory.
Others are constructed to help explain a particular issue or problem (e.g., under-representation of
women in particular occupations).
Some theories integrate elements from several theories, e.g., Super, while others are more narrowly
constructed, e.g., Holland.
Career theory provides counselors and clients with tools for understanding and managing career choice.
Career theory clarifies factors that influence career development, which helps counselors respond to
client questions about career problems.
No one single theory has been recognized as adequate for all clients and counselors.
Counselors select career theories that are congruent with their own views of career development and that
have evidence of validity and utility.
While some counselors are guided by a single theory, more often counselors integrate several different
theoretical principles into their career work with clients.
Some theories are important for historical reasons, while other theories are currently popular in guiding
practice.
Frank Parsons initiated the practice of career guidance at the turn of the century, and his ideas became
the basis of Trait-and-Factor theory developed by E.G. Williamson.
Parsons believed career choice involved knowledge of self and occupations, and analyzing the fit between
the individual and the occupation (Parson’s "true reasoning").
Trait-and-Factor theory involved matching traits (most often aptitude and interests) with the
requirements of a specific occupation. The use of assessment instruments is a major resource in this
theoretical perspective.
Roe, Ginzberg, and Tiedeman also made important contributions to the understanding of career
development.
Roe explored family influences on career development and developed a schema for categorizing
occupations by type and level.
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Ginzberg and his associates created a developmental theory with specific sequential periods and stages
that describe the process of career development.
Tiedeman created a developmental theory focused on anticipation or preoccupation (exploration,
crystallization, choice, and clarification) and implementation or adjustment (induction, reformation, and
integration).
These theories are less popular today, but have had an important influence on understanding the nature
of career development.
New career theories continue to emerge. Constructivist and cognitive-based approaches are common
current trends in career theory.
A common criticism of the research upon which much career theory is built is that the subjects were
white, middle-class males, which actually reflected the labor market of those times (1930s - 1950s).
While agreement exists that white middle-class males were overrepresented in the research, disagreement
exists as to whether the theories created at that time can be used successfully with women, people of
color, or persons of low socioeconomic status.
Some have argued that the unique experience of specific groups requires specific theories in order to best
help those individuals with career choices.
Others have argued that the process of career exploration, the negative influence of stereotyping, and the
process of decision making are common enough across groups to make career theory generally
applicable.
Remembering the purpose of using career theory (i.e., helping counselors and clients to understand and
manage career choice), the counselor is responsible for selecting one or more theories that are
appropriate for the characteristics of the client.
The popularity of various career theories can be judged in two ways.
First is the number of citations in the literature where the theory is used to (a) explore various aspects of
career development or (b) as a basis for service delivery with various populations.
Second is the availability and reported use of theory-based assessment, information, and instructional
resources in practice.
By these two criteria, the work of Holland, Super, Krumboltz, and Dawis and Lofquist are currently four
of the most popular career theories.
Holland stated that both individuals and work environments can be categorized as realistic, investigative,
artistic, social, enterprising, and conventional. This model is represented as a hexagon, with individuals
and work environments commonly categorized by the three most similar codes.
Satisfaction and success in work is strongly influenced by the congruence between the personality of the
individual and the characteristics of the work environment.
Several important constructs influence an individual's career decision making. These constructs, which
include consistency, differentiation, identity, commonness, and coherence of aspirations, can be used to
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help the client and counselor better understand the nature of the client’s career problems and how much
help the client is likely to need.
Holland and others have created assessments related to interests, vocational identity, career attitudes and
strategies, and employment positions based on this theory.
Super stated that the implementation of self-concept is a key factor that influences career development
over the life span.
Individuals cycle and recycle through the developmental stages of growth, exploration, establishment,
maintenance, and decline.
Individuals also progress through the developmental tasks of crystallization, specification,
implementation, stabilization, and consolidation.
Research by Crites and others helped to establish that the career maturity of adolescents and the career
adaptability of adults are useful constructs in identifying who is more likely to experience problems in
completing career development tasks.
Super's life rainbow can be used to help clients understand evolving interaction among the life roles of
child, student, leisurite, citizen, worker, spouse, homemaker, parent, or pensioner.
These concepts are especially relevant as adults attempt to maintain balance in life roles as various work
and life changes occur.
Super and others created assessments relevant to career maturity, values, work salience, and adult career
concerns.
Krumboltz stated that career decision making is influenced by the following factors: genetic endowments
and special abilities, environ-mental conditions and events, learning experiences (instrumental and
associative), and task approach skills (such as problem solving).
The outcomes of these factors include self-observation and worldview generalizations, and actions.
Beliefs about self or the world in the form of private rules can either help or hinder the process of career
decision making.
Challenging the validity of inappropriate private rules is an important role for the counselor in career
counseling, as is promoting information-seeking behavior in career exploration, including modeling and
reinforcement.
Krumboltz created a measure of career beliefs that counselors can use to facilitate clients' career decision
making.
Dawis and Lofquist stated that job stability and satisfaction are a function of the correspondence between
the individual and the work environment. The individual must successfully fulfill the requirements of the
job, while the work environment must fulfill the needs of the individual.
A variety of occupational reinforcers in the work environment contribute to the work adjustment of
individuals. Job satisfaction is also a significant indicator of work adjustment.
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Dawis and Lofquist created assessments, such as a measure of work values, to aid the translation of their
theory into practice.
Career Information and Resources
Information resources need to reflect the broad definition of career described previously (i.e., the
interrelationships among an individual's paid work, unpaid work, leisure, family, education, and
training).
While occupational and educational information is the most commonly available information source for
career decision making, information related to leisure and family issues is needed to support an effective
career guidance program.
Information can be used to motivate individuals to engage in career exploration (e.g., an engaging
biography or presentation of a work environment may motivate an individual to explore potentially
satisfying occupations).
Information can be used to clarify or raise an individual's occupational aspirations (e.g., a presentation of
the relationship between educational level and earnings may cause an individual to reconsider dropping
out of school in favor of training necessary for a high-wage job).
Information can be used to clarify an individual's perceptions of his or her values, interests, and skills
(e.g., reading descriptions of the leisure time associated with occupations can cause an individual to
increase the value of leisure in evaluating career options).
Information can be used to narrow the range of options being considered (e.g., potential employment
opportunities for a spouse can be used as a factor in evaluating job offers).
Information can be used to support the job placement process, e.g., individuals may prepare for job
interviews by reviewing occupational information to better understand the recruitment materials.
It is important to understand the purpose of using information resources in the career- decision making
process before recommending specific information for client use.
After determining the types of information needed by the client, it is important to consider the type of
media that will promote the best learning outcomes for the client.
Media sources can be classified as noninter-active or interactive.
Noninteractive media are generally linear in nature, with their structure influencing the selection and
sequencing of information presented. Noninteractive media typically provide extensive information at a
moderate cost.
Examples of non-interactive media include:
Print (books, pamphlets, brochures, and files);
Microform (microfiche, microfilm, and
microbooks);
Audio (commercial or locally produced audio
tapes or broadcast radio programs);
Audiovisual (commercially and locally produced
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videotape programs and broadcast
television); and
Public presentations (speeches and panel
discussions with audience participation).
Interactive media is generally non-linear in nature with the individual maintaining at least partial control
over the selection and sequencing of information dissemination.
Most interactive media are motivating for the individual to use, but often are more expensive than
noninteractive media.
Examples of interactive media include:
Computer-assisted career guidance systems or
computer-based career information
delivery systems (include assessment,
search for options, and information
dissemination elements);
Computer-assisted instruction (instruction in
resume preparation);
Videodisks or CD-ROMS (interviews with
employed workers for individuals with
limited reading abilities);
Programmed instruction (job experience kit
that provides the opportunity to perform
actual job tasks);
Structured interview (interviewing a currently
employed worker at the job site or at a
career day);
Role playing or games (guidance activity that
allows students to try out career and life
options);
Instruction (classroom activities that allow
individuals to try out various work
behaviors, e.g., accounting);
Direct observation (shadowing a worker for a
day or taking field trips to places of
employment); and
Direct exploration (volunteer work, cooperative
education, internships, work-study
programs, or part-time employment).
There also are numerous public sources of career information, such as State and/or National
Occupational Infor-mation Coordinating Committees and state and U. S. Departments of Labor.
In many cases, multiple information resources are relevant to a client's needs.
The learning potential of a resource often can be enhanced by proper sequencing.
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For example, it is best to use the information interview to ask questions not typically provided in
occupational descriptions or questions uniquely related to an individual's needs.
Some clients may need assistance in actually locating information in a career center library or on the
Internet; therefore, counselors need to be familiar with the location of commonly used information
resources.
Counselors also need to be aware of options for delivering information resources in alternative formats
for individuals with a disability.
Individuals with high decision-making readiness (high levels of career maturity, vocational identity, or
decidedness) will need less assistance in using information resources than individuals with low decisionmaking readiness.
Individuals with low decision-making readiness (low levels of career maturity, vocational identity, or
decidedness) will generally need more careful introduction and follow-up to information use.
Occupational information often is easier to use when the occupations are organized according to a
classification system.
Examples of classification systems include Holland types, the ACT World-of-Work map, and worker-trait
groups.
Occupational information should meet a specific need and be valid, current, under-standable for the
intended client population, easy to use, and free of stereotypes.
Career Development Programming
A career (development) program is a system of interrelated resources and services designed to help a
defined group of individuals solve career problems and make career decisions effectively.
Developing a career program includes the following steps:
1.
2.
3.
4.
Establish a need for the program.
Establish a conceptual basis.
Establish goals and objectives.
Select career resources and services that
are likely to assist individuals in achieving
appropriate goals and objectives.
5. Select strategies to evaluate the effectiveness
of the program.
Several sources of information can be used to establish a conceptual basis for a career program.
First, career theory can be used to suggest program goals and objectives appropriate for various
populations and guide the selection of theory-based resources and service delivery strategies.
Second, descriptive research data can be used to better understand the career development needs of
various populations, understanding which, in turn, can be used to establish program goals and objectives
that better meet the needs of individuals.
25
Also, outcome evaluation data from prior career programs can be used in selecting resources and services
that have been demonstrated to be effective with specific populations.
Third, existing standards can be used to identify developmental outcomes for individuals at various ages,
which helps in establishing program goals and objectives.
The ability of individuals to benefit from career resources and services depends upon the level of staff
support provided being congruent with individuals' needs.
An effective career program is organized to deliver a combination of self-help, brief, staff-assisted, or
individual, case-managed interventions.
The following factors often influence the success of career programs:
1.
2.
3.
4.
Staff participation in decision making;
Support from senior managers;
Effective communication among staff;
Efective integration of the new program
with existing career resources and
services;
5. Effective staff training; and
6. Integration of program evaluation data
for continuous improvement.
Program administration requires a number of skills that are not typically emphasized in counselor
training programs, such as budgeting, personnel regulations, non-clinical supervision, etc.
The delivery of quality career counseling services to clients, however, requires that someone in the
organization attend to these matters.
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Career and Lifestyle Development
Part 2
Issues and Factors In Career Development
This section builds on understanding of career development theories and decision-making models in the
previous section.
Some career development theories are more explicit than others about the interactions among work,
family, and other life roles.
One approach is to view work as one element of a larger system that also includes leisure and family
(defined in the broadest terms).
In this model, psychological adjustment is enhanced by achieving a healthy balance among work, leisure,
and family.
For many, it is difficult to balance life roles because work consumes so much time.
One role of the counselor is to help clients become more aware of the need for balance and assume more
responsibility for intentionally acting to better integrate work, leisure, and family.
While many understand the importance of family interaction, many others underestimate the importance
of leisure in psychological adjustment.
Outcomes of effective leisure include that:
Leisure can provide physical exercise, diversion, and opportunity to receive feedback and demonstrate
competence as a way to deal with work and family stress.
Leisure provides opportunities to satisfy values, engage in interests, and demonstrate skills not associated
with employment.
Leisure provides opportunities for interaction with family members, helping individuals to make more
efficient use of time.
Two specific family career development issues include dual-career problems and family relocation.
A dual-worker couple is comprised of two wage earners, while a dual-career couple also has a greater
likelihood of holding professional positions, continuous employment, and increased importance placed on
the value of work.
Dual career couples are more likely to experience problems associated with competition and frustration
over unequal distribution of family responsibilities.
A blend of career and marriage counseling often is needed to help couples deal appropriately with
competition and renegotiate family roles and responsibilities to reduce tension in the family.
Family relocation occurs when a family moves from one geographic location to another as a result of a
change in employment.
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Relocation issues may include employment of the spouse, selection of and moving to a new place of
residence, education of children, or care for aging parents.
Relocation services, including self-help resources, workshops, and counseling, increasingly are being used
to reduce stress and maximize employee productivity during family relocations.
While there has been debate concerning need for population-specific career theory (such as unique career
theories for women as opposed to applying general theories to various groups), it is generally agreed that
counselors need to be aware of career development issues and typical interventions for specific
populations.
Any of the following group characteristics may impact the career development of individuals: age,
gender, disability, immigration status, race, ethnicity, and sexual orientation.
While being a member of one or more of the preceding groups can have a positive impact, such as
providing networking opportunities, most of the impact is adverse as a result of stereotyping and
discrimination.
Stereotyping involves the perception of knowledge about an individual based on group membership,
rather than knowledge based on specific experience with an individual.
Stereotyping is a common problem for all of the groups previously identified.
Stereotypes can be positive or negative.
A negative stereotype assumes that an individual cannot do something competently because of his or her
group membership.
A positive stereotype assumes that an individual can do something competently because of his or her
group membership.
Both negative and positive stereotypes can result in a negative impact on individuals.
In both cases, the assumption of either limitation or capacity may be incorrect and a restricted range of
options may result.
Also, individuals may be denied valid feedback on their performance.
Discrimination involves an action taken by one person or group that limits the range of oppor-tunities
available to another person or group.
Discrimination can occur by not allowing individuals to apply for employment or educational
opportunities.
Discrimination also can be subtle by systematically not providing individuals with opportunities for
mentoring or gaining knowledge and skills necessary for advancement, by or selecting individuals for
employment or education on the basis of group membership.
Career and Educational Placement, Follow-up, and Evaluation
Career and employment decision making share both similarities and differences.
28
Both types of decisions involve knowledge of self, knowledge of occupations, application of decisionmaking skills, and cognitive processes that influence decision making.
Both types of decisions tend to occur over a period of time, as opposed to all at once.
However, differences do exist between career and employment decision making.
Career decision making tends to be future- oriented (long-term), while employment decision making
tends to be immediate in focus (short-term).
Career decision making typically involves the consideration of occupational, educational, and training
alternatives, while employment decision making typically involves the consideration of industry,
employer, position, and job-offer alternatives.
Employment decision making may be more anxiety provoking due to the immediate consequences of
failure, whereas career decision making is more future oriented and potential for failure is typically more
remote.
Placement in employment involves helping individuals to obtain paid and nonpaid work options that are
appropriate for their aspirations and capabilities.
Counselors can be involved in helping individuals clarify self and employment knowledge, expand and
narrow their options, select the most appropriate option, and learn job search skills.
Placement in education typically involves helping individuals locate education and training options that
are appropriate for their aspirations and their capabilities.
Counselors can help individuals assess their skills realistically, determine whether remedial or new skill
education is appropriate, and then select the education options that best meet their needs.
Numerous specialized information resources exist that counselors and clients can use to facilitate
appropriate employment decisions.
Computer-assisted job banks (position openings) and talent banks (potential applicants) can help
individuals and employers identify potentially appropriate matches.
Job banks and talent banks can operate on an institutional, state, or national basis.
Counselors also can assist individuals to gain the knowledge they need to make a successful transition
and adjustment to work.
For example, counselors may teach individuals employability skills or work behaviors appropriate for
initial stages of employment.
Counselors also may become involved in follow-up and evaluation efforts.
Follow-up data provide useful information about the outcomes of completing various education or
training programs.
Both follow-up and evaluation efforts can help provide the accountability typically necessary for the
continued provision of funds.
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Assessment, Career Planning, and Decision Making
The purposes of assessment in career planning and decision making are to clarify individuals' selfknowledge and stimulate career exploration.
Using assessment to clarify self-knowledge helps individuals know what to pay attention to when
reviewing career information and to narrow alternatives based on important personal characteristics.
Using assessment to stimulate career exploration helps individuals consider alternatives that they may
not have considered previously.
A problem in using assessment in the delivery of career services is that many clients expect assessment to
provide quick answers for their career problems.
Public-relations efforts, informed-consent forms, and assessment-orientation efforts can help minimize
this problem.
While much assessment is delivered via standardized instruments, other valid and useful assessment
options exist, including:
structured interviews administered by a
counselor or on a computer,
unstructured interviews administered by a
counselor, or
projective measures, such as published or
counselor-developed card sorts.
The career counselor is responsible for selecting quality instruments that are used appropriately.
Both counselor-mediated and self-assessment instruments are used widely in career counseling.
It is important to communicate that any self-assessment used in the delivery of career services has been
validated for use without input from a counselor.
Providing clients with unsupervised access to counselor-mediated assessments is inappropriate at best
and harmful at worst.
It is important to communicate clearly with clients regarding the meaning of various assessment
constructs by providing easy-to- understand definitions.
Specific assessment instruments are available to measure a large variety of constructs.
In career centers, interest, value, skill, and personality measures are the most common assessments
available.
In schools and rehabilitation settings, aptitude, intelligence, and achievement measures are used in
addition to interest, value, skill, and personality measures.
Some career assessments are theory-based, and one obvious option for applying career theory to
assessment is to select assessments with a theory base that fits the counselor's theoretical orientation.
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Computer-Based Career Development
Computer-based career development applications evolved from computer-assisted career guidance
(CACG) systems.
CACG systems include interrelated assessment, generation of options, and information dissemination
subsystems, often coupled with counseling interventions and various print and media-based support
resources, that are used to assist individuals in making career decisions.
Some CACG systems include state-specific information and are referred to as career information
delivery systems (CIDS).
Typical components of a CACG system include:
1. Needs assessment and recommended use
User needs assessment and subsequent
recommendations for system use;
2. Assessment
Assessment of psychological constructs,
such as values, interests, and skills, and
labor market constructs, such as
preference for indoor work;
3. Search for options
Generation of occupational, educational, financial aid, and
employment options;
4. Information delivery
Delivery of occupational, educational,
financial aid, and employment
information;
5. Instruction
Instruction in effective career,
educational, and employment decision
making; and
6. Action planning
Development of an action plan for
implementing a career choice.
Examples of other computer-based career development applications include assessments; career,
educational, training, financial aid, and employment information databases; resume writers; and talent
banks delivered on personal computers or over the Internet.
Computer-based career development applications are designed to stimulate career exploration and aid
individuals in solving career problems and making career decisions.
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Computer-based career development applications can be delivered as a component of self-help, brief
staff-assisted, or individual case-managed interventions.
A basic, three-step model can be used in brief staff-assisted and individual case-managed interventions to
help individuals make effective use of computer-based career development applications.
The three steps of the model are screening, orientation, and follow-up.
Screening is intended to ensure that system use is appropriate for the needs of the individual.
Orientation is intended to ensure that individuals make effective use of system capabilities by promoting
a realistic understanding of the potential benefits, limitations, and functions of the system in relation to
their needs.
Follow-up is intended to ensure that individuals have used used CACG features appropriately to meet
their previously identified needs and have a plan for future action.
Career Counseling Techniques
The career counseling process is shaped by several factors, the first being the career theory used.
Career theory shapes the counseling process by helping counselors and clients know which factors to pay
attention to in clarifying the nature of the client's problem and in developing a strategy for problem
solving and decision making.
Career theory also may contribute to the counseling process through the use of theory-specific assessment
instruments, information and instructional resources, and counseling procedures.
The career counseling process also is shaped by the general practice of counseling in regard to
development of the counseling relationship; understanding of developmental, social, and cultural factors;
assessment; group procedures; evaluation; and ethics.
Finally, the career counseling process is shaped by the integration of career counseling and mental health
counseling.
Given the substantial proportion of time most individuals spend working, employment is both a
substantial source of stress and an opportunity for therapeutic change.
Strategies for dealing with anxiety, depression, interpersonal conflict, and traumatic events are
particularly important in dealing with issues such as dual-career conflict, job dissatisfaction, retirement,
sexual harassment and violence in the workplace, unemployment, work adjustment, and work addiction.
A generic process for career counseling can be described as follows.
First, the counselor assesses the readiness of the client for career decision making.
Readiness assessment may be as simple as clarifying the client's presenting problem.
If the counselor judges a high degree of readiness on the client's part, then a self-help intervention may
be appropriate.
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If this first interaction indicates that a more substantial problem exists, the counselor may use a readiness
screening measure to determine if it is best to recommend a brief, staff-assisted intervention (moderate
readiness) or individual, case-managed intervention (low readiness).
After clarifying with the client the nature of his or her career problem, the counselor and client
collaborate on establishing goals for career counseling.
The counselor then creates a written plan to recommend a sequence of resources (assessment,
information, and instructional) and services (individual counseling, career courses, group counseling, and
workshops) designed to assist in reaching client goals.
The counselor further reinforces a collaborative relationship by seeking and using client input about the
selection of resources and services where appropriate.
The client then follows through with the agreed-upon plan for using career resources and services, with
termination occurring when the client's goals have been achieved or when a referral is made due to lack
of progress or other circumstances.
The career counseling process can and should be modified to meet the needs of specific populations, such
as those relating to age, gender, disability, immigration status, race/ethnicity, or sexual orientation.
Population-specific career interventions are developed on the basis of knowledge plus supervision.
Knowledge should include the typical life experiences and successful coping strategies of specific
populations, as well as typical counseling strategies.
Regular supervisory contact with a professional experienced in delivering counseling services to specific
populations can help the career counselor to better monitor and improve the quality of services for
various populations.
Considerable evidence exists that within-group differences are greater than between-group differences.
Therefore, it is important for counselors to avoid stereotyping clients in an attempt to be sensitive to
diversity.
Career counselors can aid clients in dealing with stereotyping and discrimination by helping them
confront these barriers where appropriate and cope where possible.
Ethical Considerations
Ethical issues in career counseling are similar to ethical issues in the general practice of counseling and
other counseling specialties.
However, several ethical problems, including imposition of counselor values, confidentiality of counseling
records, and counselor competence, are more frequently problematic in career counseling.
Counselors may be unaware that they are imposing their values on their clients in terms of career choice
and are therefore limiting career exploration.
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For example, a counselor may be careful not to impose personal values on his or her clients in regard to
relationship issues, but may unintentionally (verbally or nonverb-ally) indicate that a particular career is
an “inappropriate” choice.
In some cases there is confusion about who the client is in relation to the release of counseling records.
For example, if an employer is paying for career counseling for an employee, it is important to clarify at
the beginning of the counseling process who will have access to the counseling records.
The same requirement is true for parents or guardians of minor children.
For example, some counselors may erroneously believe that assessment results in career counseling are
less "sensitive" data in comparison with assessment results in "personal" counseling, and are less subject
to restrictions on disclosure to third parties.
Assessment data from any type of counseling should be released only with the permission of the client or
client's parent/guardian.
Some poorly trained counselors may be unaware of the specific skills required for effective career
counseling.
This is especially true for counselors who erroneously believe that career counseling is composed mostly
of giving assessments and interpreting the results (often referred to as "test-and-tell" career counseling).
The knowledge and skills described in this presentation are recognized as essential for the competent
practice of career counseling.
Counselors practicing in any specialty area need to be competent in the general practice of counseling as
well as the counseling specialty, as stated in national ethical, credentialing, and accreditation standards.
Finally, career counselors may deliver poor quality services by using invalid assessment measures or as a
result of providing invalid occupational, educational, training, or employment information.
As a result, clients may restrict their occupational exploration unnecessarily or make inappropriate
decisions on the basis of bad information.
One common strategy to deal with these ethical problems involves use of informed- consent forms that
are signed and witnessed by the client and counselor at the start of counseling.
Informed consent deals proactively with issues such as confidentiality of records and counselor
qualifications.
Another common strategy is to increase counselor awareness of potential problems through preservice
and inservice counselor training.
A variety of standards exist to guide the ethical practice of career counseling.
The National Career Development Association (NCDA) "Ethical Standards" build upon ethical
standards developed by the National Board for Certified Counselors and the American Counseling
Association by adding content specific to the delivery of career counseling and other career services.
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The NCDA "Career Counseling Competencies" are designed to help counselors evaluate their knowledge
and skills in relation to the competencies expected of an effective and successful career counselor.
The NCDA "Guidelines for the Use of the Internet for the Provision of Career Information and Planning
Services" help counselors use the Internet as a resource in delivering career services and develop valid
Internet-based, self-help, or counselor-assisted career resources.
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Cultural and Social Foundations
Part 1
Definitions for Key Terms for Social and Cultural Foundations
There are many definitions of culture, one of which is from Levine, who defined culture as “a shared
organization of ideas that includes the intellectual, moral, and aesthetic standards prevalent in a
community and the meanings of communicative actions.”
Cultures develop in response to the historical circumstances, environmental conditions, and resources
available to various members of a society at particular points in time.
All cultures are dynamic, but the rate and degree of change varies among them.
A person learns how to function within a specific society through his or her culture.
An individual’s personality features and longstanding dynamics of thinking, feeling, and behaving are
formed through association with particular groups over time.
These groups may be the family; a racial or ethnic group; a social class group; a group based on sexual
orientation, political perspective, or religion; or another cultural group.
Because each person belongs to many different groups, each individual’s culture is unique. However,
many characteristics are shared with members of the groups to which one belongs.
Socialization is the process of learning to function as a member of society by observing and acquiring
social and occupational roles.
Enculturation is the process of acquiring the characteristics of one’s culture.
Stereotypes are rigid preconceptions held about all members of a particular group.
All people hold stereotypes, both positive and negative, about cultural groups.
People generally base their initial opinions of others on stereotypes.
According to Arredondo and Glauner, all individuals can be described through means of certain fixed
characteristics, including age, culture, ethnicity, gender, language, physical makeup, race, sexual
orientation, and social class.
Because these characteristics are relatively visible, they readily engender stereotyping.
Arredondo and Glauner further described a series of variables that place all persons in historical,
political, sociocultural, and economic context, including:
educational background,
geographical location,
income,
marital status,
religion,
work experience,
citizenship,
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military experience, and
leisure activities.
Cultural encapsulation, or ethnocentrism, can be defined as adherence to a universal notion of truth that
disregards cultural variations.
When a person is unable to accept the atti-tudes, beliefs, or practices other than those in the person’s own
culture, that person is said to be culturally encapsulated or operating from an ethnocentric viewpoint.
Cultural relativism is the attempt to under-stand another cultural system, not in terms of personal
cultural beliefs, but in its own terms.
Cultural racism asserts the superiority of certain characteristics of one culture (language, educational
practices, religion, morality, laws, aesthetics) over those of another.
Segregation is the physical isolation of a cultural group from mainstream society.
Race may be defined as a family, tribe, or people belonging to the same genetic pool. Many individuals
today claim biracial or multiracial ancestry.
Ethnicity refers to large groups of people classified according to common racial, national, tribal,
religious, linguistic, or cultural background.
Racial, ethnic, or cultural identity is an individual’s sense of belonging to a racial, ethnic, or cultural
group and the part of the individual’s personality that is attributable to association with the group.
Individuals may prefer to self-identify in racial terms, in terms of historical and geographical origins
(ethnicity), by country of origin (nationality), or by culture.
A minority group is a group of people who consider themselves objects of collective discrimination and
differential treatment in society for reasons of physical or cultural characteristics.
Multiculturalism refers to matters having a focus on ethnicity, race, and culture.
Diversity means variety in regard to individual differences such as age, gender, sexual orientation,
religion, or physical ability through which individuals define themselves.
Multicultural counseling refers to preparation and practices that integrate multicultural and culturespecific awareness, knowledge, and skills into counseling interactions.
Multicultural and Pluralistic Trends
The United States macroculture, sometimes referred to as the dominant culture, is the national culture
shared by most of its citizens.
In this dominant culture:
Mass media, education, and communication are “ways of life;”
Individualism takes precedence over group values;
Time is the organizing principle for life’s activities;
Large, complex organizations employ the majority of workers;
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People are expected to be active and engage in productive, purposeful work;
Necessities of life are purchased rather than produced;
Success and achievement are measured by quantity and expense of goods purchased;
Significant social relationships are individually determined;
Tradition is transmitted through writing and mass communication;
“Modern science” is trusted to explain social phenomena, solve human problems, and master the
environment;
Religious beliefs are concerned with general morality;
Social relations are characterized by informality and equality;
Cleanliness is an absolute value;
Humanitarianism is impersonal and highly organized;
Things new and modern are considered superior to things old and traditional;
Every individual is thought to be entitled to equitable access to political, economic, and social structures;
All individuals are thought to be equal (i.e., by nature, neither better nor worse than others);
Individuals are thought to exercise control over their destinies and advance according to their own
efforts;
The nuclear family is thought to be the basic unit of kinship;
Values tend to be absolute rather than ranging along a continuum or varying across situations;
Youth is valued over age.
One prevalent myth in the macro-culture is that the ablest, most ambitious, and hard-working individuals
will attain positions of wealth and influence.
This theory of meritocracy has three tenets:
(1) the individual takes precedence over the
group;
(2) the society stresses differences rather
than similarities;
(3) internal characteristics (personal
attributes) are more influential than
external characteristics (social,
educational, or financial standing, race,
or ethnicity).
Although the belief that persons reap riches in proportion to their characterological endowments is
prevalent in the macroculture, research indicates that family background accounts for a large portion of
the variance in educational and occupational attainment.
Individuals born into wealthier, more educated families, regardless of race or ethnicity, are likely to
attain wealth and education themselves.
Microcultures are cultural groups composed of members who share values and beliefs that bind them
together.
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The degree to which a person shares the beliefs of the national macroculture depends on the
microcultures to which the person belongs and the amount of interaction the person has with the
institutions of the macroculture.
The counseling profession can be said to possess its own culture.
Based on principles originally espoused by men of European descent, counseling promotes self
sufficiency, openness, verbal expression, individualism, and internal locus of control.
Many psychological measurement tools and classification systems (such as the DSM-IV) carry this
Eurocentric cultural bias.
Members of U.S. microcultures may view counseling as a political tool of oppression.
If counseling is forced, unresponsive to needs, or culturally insensitive, it may be considered oppressive.
Throughout life, a person develops a multi-dimensional racial and cultural identity, or as it is sometimes
known, a worldview.
Following are the primary dimensions typically considered in a racial/cultural identity or worldview.
People-Nature Relationships
Some cultures, such as the U.S. macroculture, maintain a mastery orientation to the people-nature
relationship.
Environmental and personal problems are considered to be solvable through confron-tation, active
intervention, and control.
Some other cultures accept difficulties as fate or acts of God, and promote harmony, loyalty, balance, and
resistance to change.
Time
In the U.S. macroculture time is a commodity, measured in minutes or hours, and future-oriented.
In some other cultures, time is a dynamic process, and the passage of time is measured through the
occurrence of events.
Members of those cultures demonstrate a present time orientation by seeking immediate, practical
solutions to everyday problems.
Individual vs Group Orientation
In the U.S. macroculture, the individual is the basic unit of society. Independence from the family,
development of autonomy, and an internal locus of control are encouraged at an early age.
In many other cultures, the family is the basic unit of society; nepotism is expected; families sanction
wayward members; and external locus of control is promoted.
Activity
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In the U.S. macroculture, action, or doing, is of primary importance; individuals are expected to master
concepts and tasks.
In this pragmatic, utilitarian approach to life, worth is linked to activity.
In some cultures, being or becoming is a way of life. Contentment, serenity, dignity, and spirituality
characterize the individual, group, and society. Action is often ritualized or relegated to an inferior
position.
Social Relations
In the U.S. macroculture, relationships tend to be determined by the parties involved; individuals take
responsibility for the number and nature of their relationships.
In some other cultures, relationships tend to be linear, vertical, and hierarchical. A person’s
relationships in society are deter-mined by the person’s place in a hierarchy; and persons are grouped by
caste, place in the social order, or birth order.
In some other societies, relationships are collateral; membership in a group of friends and family, for
example, constitutes relationship of equals.
Human Nature
In the U.S. macroculture, people are considered at core to be both good and bad.
In some other cultures, people are considered evil (fallen) and can only be saved from destruction by the
deity.
In still other cultures, people are considered to be neither good nor bad; disease and difficulty are
thought to be environmental afflictions.
Relationship to Nature
In the U.S. macroculture, taming the natural environment is considered to be an important challenge for
humankind. A primary function of science and technology is to overcome environmental barriers such as
disease, weather, distance, and geography.
In other cultures, harmony with nature and acceptance of environmental barriers is the norm.
Intercultural misunderstanding occurs even when no language barrier exists, and large segments of the
macroculture are shared by the people involved, largely because one group is ignorant of the cultural
specifics of the other.
Assimilation is the process by which subordinate groups (i.e., microcultures) adopt aspects of the
dominant culture.
A subordinate group progresses toward assimilation through the following steps:
The group’s cultural patterns change to mimic those of the dominant culture.
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The subordinate group develops large scale primary group relations with the dominant group.
Members of the groups intermarry fully.
The groups lose their sense of separateness.
Members of the microculture encounter no discrimination or prejudice.
Members of the groups do not engage in intergroup power or values conflicts.
Cultural, sometimes known as behavioral, assimilation occurs when the subordinate group mimics
cultural attributes of the dominant group.
Structural assimilation occurs when two cultural groups begin to share the same social groups (e.g.,
attend the same church).
Cultural assimilation occurs before structural assimilation.
In the U. S., cultural assimilation may be initiated by individuals from either group, but structural
assimilation is determined solely by the dominant group.
Only Western European immigrants have achieved full structural assimilation in the U.S. Other
microcultural groups have achieved only limited structural assimilation.
Healthy and meaningful functioning in a multicultural context may require living with cultural
dissonance (i.e., maintaining multiple conflicting roles attributable to cultural learning).
Public policy in the U. S. historically has been driven by Anglo-Conformity Theory, which holds that all
groups are expected to renounce their ancestry and culture and assume characteristics of the national
macroculture.
The Melting Pot Theory holds that amalgama-tion of various groups produces a stronger, more diverse
society.
Historically, however, many laws prevented amalgamation by restricting participation of some groups in
certain societal institutions and organizations.
The Salad Bowl Theory holds that many cultural groups can coexist and retain their uniqueness within
the macroculture.
Institutional racism is the combination of social, economic, educational, and political policies that give
preferential treatment to members of one group over another and foster discriminatory outcomes.
Behavior and Attitudes
Many nonverbal behaviors have culture-specific meanings.
Proxemics is the study of a person’s perception and use of personal and interpersonal space.
Kinesics is the study of body movements and positions, including facial expression, posture, gestures, and
eye contact.
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Paralanguage refers to vocal cues that communicate the age, gender, emotional response, and race of an
individual.
These cues include loudness, rate of speech, use of silence, hesitation, and inflection.
Low context communication demands lengthy verbal explanations.
High context communication relies on non-verbal cues and collapsed meanings understood by members
of a group.
Proxemics, kinesics, and paralanguage are all culturally conditioned.
Sociopolitical thought is culture bound; specific cultural groups tend to espouse common viewpoints.
Attitudes regarding work, job involvement, activity preferences, monetary compensation, and success are
in large part culturally determined.
Cultural groups hold differing views on topics such as child rearing practices, gender roles, marriage,
aging, violence, drug use, suicide, authority, and beauty.
The term diverse populations usually refers to non-racial/ethnic groups such as homosexuals, persons
having physical or mental disabilities, or elderly persons.
In regard to cultural differences, within group differences are greater than between group differences.
Among members of any cultural group, there are wide variations in particular characteristics.
In the context of counselor preparation, the term multicultural usually refers to five major cultural groups
in the United States and its territories: African/Black, Asian/-Pacific Islanders, Caucasian/European,
Hispanic/Latino, and Native American/-Indigenous.
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Cultural and Social Foundations
Part 2
African/Black Americans
African/Black Americans have a long history in the U.S., dating to the early settlement of the southern
colonies when they were imported as slave labor.
Deprived of freedom and education, African/Black Americans developed a strong oral tradition that still
exists.
Even with the advent of emancipation in 1865, the sheer strength of structural racism prevented
African/Black Americans from accessing institutions, businesses, and occupations open to citizens of
European descent.
It was not until the passage of civil rights legislation in the 1960s that African/Black Americans legally
could enter public facilities, marry whom they chose, and vote in all states.
African/Black Americans constitute approximately 12% of the U.S. population.
Female African/Black Americans tend to have higher employment rates than males, for whom the male
employment advantage found in other groups does not apply.
Fewer African/Black American couples marry and stay married than any other racial/ethnic group.
African/Black American households often include several generations, relatives outside the immediate
family, and friends.
African/Black Americans are underrepresented in the sciences and overrepresented in low paying,
human service occupations.
Although pride in work is a common value, middle-class African/Black Americans are less wealthy than
their peers in other groups.
Other major characteristics of the African/Black American cultural group include:
speaking various dialectical forms of English;
emphasis on nonverbal communication;
field sensitive interpretation of events;
presence of spiritual networks in the community;
using either angry or blunted affect with members of the macroculture;
strong sense of communal heritage, commonality, and cooperation;
action orientation with focus on short term goals; and
collective sensitivity to injustice and discrimination.
Common presenting social and mental health problems of African/Black Americans include:
physical difficulties (hypertension) associated with excessive emotional control;
self-esteem issues related to the inability to fulfill societal roles typically expected of males;
problems of aggression;
drug and alcohol dependence, possibly resulting from a sense of societal alienation and racism.
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African/Black Americans generally do not seek counseling and, when they do, they tend to terminate
prematurely.
Asian Americans
Asian Americans in the U.S. have their origins in Korea, Japan, China, and Southeast Asia.
As a group, Asian Americans tend to display a bimodal economic distribution in which a large number
are highly educated and economically successful and others are extremely poor and uneducated.
Asian Americans are overrepresented in technical and scientific occupations and underrepresented in
supervisory and managerial occupations.
Asian American families tend to have few children and often include elders in the household.
Asian American mothers may retain strong control over their children, even into adulthood.
Spirituality for many first and second generation Asian Americans may include witchcraft, ancestor
worship, herbalism, and belief in demonic possession.
Cultural characteristics of Asian Americans may include:
a priority on filial piety, harmonious relationships, and respect for elders;
an enjoyment and appreciation of a passive, contemplative lifestyle;
appreciation of the virtues of moderation, humility, and patience;
an emphasis on academic/educational preparation and development.
Asian Americans tend to view mental health in terms of harmonious relationships among family
members and with the spirit world.
Disharmony results in physical ailment and is thought to be remediated by the intervention of a shaman,
herbalist, or healer.
Counseling does not exist in the traditional Asian (American) frame of reference.
Counselors can expect to encounter Asian Americans primarily in college counseling centers or through
social welfare agencies.
Common social and mental health problems of Asian Americans include:
distress caused by the failure of children to sufficiently please their less acculturated parents;
lack of social skills and educational skills necessary to “fit in” or succeed in the macroculture;
language barriers; poverty; and
conflict between old world customs and macroculture expectations regarding child rearing, abuse, and/or
neglect.
Hispanic/Latino Americans
Hispanic/Latino Americans can point to North, South, or Central America as well as Spain for their
origins.
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Over 90% of Hispanic/Latino Americans in the U.S. have their roots in Mexico, Puerto Rico, Cuba, or
South America.
Hispanic/Latino Americans are considered multiracial because they represent the historical blending of
the native peoples of the Americas with Europeans and Africans.
The common denominator among Hispanics and Latinos, regardless of nationality, is a history involving
the Spanish language.
Hispanic/Latino Americans typically marry and have children at an earlier age than other racial/ethnic
groups.
As a group, Hispanic/Latino Americans have greater marital stability than other groups, fewer divorces,
and a higher percentage of two parent households.
Hispanic/Latino Americans also have the highest birth rate of all major cultural groups.
Largely because of this high birth rate, the percentage of American society made up of Hispanic/Latino
Americans is growing rapidly.
A preponderance of Latinos practice Roman Catholicism.
Hispanic/Latino Americans as a group have the lowest education and salary levels of the major cultural
groups; about 50% do not have high school diplomas.
Cultural characteristics of Hispanic/Latino Americans include:
an action-oriented, practical approach to problem solving;
unquestioning acceptance of parental and elder authority;
emphasis on enduring, selflessness, morality, and dependence (females);
emphasis on virility, aggressive sexual behavior, and authority over women and children (males); and
high value is placed on work.
Common problems within the Hispanic/Latino American cultural group include:
conflicting cultural demands from various groups;
feelings of disloyalty when moving away from family;
conflicts in interethnic marriages,
particularly feelings of inferiority to spouse;
teenage pregnancy; and
gang membership, violence, and criminal behavior.
Native Americans
The Native American cultural groups refer to people whose ancestors populated the areas now known as
The United States of America before the arrival of European settlers.
Native Americans further self-define by tribal affiliation.
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Often, persons self-identifying as members of another major cultural group will also claim Native
American heritage.
Native Americans tend to live in poverty, especially on the reservations. They have a high divorce rate
and the highest unemployment rate of all major cultural groups.
Among Native Americans, men have significantly higher status than women.
Family disruption of all kinds, child abuse and neglect, poverty, school drop out, and high unemployment
rates are prevalent among Native Americans.
Very few Native Americans count them-selves as members of the middle class.
Characteristics of Native American culture include:
emphasis on the collective well-being of the community;
distrust of persons outside the community or tribe;
the teaching of good sportsmanship, self discipline, and humility;
a stance of acceptance, dependence, and passivity in problem situations;
knowledge of English as well as a native language;
emphasis on immediate, practical, short term actions to fulfill needs or wants;
a flexible approach to time;
obligatory hospitality for all;
a reluctance to lead, argue, or to show emotion;
avoiding direct eye contact as a sign of respect; and
perceiving the macroculture as the oppressor.
(Native American) Indian religion is based on the tribe’s maintaining a harmonious relationship with the
environment.
A Native American’s problems are considered problems of the community, not the individual, and a
result of breaking a taboo.
A shaman can use a healing ceremony to restore harmony, but introspective interventions have no place
in Native traditions.
Common problems found in the Native American culture include:
problems (e.g., unemployment) brought on by geographic isolation;
alcoholism and drug addiction;
family violence;
child abuse and neglect;
feelings of disloyalty upon leaving the reservation for education or employment opportunities.
Cross-Cultural Counseling
Individual, Family, and Group Strategies
All human interactions are cross cultural to the degree that persons differ by age, socioeconomic status,
gender, lifestyle, and affiliation.
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Learning more about one’s own culture than is commonly required is a first step toward understanding
the basis of other cultures.
A culture centered, or emic, approach to counseling emphasizes the cultural assumptions that determine
behavior, expectations, and values.
Multicultural awareness prevents over- or underemphasizing any single cultural characteristic a person
(i.e., client) may possess.
Culturally sensitive counselors are aware that all individuals:
form expectations depending on how they view a situation;
base judgments on incomplete information;
use stereotypes to judge in new situations or with unknown people;
change their judgments as interactions increase; and
perceive selectively, favoring evidence that supports their expectations.
Most clients, when given the choice, prefer counselors from their own racial/ethnic group.
Culturally sensitive counselors separate fact from inference.
Statements of inference are made before, during, and after observation. They are only somewhat
probable and can lead to honest disagreement.
To the extent that people share the same cultural system, their assumptions are likely to be similar.
Counseling from a multicultural perspective involves developing knowledge of how American history has
been experienced differently by persons of low socioeconomic status, little education or access to power,
as well as by ethnic and racial groups.
While client and counselor cultures may be different, political, social, cultural, economic, or historical
commonalities may serve as connection points for client and counselor.
Cognitive complexity refers to the extent of a person’s personal constructs for interpreting the world.
The more cognitively complex and sensitive to others’ perspectives, the more tolerant of ambiguity and
less anxious the individual is in unstructured or unfamiliar situations.
Culturally sensitive counselors have a high degree of cognitive complexity.
Counselors enhance their cognitive complexity through activities such as:
reading newspapers and periodicals targeting specific populations;
attending different religious services;
participating in civil rights marches;
shopping in ethnic groceries;
learning a second or third language;
going to welfare or civil service offices to observe the service orientation;
engaging a mentor from another culture;
enrolling in cultural studies courses; or
attending minority group celebrations or gatherings.
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Counselors may unwittingly erect barriers that prevent effective cross-cultural counseling, including:
assuming that a Eurocentric, middle class value system exists for all clients;
promoting individual, as opposed to family centered, interventions;
preferring and expecting verbal expressiveness to controlled speech in clients;
preferring and encouraging client assertiveness vis-a-vis client consultation with the family or cultural
group;
preferring and encouraging client insight to avoidance of unpleasant thoughts;
using primarily linear or analytical thinking processes to explain the world, as opposed to holistic or
harmonious thinking;
asserting the superiority of mental health
counseling over a client’s homeopathic or religious mental health resources;
preferring and encouraging client flexibility and tolerance for ambiguity to structured social patterns
and relations;
insisting upon establishing a relationship of equals in counseling when the client might expect and prefer
a more hierarchical relationship;
disregarding language barriers, including use of imagery, analogy, and expressions with which the client
is unfamiliar.
In multicultural counseling, helpers evaluate the world view of clients to help determine the appropriate
intervention.
Intervention may take the form of family consultation, community outreach, or facilitation of indigenous
support systems in place of or in addition to traditional counseling strategies.
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Cultural and Social Foundations
Part 3
When counseling in a cross cultural or multicultural context, the counselor should determine an
appropriate stance by evaluating the extent to which:
Eurocentric values are appropriate;
the client values emotional and/or verbal control (as opposed to assuming the emotional/verbal
expressiveness generally promoted in counseling);
the family should be involved;
the client’s culture promotes consultation with peers and elders (as opposed to the individual
assertiveness encouraged in counseling);
the client is culturally bound to avoid distressing thoughts (as opposed to developing awareness and
insight);
the client’s culture promotes trusting persons with whom s/he has lifelong relationship as opposed to the
immediate openness and intimacy often expected in counseling;
the client is a circular, harmonious, or holistic thinker as opposed to the linear, analytically oriented
thinker common in Eurocentric culture;
the client perceives psychological distress or metal illness to be a problem of faith or medicine better
solved by consultation with a priest or doctor as opposed to a counselor;
the client is accustomed to structured, hierarchical social relations as opposed to the democratic,
egalitarian relationships promoted in the U. S. macroculture;
the client accepts the American middle class values promulgated in the macroculture; or
the client understands the counselor’s imagery, analogies, colloquialisms, or nonverbal expressions.
Criteria for normal behavior changes from person to person, situation to situation, time to time, and
place to place.
Racial-ethnic minorities tend to be diagnosed with psychological disorders at a higher rate than white,
majority culture Americans, yet they use proportionately fewer mental health services.
Some commonly articulated explanations for these phenomena include:
members of minority groups are misdiagnosed due to cultural insensitivity;
members of minority groups actually have less need for service because they are psychologically healthy
and have functional support systems in their communities or social groups;
service institutions are not responsive to the specific needs of minority group members;
the cultural norms of certain minority groups preclude counseling; and members of certain groups prefer
a medical or religious solution to problems.
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The more person-centered and participative the cultural milieu, the more important the skill of
interviewing becomes.
Culture centered feedback skills include focusing on:
the person’s behavior as opposed to one’s impression of the person;
observations as opposed to inferences;
the here and now;
sharing information as opposed to advice giving;
what is said rather than why it is said;
giving the client only as much information as the person can use;
what is useful to the person rather than oneself;
positive implications in an otherwise negative experience, as seen from the client’s cultural viewpoint;
anticipating potential negative implications from an otherwise positive experience, as seen from the
client’s cultural viewpoint;
mirroring the client’s pattern of eye contact;
mirroring the client’s pitch, volume, tone, and rate of speech, all of which convey meaning, especially
when speaking in a different language;
noting the client’s body language;
establishing trust by allowing clients to discuss their concerns fully and without interruption or changing
the subject;
using verbal underlining to accentuate important points; and
noting hesitations, changes of subject, or other indices of discomfort.
African/Black Americans are more likely than members of the U.S. macroculture to:
speak with affect;
prolong eye contact when speaking;
avoid eye contact when listening;
interrupt or interject;
make rapid verbal responses;
display emotion;
display field dependent thinking;
prefer a group to an individual venue;
include many persons in the family (i.e., extended family);
consider the role of mother more important than the role of wife;
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consider problems to have their roots in the environment rather than in the self;
prefer a behavioral, action oriented, and short term counseling approach;
prefer a problem solving approach to counseling;
exhibit past/present time orientation (future is “no time” in the African culture);
have an external locus of control;
attach significant meaning to political events; and
make use of the church for its healing potential.
African/Black Americans may benefit from:
concrete, structured approaches to counseling;
counselor self disclosure;
introspective therapies;
consideration of the spiritual aspects of counseling; and the teaching of new skills.
Asian Americans are more likely than members of the U.S. macroculture to:
speak softly;
avoid eye contact when listening or speaking to influential people;
incorporate moderate delays in verbal responses;
feel more pressure to obey authority;
exert more emotional and verbal control; and
desire assertiveness training.
Asian Americans may benefit from:
conflict resolution;
introspective and existential therapies;
stress management techniques;
assertiveness training; and
art or narrative therapy.
EuroAmericans tend to:
use loud and rapid speech;
speak to control the conversation;
use eye contact when listening;
use frequent nonverbal markers such as head nodding;
respond quickly;
prefer objectivity to emotion; and
display a task orientation.
Hispanic/Latino Americans are more likely than members of the U.S. macroculture to:
speak softly;
avoid eye contact when listening or speaking to influential people;
incorporate moderate delays in verbal responses;
feel more pressure to obey authority;
exert more emotional and verbal control; and
desire assertiveness training.
Hispanic/Latino American clients may benefit from:
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psychodrama or other cathartic counseling approaches;
incorporation of rituals into the treatment;
use of a life history questionnaire to assess familial relationships;
help in accessing community resources; and
help in managing change.
Native Americans are more likely than members of the U.S. macroculture to:
speak hesitantly, slowly, and softly;
speak with brevity and use silence;
incorporate humor and spirituality into the dialogue;
look away when listening or speaking;
discourage verbal communication;
sit impassively;
agree for the sake of agreement;
give away possessions or demonstrate little value for material things;
measure time by natural phenomena rather than by clocks; and
value relationships over work.
Native Americans may benefit from:
respectful patience on the part of the counselor;
home-based counseling;
collaborative efforts between the counselor and local healer;
directive interventions such as advice
giving, limit setting, and advocacy;
story telling and analogy as part of the intervention;
physical challenge or adventure counseling; and
peer support groups.
Ethical Standards and Practice for Multicultural Counseling
The Code of Ethics and Standards of Practice of the American Counseling Association and the Ethical
Standards of the National Board for Certified Counselors stipulate that counselors do not condone or
engage in discrimination based on age, color, culture, disability, ethnic group, gender, race, religion,
sexual orientation, marital status, or socioeconomic status.
Effective counselors are aware of their own values, attitudes, beliefs, and behaviors in a diverse society,
and avoid imposing their values on clients.
Counselors are aware that culture affects the manner in which clients’ problems are defined.
Counselors take into account clients’ socioeconomic and cultural experience when diagnosing mental
disorders.
Counselors use caution in selecting tests for culturally diverse populations to avoid inappropriate testing
that fails to take into account socialized behavioral or cognitive patterns.
Counselors are cautious in using tests for and making evaluations and interpretations of the performance
of populations not represented in the standardization norm group.
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Counselors take into account the effects of age, color, race, religion, sexual orientation, and
socioeconomic status on test administration and interpretation.
Counselors present test results in culturally appropriate contexts and incorporate consideration of
relevant factors.
Counselors are responsive to special institutional and programmatic recruitment and retention needs for
counselor preparation program administrators, faculty, and students with diverse backgrounds and
special needs.
Counselors are sensitive to diversity issues in conducting research with special populations and seek
consultation as needed.
In obtaining informed consent for research, counselors use language that is easily understood by research
participants to explain procedures, risks, benefits, and limits of confidentiality.
When a person is not able to give informed consent, counselors obtain appropriate consent from a legally
authorized person.
Multicultural Counseling Competencies
Multicultural counseling competencies have been developed to identify requisite skills, abilities, and
characteristics for counselors to be culturally sensitive in counseling practice.
Highlights of these competencies follow.
Culturally skilled counselors are aware of and sensitive to their own cultural heritage and how it impacts
their counseling activities.
Culturally skilled counselors have knowledge of how oppression, racism, discriminatory practices, and
stereotyping affect them personally as well as the persons with whom they work.
Culturally skilled counselors seek to improve their own cultural sensitivity through participation in
educational and consultation activities.
Culturally skilled counselors are aware of attitudinal factors, both their own and those of others, and
how they impact the practice of counseling.
Culturally skilled counselors are knowledgeable about the cultural heritage of the clients with whom they
work.
Culturally skilled counselors are knowledgeable of the research and literature regarding the mental
health characteristics and the cultural heritage of the clients with whom they work.
Culturally skilled counselors respect the personal and cultural worldviews and practices of their clients.
Culturally skilled counselors have know-ledge of the differences between their clients’ cultural
characteristics and their own.
Culturally skilled counselors use helping modalities specifically suited to their clients’ cultural heritage
and circumstances.
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Culturally skilled counselors avoid using both overt and covert behaviors that are discriminatory toward
their clients.
Culturally skilled counselors help their clients fully understand counseling processes, including how they
are best implemented within the clients’ cultural heritage and circumstances.
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Group Work Part 1
Definition of Group Work
Group work is a broad professional practice that refers to the giving of help or the accomplishment of
tasks in a group setting.
Group dynamics refers to the scientific study of groups and those events that occur within group sessions.
It is an area of study within social psychology.
Group work involves the application of group theory and process by a capable professional practitioner
to assist an interdependent collection of people to reach their mutual goals, which may be personal,
interpersonal, or task-related in nature .
Group work is interdisciplinary, drawn from many fields (e.g., counseling, psychology, social work,
sociology, education, and/or psychiatry).
Group work occurs intentionally in a variety of work, educational, mental health, and community
settings.
The main purpose of group work is to provide help and support.
A second purpose of group work is to help members and the group to accomplish tasks and goals.
Group work leaders must be able to apply group theory and process effectively to specific situations.
Group work leaders must be well trained in application of group theory, of group work competencies,
and of professional judgment, and they must be personally and interpersonally competent.
Leadership Styles
Several different (group) leadership styles have been identified:
In the Authoritarian leadership style, the group leader makes all policy decisions for the group and
generally directs how the group functions.
In the Democratic leadership style, the group leader helps the group members to make policy decisions
and generally helps the group function in a democratic manner.
In the Laissez Faire leadership style, the group leader is minimally involved in group matters and
generally allows the group to determine and follow its own “natural” course.
In the Speculative leadership style, the group leader maintains a heavy emphasis on “here-and-now”
discussion, particularly in regard to leader or member in-group behaviors.
In the Confrontive leadership style, the group leader also focuses on the “here-and-now,” but attention is
directed to the impact of each member’s in-group verbalizations and behaviors.
In the Charismatic leadership style, the group leader capitalizes on personal power and attractiveness to
direct the group toward its goals and purposes.
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A group is a social ecological system containing individual, interpersonal, and total group elements, in
which interpersonal connections are important.
The leader needs to recognize and develop interpersonal interdependence (i.e., the interpersonal
connections between and among members).
For the most effective leadership styles, group work leaders work collaboratively with group members to
establish their goals.
Goals include combinations of intrapersonal, interpersonal, and task components, as well as aspects of
both content and process.
Core Competencies
All professional counselors should possess basic, fundamental knowledge and skills in group work.
Advanced group work competencies build on the core set.
Following are the core knowledge competency areas for effective group work:
Definition of group work (presented previously)
Purposes for group work types
Definition of four group work specializations
Similarities and differences of types
Basic principles of group dynamics
Therapeutic factors
Important personal characteristics
Ethical issues unique to group work
Core knowledge competency areas continued
Group development
Group member roles
Advantages and disadvantages of group work
Research applied to area of focus
Recruiting and screening members
Group and member evaluation
Therapeutic Factors
Therapeutic factors are those aspects of group life that are widely believed to account for help-giving and
personal change.
The following list of therapeutic factors is based on the work of Yalom:
Instillation of hope
Universality
Imparting information
Altruism
Yalom’s Therapeutic Factors continued
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Corrective recapitulation of primary family group
Development of socializing techniques
Imitative Behavior
Interpersonal learning
Group cohesiveness
Catharsis
Existential factors
Instillation of hope
An assumption, belief, or act of faith that the group will be of therapeutic value. This position is
fundamentally important for aiding growth, change, and goal accomplishment.
Universality
The awareness that one is not alone, not the only person in the world to be experiencing these adverse or
difficult circumstances or feelings. Universality is the “common denominator” of group involvement.
Universality is more achievable through group participation than through other forms of help-giving due
to its interdependency.
Imparting Information
Provision of didactic information to members by the leader or by other members as a means for
promoting learning about one-self and others.
Altruism
The intrinsic act of giving to be helpful without intending to benefit in any tangible way.
In a group, members can receive through such giving, thereby gaining increased self-awareness,
knowledge, and skills.
Corrective Recapitulation of the Primary Family Group
Creating a positive environment within the group such that members who were participants in a negative
family environment can correct faulty ways and learn new ways of functioning.
Development of Socializing Techniques
Social learning, or the creation of basic or new social skills, is a common outcome of group work.
Group interaction, with its interpersonal orientation and/or skill based orientation, can be a powerful
milieu for social skill development.
Imitative Behavior
Members can learn by observing the leader or other members who model effective and appropriate
behavior.
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“Vicarious” or “spectator” therapy is an important source of learning in groups.
Interpersonal Learning
Interpersonal learning is a mediator of change in groups that is built on the group serving as a social
microcosm in which corrective emotional experiences can occur.
It includes an “interpersonal sequence”:
Members display behavior
Receive feedback and self-observe
Appreciate own behavior
Appreciate impact on others
Group cohesiveness
It is the analogue of “relationship” in individual therapy and provides a sense of “we-ness.”
It reflects the attractiveness of the group for its members and is a necessary precondition for effective
group therapy.
Existential Factors
Development of meaning from experience, involving such areas as the importance of assuming personal
responsibility, and recognizing that life can be unfair and unjust.
Personal Characteristics
Group work leaders must be aware of self and be able to use self as instrument of positive change.
Knowledge of self includes awareness of one’s own:
Personal strengths
Personal weaknesses
Biases
Values
Stimulus value (effects on others)
Ethical Issues
Knowledge of professional ethics is critically important (e.g., ACA Code of Ethics and Standards of
Practice).
Knowledge of ethics particular to group work practice is essential.
Ethical concerns particularly important in group work include:
Confidentiality implications
Voluntary participation
Imposition of leader values
Coercion and pressure
Equitable treatment of members
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Leaving a group
Dual relationships techniques
Goal development
Termination and follow-up
Group Development
Group development refers to the progressive evolution of a group generally expected as being normative.
Over 100 models of group development exist and most are sequential or cyclical in nature.
Models help to predict, plan, and guide, but any particular group may not conform closely to any one
model.
A “generic” model of group development includes at least the following stages:
Group Formation
Control
Work
Termination
The Group Formation stage involves working on the group’s
purposes and goals,
security,
trust,
inclusion,
dependency, and
orientation.
The Group Formation stage is sometimes known to as the Orientation Stage.
The Orientation Stage includes determination and conveyance of the nature and structure of the
particular group and members getting acquainted with one another, exploring each other’s expectations,
and generally becoming involved in the group.
The Control Stage involves working on the group’s
regulation,
conflict,
power, and
organization.
The Control Stage is sometimes known as the Transition Stage.
The Transition Stage often involves group members “testing” each other and the group leader, with
associated conflict, resistance, confrontation, and attempts to dominate among group members.
The Work Stage involves working on the group’s
open communication,
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cohesion,
interdependence,
problem solving,
productivity, and
data flow.
The Work Stage is sometimes known as the Action Stage.
The Action Stage is characterized by developing cohesiveness and (psychological) intimacy among group
members and by productivity and movement toward the group’s goals and purposes.
The Termination stage involves working on the group’s
integration,
application,
evaluation and summing-up,
unfinished business,
disengagement,
saying good-bye, and
closing.
The Termination Stage is sometimes known as the Completion Stage.
The Completion Stage involves termination of the group’s work, including attending to a wide variety of
group member emotions that may be associated with ending the group.
The most valuable resource for a group is its members. Understanding them and utilizing their
experience and contributions is essential.
Positive group member roles include those as
client,
helper,
model, and/or
reality checker.
Members in counseling, psychotherapy, and psychoeducation groups are seeking help and assistance
through group participation. They profess a desire to change or to develop.
Members can help each other by giving feedback, sharing experiences, and modeling effective
interactions. Doing so can also help them gain self-understanding and promote growth and change.
Members can demonstrate through their attitude and behavior effective ways to perceive, think, and act,
thereby assisting other members to grow and change.
Members can serve to provide each other with guidance about feasibility and appropriateness of goals
and actions through providing feedback, raising issues of implementation, and serving as a “sounding
board.”
Negative group member roles include those as
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monopolizer,
resister,
silent one,
withdrawer,
intellectualizer,
joker,
manipulator, and/or
attacker.
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Group Work Part 2
The advantages of group work include
Economy of Approach
Interpersonal Power
Effectiveness
The Economy of Approach advantage is that
group work is cost effective because several people can be worked with simultaneously by one or two
leaders as opposed to working with each one separately.
The Interpersonal Power advantage is that
the group structure is set up naturally to harness the interactions of each other and associated
interpersonal power. Interpersonal power is attuned to many problems and needs where viewpoints and
involvement of others is important, such as improving team functioning or helping members with a
significant personal problem.
The Effectiveness advantage is that
group work has been shown to be an effective and efficacious approach to providing help.
Researchers have demonstrated that group therapy, for example, is at least as effective an approach as
individual therapy and, in some cases, more helpful.
The disadvantages of group work include
Organizing the Group
Misapplication of Group Work Types
Complexity
Acceptance
The Organizing the Group disadvantage is that
establishing groups and a group program poses many challenges, such as finding needed resources,
designing the group, insufficient skill training of staff, assigning members to groups, and scheduling.
The Misapplication of Group Work Types disadvantage is that
sometimes the group method is not appropriate at all, but other methods (e.g., individual) are, while at
other times, the wrong group work methodology might be applied (e.g., using group counseling in a work
setting to attempt to produce improved productivity).
The Complexity of Performing Group Work disadvantage is that
group work is a challenging task that requires group work training, supervised experience, and effective
and appropriate application of knowledge and skills to the presenting situation. The complexity
increases in proportion to group size and difficulty of issues being addressed.
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The Acceptance of Group Work disadvantage is that
group work tends to lag in terms of acceptance by colleagues and the public. It is too often still perceived
as a “second class” intervention that is far too difficult to implement.
Recruiting and Screening strategies are very important for counseling, psychotherapy and
psychoeducation groups.
Prospective members may be obtained through recruitment and marketing methods, BUT the group
must be explained accurately and attractively in them.
Recruiting can occur through dissemination of fliers, postings, announcements in media, direct personal
appeal, referral from case loads, and other ways - if done ethically.
Screening is the process through which the group leader determines before the group is started who is
suitable to participate in the group.
The goal of screening is to appropriately match the group with prospective members.
Informed consent for participation in a group is always necessary.
Presenting informed consent information about the group should include description of
Goals and methods
Leader qualifications
Time commitments
Meeting location
Expectations
Fees (if any)
Confidentiality
Member goals, past experience with groups and counseling, assessment of functioning, expectations for
group, interest in participating, contraindicated factors (e.g., actively psychotic, homicidal or suicidal, or
no social interest), and fit with time demands of group are all important considerations to be discussed in
the informed consent process.
Group leaders and members should understand the importance of evaluating group performance and
member progress, methods for evaluating accomplishment, and how to use data to improve group and
group leader performance.
Group process and outcome evaluation are concerned with how the group is functioning (process) and
with its effectiveness in promoting group and member goals (outcome).
Member evaluation should be focused on how members are involved (process) and on members’ goal
accomplishment (outcomes).
Examples of process evaluation include assessment of members’ levels of participation or satisfaction
with group.
Examples of outcome evaluation include assessment of perceptions of group effectiveness and behavior
change.
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Core Competency Skills
The core competency skills for group work are to:
Encourage member participation
Observe and identify group processes
Attend to and acknowledge member behavior
Clarify and summarize member statements
Open and close sessions
Impart information in the group
Model effective group leader behavior
Engage in appropriate self-disclosure
Give and receive feedback
Core skill competencies
Ask open-ended questions
Empathize with group members
Confront members’ behavior
Help members attribute meaning to their
experience
Help members integrate and apply learning
Demonstrate ethical and professional standards
Keep group on task for accomplishing goals
In group work, the group leader can encourage member participation and involvement by:
Maintaining eye contact
Asking open-ended questions
Using encouraging responses
Modeling effective in-group behaviors
Extending sensitive invitations to talk
Group process involves the events that occur within group sessions or meetings, with a focus on how
participants interact with one another and/or the group work leader.
Group process complements group content, the latter focusing on what participants discuss in the group.
Group process skills include the group leader attending to
Participation
Influence
Decision making
Task functions
Maintenance functions
Group Atmosphere
Membership
Feelings
Norms
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Group process skills continued
Quantity of verbal involvement
Who talks to whom
High participators
Low participators
Shifts in participation
Influence is concerned with the effects of participation. It is evaluated by the group leader addressing
questions, such as:
Who in the group seems influential?
Who in the group seems low in influence?
How do other members respond to high and
low influence group members?
Are there shifts in influence during the group
process?
Are conflicts present?
The group leader must also attend to how decisions are made in the group, including processes such as:
Majority vote
Consensus building
“Railroading” by one member or by a
small subgroup of members
“Ignoring” some group members’ input
Maintaining focus or wandering across
topics
The task functions in a group are focused on goal accomplishment, staying focused, and getting the job
done.
The task functions are accomplished by attending to questions such as:
How are suggestions made? By whom?
Are summaries provided? By whom?
Who keeps the group on target?
Who asks for necessary information?
Who provides necessary information?
The maintenance functions are intended to promote cohesion and harmony in the group by attending to
human relations and working relationships.
The maintenance functions are accomplished by attending to questions such as:
What is the quality of listening? Who does and who doesn’t listen? How is support provided? By
whom? Who helps others get into discussions? Is help provided to members?
Group atmosphere refers to the general “personality” of the group, i.e., its climate.
Evaluating the group atmosphere involves ad-dressing questions such as:
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How do members describe the group or
refer to its characteristics?
Does the group seem supportive? Hostile?
Warm? Cold? Productive? Inefficient? Active? Passive? Strong?
Weak?
Membership is concerned with member inclusion and exclusion in the group and with patterns of
interaction.
“Level” of membership in the group is evaluated by addressing questions such as:
Is there sub-grouping? Who is involved?
Is anyone “outside” the group? How are
they treated?
Are there “in” members? What is the
effects of this situation?
Norms are expectations, ground rules, and standards that emerge through interaction in the group and
may promote or hinder the group and be either understood by group members or outside of their
awareness.
Group norms are evaluated by addressing questions such as:
Are certain issues avoided?
Are members overly polite?
Do members talk about norms?
Attending to and acknowledging member behavior can serve as a potent encourager and reinforcer of
desirable group members’ behaviors.
Clarifying and summarizing statements can help members to organize information and make it more
understandable, thus alleviating the impact of members’ statements that are confusing and lead to
“overload.”
Opening and closing sessions effectively is important for getting work started and for concluding it (or
for linking it to the future).
Imparting information is an important skill and represents a therapeutic factor through which members
can learn from information provided, especially in psychoeducation groups.
Leaders can assist member growth and change by demonstrating and modeling appropriate and effective
behaviors, such as self-disclosure, asking open-ended questions, and feedback.
Self-disclosure is generally understood as a critically important type of information sharing in personal
change groups; leaders should model effective and appropriate self-disclosure to members.
Open-ended questions (often beginning with What or How…?) are preferred in group work because they
invite fuller responses.
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Closed-ended questions invite brief replies and do not encourage self-disclosure or feedback.
Feedback also is generally accepted as a fundamental part of personal change group work.
Leaders can help members learn the value of feedback by demonstrating how to give and invite feedback
from others.
Note that cultural sensitivity needs to accompany expectations about self-disclosure because it is not
valued in some cultures.
The following are guidelines for giving feedback to group members:
Be descriptive not judgmental.
Be specific not general.
Be immediate, not historical.
Give positive feedback first.
Be tentative, not conclusive.
Being empathic with group members forges a connection, showing them that the leader genuinely
understands and cares for them.
Demonstration of empathy by leaders is especially important in the personal change groups of
psychoeducation, counseling, and psychotherapy.
Confronting, i.e., addressing discrepancies in a member’s behavior, assists in helping members to better
understand themselves and to grow and change.
Confronting does not mean attacking, being hostile, or aggressive. Rather, it is a constructive
intervention that leaders can learn and apply with positive results in group work.
Group Leader Functions
Attribution of meaning involves helping members to connect an emotional experience with cognitive
understanding, sometimes called, “making sense of experience.”
Caring involves communicating to group members that the leader has empathy for them individually and
collectively.
Emotional stimulation is a leader function that occurs when the leader catalyzes the groups’ “energy” to
help move the group forward towards its goals.
The group leader’s executive function involves management and timing. It enables the group leader to
help the group to maintain its focus and to continue to make progress towards its goals.
Group members need to integrate and apply their learning in groups.
Integration involves connecting awareness, concepts, and skills gotten from the group to the respective
members’ pre-existing repertoires.
Applying learning means transferring what was learned from the group situation to the “outside” world.
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All groups have goals, and the leader should use executive functioning to help the group keep focused on
its goals, i.e., to remain “on task.”
Keeping the group in the “here-and-now” is an important leader function in the attempt to stay on task;
that is, to not allow the group to wander to past or external considerations.
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Group Work Part 3
Types of Groups
Task groups: to improve or resolve production and performance related to work.
Psychoeducation groups: to impart information and skills.
Counseling groups: to help members cope and adapt to problems of living.
Psychotherapy groups: to reduce emotional or psychological dysfunction in members.
Similarities of Types
Leadership is based on same set of core group work competencies.
All seek to provide help and reach goals.
All involve member interaction and leader guidance.
All utilize basic group processes.
Differences of Types
Task groups focus on work performance.
Psychoeducation groups are educational and usually very structured.
Counseling groups are developmentally-oriented and seek to improve coping with “normal” adjustment
issues.
Psychotherapy groups are remediation-oriented and seek to reduce psychopathology.
Task groups are conducted to enhance or resolve performance and production goals in work groups.
The task group leader functions as a facilitator, using group collaborative problem solving, team
building, program development consultation, and/or system change strategies.
Group leaders need to understand organizational dynamics (i.e., how organizations function) because
task groups often occur within organizations, such as business settings, schools, religious institutions, and
associations.
Understanding community dynamics also is important for group leaders because task groups often occur
within communities and neighbor-hoods.
Political dynamics, such as power and influence in organizations and communities, are important for
task group leaders to understand because task groups usually are part of a larger political system.
Task group leaders frequently use standard group discussion methods to guide interaction, methods that
often follow a general problem-solving approach.
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All ethical principles associated with group work are relevant to task groups.
Specific considerations are concerned with maintaining a task/work focus rather than a personal focus
and with keeping a connection between the work of the task group and the larger organization of which it
is a part.
Program development and evaluation know-ledge is critically important for task group leaders.
Steps in a typical program evaluation plan apply:
Define the problem
Set the objective
Choose among alternate strategies
Prepare for implementation
Design the evaluation
Use evaluative information.
Knowledge of consultation principles and approaches is necessary for task group leaders because:
Consulting often occurs in order to develop task groups within an organization or community.
Task groups are frequently part of an on-going organizational consultation project.
Task groups and process consultation are highly synchronous.
The consultation knowledge and skills areas with which task group leaders should be familiar include
those associated with:
Human interaction processes
Communication processes
Functional roles of group members
Group norms
Leadership and authority
Intragroup processes
Consultation knowledge and skills continued
Collaboration
Establishing contact and defining the
relationship
Selecting a setting and method of work
Data gathering
Intervention (including agenda-setting,
observation, feedback, coaching
structural suggestions, evaluation of
results, and disengagement).
The focus on task and work is a distinguishing feature of task groups.
Leaders collaborate with members to set goals and agenda and to develop on-going monitoring
procedures to keep the group on task.
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Human relations are critical supports in task groups, but are not the predominant focus.
Clear goals are essential to task groups and the goals should be specific, attainable, performance-based,
measurable, and observable.
Leaders help members to define goals that are production and performance-based, rather than related
directly to personal change.
Task group leaders need to mobilize member energy and resources to accomplish previously established
goals.
Involving members in goal creation and planning for goal accomplishment is an important motivational
approach.
Attending to human relations dimensions also provides a critical source for member energy mobilization.
Task group leaders need to provide decision-making options clearly and to define their relative
advantages and disadvantages.
Task group leaders need to help members understand that group life naturally involves conflict, to teach
members how conflict fits developmentally into group functioning, and to help members recognize when
conflict is obvious and/or when it is present but not obvious.
Effective leaders help members to understand how positive human relations are essential to task group
success.
Leaders must continually attend to human processes and human relations because group members will
tend to avoid them in favor of the task or avoiding the task.
Process observation and feedback are crucial leader skills in task groups.
Process observation should focus on level of participation, influence, feelings, decision-making, task
maintenance, group climate, membership, and norms.
Feedback needs to be specific, immediate, descriptive, behavioral, and presented first, with a focus on
positive elements and always in a tentative, non-authoritarian manner.
Task groups usually are not independent entities, but part of a larger organizational system.
Therefore, leaders must be sensitive to the larger organizational and political system.
Task group activities must be kept in balance with the larger system.
Psychoeducation groups feature transmission, discussion, and integration of factual information and skill
building through the use of semi-structured exercises and group process.
Psychoeducation groups often are focused on prevention, which means stopping from happening or
reducing the likelihood that something bad will happen.
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Primary prevention is a “before-the-fact” intervention intended to reduce incidence or occurrence of
new problems.
Being “at risk” is an important prevention concept that means a person is likely to have something bad
happen to him or her.
Being “at risk” exists on a continuum ranging from low risk potential to high risk potential.
The lower risk levels are associated most closely with primary prevention. However, psycho-education
groups can be conducted with people anywhere along the continuum.
Psychoeducation groups typically involve instructing or delivering information to members and
developing skills.
Sessions are designed systematically to disseminate information clearly (and in an organized manner)
and to build skills.
Links among goals, methods, strategies, activities, delivery, and evaluation are vital for effective
psychoeducation groups.
The psychoeducation group leader needs to be particularly knowledgeable of the content for the group.
Research and concepts in the applicable area (e.g., substance abuse or social problem solving) need to be
mastered and then that mastery drawn upon appropriately within the group.
Psychoeducation group leaders need good skills to obtain (i.e., select and recruit) members, particularly
when potential group members are “at risk.”
Knowledge of epidemiological techniques, social indicators, demographic profiles, life transitions, human
and system development, and social marketing can all be helpful.
Knowledge of human development over the life span, augmented by knowledge of human diversity,
contributes strongly to effective psychoeducation group leadership.
Human development must be understood ecologically, including knowledge of important contexts such as
environment.
Effective application of principles of structure are fundamental to psychoeducation groups.
Leaders need to know how to design a (at least semi-) structured group experience from beginning to
ending session.
Leaders also need to know how to structure each session relative to goals, methods, and roles, and how to
use structured exercises within sessions.
When psychoeducation groups are used for prevention, the concept of empowerment is especially
important.
Empowerment refers to group members’ self-perception that they are capable and in control, that their
life condition is not whimsical, and that they are powerful shapers of their own destinies.
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Special ethical considerations revolve around privacy issues in psychoeducation groups.
When prospective members currently unaffected by a disorder (i.e., who are “healthy” or at low risk) are
recruited, care must be given to not be invasive of their privacy.
Another ethical concern revolves around attending to unique needs of members.
Psychoeducation groups can easily become over-structured and unbalanced, resulting in excessive
information delivery.
Except when intended and understood by all, unique member needs can become ignored through
“information overload.”
Effective leaders know the advantages (e.g., that they are focused, informative, skill-development-based,
efficient, and have preventive potential) and disadvantages (e.g., that they can minimize group process
human relations or member participation) of psychoeducation groups.
Leaders develop ideas for a psychoeducation group from literature reviews and local (needs) assessments.
Topics appropriate for a psychoeducation group (e.g., transition from middle to high school) should
match the local needs, resources, and situation.
Psychoeducation group leaders plan their groups best by including input and/or involvement of “target”
population members.
Sometimes representative members of the “target” population are included in planning the group.
Counseling groups are conducted by group counselors to improve coping with problems of living by
focusing on interpersonal problem solving, interactive feedback, and support methods within a here-andnow framework.
Group counselors need to understand the major personality and counseling theoretical approaches for
group counseling, such as Psychodynamic, Behavioral, Transpersonal, Cognitive-Behavioral, and
Humanistic.
Advantages of group counseling include its interpersonal orientation, generation of therapeutic
conditions, support, problem-solving, cost-savings, and development of interpersonal learning.
Disadvantages of group counseling include difficulties in organizing groups and obtaining individual
assistance, and threats to confidentiality.
Knowledge of interpersonal dynamics is essential for group counselors.
The most important interpersonal dynamics in this regard include:
Group processes (e.g., participation levels and task and maintenance behaviors ).
Therapeutic factors (e.g., instillation of hope and altruism).
Feedback and self-disclosure behaviors.
Because counseling groups are most often used to resolve interpersonal problems, knowledge of problemsolving steps is important:
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Identify the problem
Set goals
Consider and choose a strategy
Implement the strategy
Evaluate the success of the strategy
Because group counseling is an interpersonal activity, effective assessment of interpersonal phenomena is
important.
Capacity to engage with others as well as interpersonal needs for inclusion, control, and openness are
examples of important inter-personal dimensions to assess.
Group counselors also need to understand when and how to make referrals and have a referral resource
list from which to draw.
Referral may be necessary during selection or during the course of the group, such as when the group
topic is not relevant to a potential member’s needs or when the level of functioning needed is beyond skill
of group counselor.
When forming a counseling group, the counselor must seek to create a match between the group and
prospective members.
The group’s goals and expectations and individual group members’ level of func-tioning, availability, and
motivation should be considered in this matching process.
Prospective members of counseling groups may be obtained through referral from case loads or through
recruitment and marketing.
Counselors should explore goals, level of functioning, expectations, motivation, and obtain informed
consent during the group formation process.
Group counselors should be able to recognize self-defeating behaviors of clients during their
participation in the group, and note relationships between professed goals and actual behaviors.
Group counselors also should become adept at observing agreements and discrepancies between verbal
and nonverbal behavior.
Group counselors should be able to develop reasonable hypotheses about the meaning(s) of nonverbal
behavior.
They also should be able to work with nonverbal behavior and to be sensitive to individual and cultural
differences.
Group counselors should be able to conduct interventions that are consistent and appropriate with a
group’s stage of development and with member’s developmental progress.
For example, certain leader interventions appropriate at the Forming stage of a group might not be
appropriate at the Working stage.
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Counseling groups often experience conflict and other incidents that might become significant
impediments to the progress of the group.
Counseling groups also may sometimes have members who behave excessively or inappro-priately.
For example, they may be demanding or under the influence of a substance, or they may monopolize,
withdraw, fight, flirt, walk out, or threaten.
These “critical incidents” should be anticipated and responded to by leaders with sensitivity and skill,
capturing the moment to allow the group to maintain itself and to move ahead.
Group counselors should learn how to use major strategies, techniques, and procedures that are
consistent with their (personal) conceptual framework and with the group situation.
Such activities might include use of self-disclosure, feedback, confrontation, modeling, or skills training.
Group counselors should know how to help members transfer their learning from the group to their lives
outside the group.
Relating group events and experiences to the “real world” is very important, including helping members
to integrate and apply learning and to try out small changes first.
Group counselors also can help members generalize group learning.
Useful techniques in this regard include making use of assigned homework, viewing videotapes in the
group, role playing, or keeping journals.
Co-leadership in a counseling group is a desirable and often preferred model because it provides another
role model for members, a support resource for each leader, a “built-in” capacity for leader processing,
and safety.
Functional co-leadership requires a good initial match of leaders and maintenance of an open and
sharing working relationship between them.
Counseling groups, like other groups, need to be assessed and evaluated for their on-going and overall
effectiveness.
Leaders can collect relevant data during sessions, at the end of sessions, or using a pre-and post-test
design.
The data should be used to help the group to progress and to determine its value to each member.
Psychotherapy groups are conducted by therapists to reduce psychological and/or emotional dysfunction
through exploration of the antecedents to current behavior by using intrapersonal and interpersonal
assessment, diagnosis, interpretation, and connecting historical material with the present.
Clients with diagnosed or diagnosable dysfunctions are very suitable for group psychotherapy.
Therefore, for psychotherapy group leaders, knowledge of abnormal behavior is essential because
members enter the group with varying levels of dysfunction.
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In addition, leaders of psychotherapy groups must understand not only current abnormal behavior, but
also how abnormal behavior develops.
Therefore, knowledge of psychopathology and its relationship to normal and abnormal human
development is necessary.
Knowing the relationship of personality theory to group psychotherapy also is important for
psychotherapy group leaders.
Therefore, they must possess a thorough understanding of human development and personality
development.
Leaders of psychotherapy groups also must know crisis theory and its relationships to helping and to
group psychotherapy.
In psychotherapy groups, crises may arise with some regularity, but they can provide oppor-tunities for
the leader to promote change.
Knowledge of Diagnostic and Statistical Manual (IV) of the American Psychiatric Association is important
for psychotherapy group leaders.
This knowledge is useful to assess prospective clients in relation to DSM-IV categories and to integrate
assessment data with criteria for group member selection.
Special screening attention needs to be given by psychotherapy group leaders to selecting group members
who could benefit from group.
Group members included can be those from a wide spectrum of psychological and emotional disturbance.
However, those with poor reality contact or character disorders are not good candidates for group
psychotherapy.
Self-defeating behaviors of many unique kinds can be experienced in psychotherapy groups.
Therefore, leaders need to be able to manage behaviors that are antagonistic to a member’s needs and/or
goals, represent an extreme dysfunction, or heighten liability.
Intervening in critical incidents within a psychotherapy group could involve situations that are at higher
risk than in other forms of group work.
At times, these critical incidents may include crises or emergencies that require direct leader
intervention.
Disruptive members in psychotherapy groups can evidence dramatically pronounced expression of
behavior.
These more obvious and extreme disruptions may require direct (perhaps even physical) intervention on
the part of the leader to manage the member’s behavior and the group itself.
Hospitalization may sometimes be necessary for a member of a psychotherapy group, and therefore
leaders must know procedures for instituting hospitalization, should that be necessary.
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Transfer of learning may require increased support, gradated trials, and repeated attempts in
psychotherapy groups .
Assessment procedures for evaluation in psychotherapy groups may need to be focused more closely than
in other groups on the individual’s accomplishment of gradated goals.
Assessment of psychotherapy group member contributions is often concerned with modest gains.
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Helping Relationships
Part 1
A helping relationship is a process in which one person (i.e., the counselor or therapist) helps another
person (i.e., the client or counselee) to resolve a problem, concern, or difficulty and/or foster personal
growth or development.
The most effective helping relationships are based on counseling theories, which are systematic ways of
viewing and operationaliz-ing the helping process.
There is not a standardized method for differentiating among (i.e., classifying) counseling theories.
However, for presentation purposes here, the theories presented will be grouped as either individual or
family counseling theories.
Note that most individual counseling theories can be applied to group counseling and most family
counseling theories can be applied to marriage counseling.
Each counseling theory has a formal name and typically also is associated with the person who had
primary responsibility for development of the theory.
The following are the major counseling theories that underlie helping relationships in the counseling
profession.
Major Individual Counseling Theories
Each of the following major individual counseling theories is introduced by formal title and primary
proponent. Then, the following major elements of each theory are presented:
View of Human Nature
Role of the Counselor
Counseling Goals
Major Techniques
Psychoanalytic Theory - Sigmund Freud
Freud's view of human nature is considered to be dynamic (i.e., that there is an exchange of energy and
transformation). Catharsis is considered to be a release of this energy.
Freud saw the personality as composed of a conscious mind, a preconscious mind, and an unconscious
mind.
The conscious mind has knowledge of what is happening in the present.
The preconscious mind contains information from both the unconscious and the conscious mind.
The unconscious mind contains hidden or forgotten memories or experiences.
In Psychoanalytic theory, the personality has three parts: id, ego, and superego.
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The id is present at birth, is part of the unconscious, and is the site of the pleasure principle (i.e., the
tendency of an individual to move toward pleasure and away from pain).
The id does not have a sense of right or wrong, is impulsive, and is not rational. It contains the most
basic of human instincts, drives, and genetic endowments.
The ego functions primarily in the conscious and preconscious minds and serves as a moderator between
the id and the superego. It is the site of the reality principle (i.e., the ability to interact with the outside
world with appropriate goals and activities).
The superego sets the (ideal) standards and morals for the individual and operates on the moral principle
that rewards the individual for following parental and societal dictates. Violation of superego rules
results in feelings of guilt.
Freud proposed stages of personality development.
The Oral Stage is centered on the mouth as a source of pleasure.
The Anal Stage is centered on the anus and elimination as a source of pleasure.
The Phallic Stage is centered on the genitals and sexual identification as a source of pleasure.
The Oedipus Complex, as part of the Phallic Stage, is a process whereby a boy desires his mother and
fears castration from his father. In order to become an ally of the father, the boy thus learns traditional
male roles.
The Electra Complex, as part of the Phallic Stage, is similar but less clearly resolved in the female child,
involving desire for the father and competition with the mother. In order to become an ally of the
mother, the girl learns traditional female roles.
The Latency Stage is characterized by little sexual interest and development of social, academic, and
physical skills.
The Genital Stage begins with the onset of puberty and is characterized by (initial) interest in
establishment of sexual relationships.
Freud believed Ego Defense Mechanisms protect the individual from being overwhelmed by anxiety, and
considered them normal and operating on the unconscious level.
Repression is whereby the ego excludes painful or undesirable thoughts, memories, feelings, or impulses
from the conscious.
Projection is whereby the individual assigns undesirable emotions and characteristics to another
individual.
Reaction Formation is whereby the individual expresses the opposite emotion, feeling, or impulse from
that which causes anxiety.
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Displacement is whereby energy generated toward a potentially dangerous or inappropriate target is
refocused to a safe target. A positive displacement is called sublimation, whereby the frustrating target is
replaced with a positive target.
Regression is whereby the person returns to an earlier stage of development.
Rationalization is whereby an individual creates a sensible explanation for an illogical or unacceptable
behavior, thus making it appear sensible or acceptable.
Denial is whereby an individual does not acknowledge an event or situation that may be unpleasant or
traumatic.
Identification is whereby a person takes on the qualities of another person to reduce the fear and anxiety
toward that person.
The primary role of the counselor who uses Psychoanalytic theory is to encourage transference to give the
client a sense of safety and acceptance in which to explore difficult material and experiences from the
past, and thus to gain insight into and work through unresolved issues. The counselor is an expert who
interprets for the client.
The primary goals for Psychoanalytic-based counseling include helping the client to:
Bring the unconscious into the conscious.
Work through a developmental stage that was not resolved or where the client became fixated.
Adjust to the demands of work, intimacy, and society.
Primary Psychoanalytic techniques include the following:
Free Association, wherein the client verbalizes thoughts without censorship, no matter how trivial the
thoughts or feelings may be to the client.
Dream Analysis, wherein the client relates dreams to the counselor, who interprets the obvious or
manifest content and the hidden meanings or latent content.
Analysis of transference, wherein clients are encouraged to attribute to the counselor those issues that
have caused difficulties with significant authority figures in their lives.
Analysis of resistance, wherein the counselor helps the client gain insight into what forms the basis of a
hesitation or halting of therapy.
Interpretation, wherein the counselor helps the client gain insight into past and present events.
Individual Psychology - Alfred Adler
The Adlerian concept of social interest is the individual's feeling of being part of a whole, spanning both
the past, present, and the future.
Adler believed that people were mainly motivated toward a feeling of belonging. He did not believe that
social interest was innate, but rather a result of social training.
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Adler believed that people strive to become successful and to overcome personal areas that they perceive
as inferior, a process of personal growth he referred to as “striving for perfection.”
Those who do not overcome feelings of inferiority develop an inferiority complex, while those who
overcompensate for feelings of inferiority develop a superiority complex.
Adler believed that a person's conscious behavior is the mainstay of personality development.
Adler also believed that a person is as influenced by future (desired and/or expected) goals as by past
experiences.
Thus, Adlerian theory emphasizes personal responsibility for how the individual chooses to interpret and
adjust to life's events or situations.
Maladjustment is choosing behavior resulting in lack of social interest or personal growth.
Misbehavior takes place when the person becomes discouraged or when positive attempts at good
behavior fail to achieve needed results.
Encouragement of good behavior is the recommended antidote to misbehavior.
Adler espoused that the birth of each child changes the family substantially and that the birth order of
the children in the family influences many aspects of their personality development.
Characteristics of birth order positions include the following:
Oldest children usually are high achievers, “parent pleasers,” conforming, and well behaved.
Second born children usually are outgoing, less anxious, and less constrained by rules than are firstborns,
and they also usually excel at what the first born does not.
Middle children often have a feeling of being squeezed in and are concerned with perceived unfair
treatment. They learn to excel in family politics and negotiation, but can become manipulative.
Youngest children usually are adept at pleasing or entertaining the family and run the risk of being
spoiled.
However, they also usually are adept at getting what they want through their social skills and ability to
please, and are often high achievers through modeling of older siblings’ positive behaviors.
Only children or children born seven or more years apart from siblings usually are like first born
children.
Children with no siblings often take on the characteristics of their parents’ birth order because the
parents are the only role models.
They may mature early and be high achievers, but also may be slow to develop social skills, expect
pampering, and be selfish.
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Adler believed that a child's interpretation of life events is determined by interactions with family
members before age five, which teach the child to perceive events and situations through subjective
evaluations of themselves and their environment.
Perceptions that guide children's behavior are called fictions.
Children may make mistakes based on these fictions, such as the following:
Overgeneralizing, whereby the child believes that everything is the same or alike.
Misperceptions of life and life's demands, whereby the child expects more accommo-dation than is
reasonable and interprets failure to achieve accommodation as never getting any breaks.
False or impossible goals of security, whereby the child tries to please everyone to gain security and avoid
danger.
Minimization or denial of personal worth, whereby the child believes that s/he cannot be successful in life.
Faulty values, whereby the child adopts a "me first" mentality with little or no regard for others.
Adler believed that life takes courage and a willingness to take risks without knowing the outcome and
that a person with a healthy lifestyle contributes to society, has mean-ingful work, and has intimate
relationships.
Adler espoused cooperation between the genders (as opposed to competition) and that well-adjusted
people live in interdependent relationships with others in a cooperative spirit.
The role of the Adlerian counselor is as a diagnostician, teacher, and model.
Adlerian counseling is very cognitive, with an emphasis on the examination of faulty logic and
empowering the client to take responsibility for change through a (re)educational process.
The Adlerian counselor encourages the client to behave "as if" the client were who the client wished to
be, and often provides the client with "homework" assignments outside the sessions.
Adlerians are eclectic, with emphasis on encouragement and responsibility.
The goals of Adlerian counseling focus on helping the client to develop a healthy life-style and social
interests.
The Adlerian counselor assists the client to achieve four goals of the therapeutic process: establishing a
therapeutic relationship, examining style of life, developing client insight, and changing behavior.
Client behavior change is the result of taking personal responsibility for behavior.
Commonly-used Adlerian counseling techniques include the following:
Confrontation, whereby the counselor challenges the client’s private logic and inconsistent behavior.
Asking "the Question,” whereby the counselor asks the client how life would be different if the client was
“well.” Parents are often asked, “What would be the problem if this child was not the problem?”
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Encouragement, whereby the counselor supports the client by stating belief in the client's ability to take
responsibility and change behavior.
“Spitting in the client's soup,” whereby the counselor points out the purpose of the client's behavior,
after which the client may continue the behavior but cannot do so without being aware of the motivation
for engaging in the behavior.
Acting "as if," whereby the counselor instructs the client to behave "as if" there were no problem or as
the person that the client would like to be.
“Catching oneself,” whereby the counselor helps the client learn to bring “self-destructive” behavior into
awareness and then stop it.
Task setting, whereby the counselor helps the client set short-term goals that lead toward attainment of
long-term goals.
Person-Centered Counseling - Carl Rogers
Rogers viewed human nature as basically good and that if given the appropriate environment of
acceptance, warmth, and empathy, the individual would move toward self-actualization.
Self-actualization is the motivation that makes the individual move toward growth, meaning, and
purpose.
Person-centered is considered a phenomenological psychology whereby the individual's perception of
reality is accepted as the “true” reality for the person.
Person-centered theory is often referred to as a “self theory” due to Rogers' emphasis on the self being a
result of the person's life experiences and the person's awareness of comparisons to others as the same or
different.
Rogers believed that most people were provided conditional acceptance as children, which lead them to
behave in ways that would assure their acceptance.
However, in their need for acceptance, the individual often behaved in ways that were incongruent with
the real self.
The greater the incongruity between the real self and the ideal self, the greater the isolation and
maladjustment for the person.
The role of the counselor in Person-Centered counseling is to create an environment in which the client is
safe to explore any aspect of self and to facilitate exploration through a special “I-Thou” relationship of
warmth, unconditional positive regard, and empathy.
Diagnosis and psychological testing are discouraged because they are incompatible with the philosophical
view of the individual as unique and place the counselor in a position of evaluation and authority.
Goals in Person-Centered theory relate directly to the individual as the counselor facilitates client
movement toward:
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realistic self-perception,
greater confidence and self-direction,
a sense of positive worth,
greater maturity, social skill, and
adaptive behavior,
better ways of coping with stress, and
full functioning in all aspects of
their lives.
There are three distinct periods in which different techniques were stressed in Person-Centered
Counseling:
Nondirective (1940 - 1950) - the counselor focused on listening and creating a permissive atmosphere and
did not provide interventions, but did communicate acceptance and clarification.
Reflective (1950 - 1957) - the counselor emphasized being non-judgmental, while also responding to the
client's feelings and reflecting affect accurately.
Experiential (1957 - 1980) - the counselor emphasized EWG: Empathy, Warmth, and Genuineness.
Empathy is the ability of the counselor to understand the emotions of the client and to communicate
correctly this understanding.
Warmth is the ability of the counselor to convey an unconditional acceptance (i.e., positive regard) of the
client's personhood.
Genuineness, or congruence, is the ability to be who one really is without assuming roles or facades.
The Person-Centered counselor helps the client through accurate reflection of feelings, keeping the client
focused on the concern, and clarification of feelings and information.
The counselor uses open-ended questions or phrases to help clients gain insight into experiences and
necessary changes in their lives.
Existential Counseling - Viktor Frankl and Rollo May
Existentialists believe that individuals “write their own life story” by the choices they make.
Psychopathology is defined by Existentialists as neglecting to make meaningful choices and accentuating
one's potential.
Frankl indicated that each person searches for meaning in life, and that while the meaning may evolve, it
never ceases to be.
According to Frankl, life's meaning can be discovered in three ways: by doing a deed (e.g.,
accomplishments or achievements), by experiencing a value (e.g., beauty, love, nature, and arts), or by
suffering (e.g., reconciling ourselves to fate).
Anxiety is viewed as both a motivational force that helps the client to reach his/her potential and,
conversely, as a paralyzing force that prevents clients from achieving their full potential.
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Each client is considered to be in a unique relationship with the counselor, one focused on an authentic
and deeply personal, shared relationship between the counselor and client.
In the Existential counselor role, the counselor models how to be authentic, realize personal potential,
and make decisions, with emphasis on mutuality, wholeness, and growth.
The goals of Existential counseling include helping the client to:
take responsibility for his/her life and
life decisions.
develop self-awareness to promote
potential, freedom, and
commitment to better life
choices.
develop an internal, as opposed to an
external, frame of reference.
In Existential counseling, the counselor-client relationship is the most common technique.
However, confrontation also is used when counselors “challenge” clients to assume responsibility for their
own lives.
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Helping Relationships
Part 2
Gestalt Therapy - Fritz Perls
A Gestalt means a whole, and Gestalt therapy is based on the person feeling whole or complete in his/her
life.
Gestalt therapy is considered to be a “here-and-now” therapy focusing on awareness, with the belief that
when clients focus on what they are and not what they wish to become, they become self-actualized.
Thus, the client achieves self-actualization through self-acceptance.
Gestaltists believe that the individual naturally seeks to become an integrated whole, and thus to live
productively.
Gestaltists are antideterministic because they believe that people have the ability to change and become
responsible.
Gestalt borrows heavily from existentialist, experientialist, and phenomenologicalist viewpoints, with the
emphasis on the present and awareness and the client's own inner world of interpretation and assessment
of the present life situation.
Gestaltists believe that individuals emphasize intellectual experience and diminish the importance of
emotions and senses, which results in an inability to respond effectively to situations or events in their
lives.
Gestaltists believe that current thoughts, feelings, and reactions to past events or situations impede
personal functioning and prevent here-and-now awareness, a phenomenon referred to as “unfinished
business.”
Awareness is considered to be on a continuum, with the healthiest person being most aware of his/her
needs and dealing with them through manipulation of the need and the environment.
In the Gestalt perspective, people experience difficulties through loss of contact with or overinvolvement
in their environment, fragmentation, difficulties with life’s dichotomies (e.g., love/hate or pleasure/pain),
conflicts between shoulds and wants, and failure to resolve unfinished business.
The Gestalt counselor’s role is to help the client explore his/her needs in order to grow, focus on using
energy to adapt positively, and discern life patterns.
The counselor also helps the client to use present tense verbs, address persons directly rather than talk
about them, use “I” instead of referring to personal experiences in the second (you) or third (it) person,
focus on how and what rather than why, and turn covert questions into statements.
The goals of Gestalt Therapy include helping the client to become aware in the here-and-now of the
client's experience, make current awareness choices, resolve past issues, become congruent, reach
intellectual maturity, and shed neuroses.
Primary techniques in Gestalt therapy usually manifest in one of two forms: either an exercise or an
experiment.
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Typical exercises include activities such as frustration actions, fantasy role playing, fantasy, and
psychodrama.
Experiments are unplanned, creative interventions that grow out of the here-and-now interaction
between the client and the counselor.
Dream work in Gestalt therapy consists of the client telling the dream and then focusing his or her
awareness on the dream from the perspective of each character or element in the dream.
The “Empty Chair” technique is a process wherein the client addresses parts of his/her personality, or
that of another, as if it were an entity sitting in an empty chair.
In confrontation, the counselor calls attention to incongruities between the client's verbalizations and
observed emotions or behaviors.
“Making the Rounds” is a group exercise in which the client is instructed to say the same sentence to each
member of the group and then to add something personal to each person.
Exaggeration is overdramatizing the client's gestures and movements to help the client gain insight into
their meaning .
“May I Feed You?” is the question the counselor asks before giving the client a more specific expression
of what the counselor believes is the underlying message of the client.
“I Take Responsibility” is a statement the counselor has the client say after expression of perceptions to
help the client to integrate internal perceptions and behaviors.
Rational Emotive BehaviorTherapy - Albert Ellis
Rationale Emotive Behavior Therapy (REBT) assumes the individual has the capacity to be rational or
irrational and sensible or crazy, which Ellis believes is a biologically inherent capacity.
REBT is most concerned with irrational thinking, especially that which creates upsetting thoughts and
related behaviors.
REBT views the individual as being easily dis-turbed because of gullibility and suggestibility.
Ellis is a proponent of the individual thinking of behavior as separate from personhood (i.e., "I did a bad
thing" rather than "I am a bad person”).
Ellis believes that each individual has the ability to control his/her thoughts, feelings and actions, but in
order to gain this control, a person must first understand what s/he is telling him/herself (self-talk) about
the event or situation.
Ellis believes that cognitions about events or situations can be of four types: positive, negative, neutral, or
mixed, and that these cognitions result in “like thoughts,” with positive leading to positive, negative
leading to negative, etc.
Ellis listed the most common irrational beliefs that clients find disturbing:
1. It is absolutely essential to be loved or
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approved of by every significant
person in one's life.
2. To be worthwhile, a person must be
competent, adequate, and achieving
in everything attempted.
3. Some people are wicked, bad, and
blamed or punished.
villainous, and therefore should be
4. It is terrible and atastrophic whenever events do not occur as one
hopes.
5. Unhappiness is the result of outside
events, and a person has no control
over such despair.
6. Something potentially dangerous or
harmful should be cause for great
concern and should always be kept
in mind.
7. Running away from difficulties and
responsibilities is easier than
facing them.
8. A person must depend on others and
must have someone stronger on
whom to rely.
9. The past determines one's present
behavior and thus cannot be changed.
10. A person should be upset by the
problems and difficulties of others.
11. There is always a right answer to every
problem, and a failure to find this
answer is a catastrophe.
The counselor’s role in REBT is direct and active in teaching and correcting the client's cognitions.
Ellis believes that a good REBT counselor must be bright, knowledgeable, empathic, persistent, scientific,
interested in helping others, and use REBT in his/her personal life.
The primary goals of REBT are to help people live rational and productive lives; see that it is their
thoughts and beliefs about events that creates difficulties, not the events or situations themselves;
understand that wishes and wants are not entitlements to be demanded; stop catastrophizing; and change
self-defeating behaviors.
REBT stresses using the appropriate emotional response to a situation or event, and the acceptance and
tolerance of self and of others in order to achieve life goals.
Initial REBT-based counseling is devoted to learning the “ABC Principle,” in which:
A = Activating event
B = Belief or thought process
C = emotional Consequence.
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Cognitive disputation is a technique aimed at asking the client questions that challenge the logic of the
client's response.
Imaginal disputation has the client use imagery to examine a situation where the client is likely to become
upset.
Behavioral disputation involves having the client behave in a way that is opposite to the way the client
would like to respond to the event or situation.
The Emotional Control Card is an actual card intended for the client to carry in his/her wallet on which
there is a list of inappropriate or self-destructive feelings countered with appropriate, non-self-defeating
feelings.
Confrontation occurs when the counselor challenges an illogical or irrational belief that the client is
expressing.
Encouragement involves explicitly urging the client to use RET principles rather than to continue selfdefeating responses.
Transactional Analysis - Eric Berne
In the Transactional Analysis (TA) viewpoint, people can change, and can change at any point in life.
Four major methods are used in TA to analyze and/or predict human behavior:
Structural Analysis
Transactional Analysis
Game Analysis
Script Analysis
Structural analysis looks at what is happening within the individual and describes each person in terms
of three ego states:
1. The Parent ego state contains the parental admonishments and values with dos, shoulds, and oughts.
2. The Adult ego state contains the objective, thinking, rational, and logical ability to deal with reality.
3. The Child ego state is the source of childlike behaviors and feelings.
Transactional analysis looks at what is happening between two or more people and describes interactions
as three transactions:
1. Complementary transactions are characterized by both people communicating from the same ego
state.
2. Crossed transactions are characterized by both people coming from different ego states, which results
in a hurtful response.
3. Ulterior transactions are characterized by people coming from different ego states, but the responses
appear to be from the same ego state.
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Game analysis looks at transactions between individuals that lead to negative feelings and involve three
levels of games or ulterior transactions that appear to be complementary:
First degree games are played in social situations and lead to mild upsets.
Second degree games are played in more intimate circles and lead to really bad feelings.
Third degree games are violent and usually end in the jail, hospital, or morgue.
Script analysis looks at the life plan the individual has chosen to follow and includes life plans such as:
Never scripts result in a person who believes he/she is a ne’er-do-well.
Until scripts result in the person who continues to wait until he or she can deserve the reward.
Always scripts result in a person continuing without change.
After scripts results in anticipation of difficulty after a certain event.
Open-ended scripts result in lack of direction after a given time or event.
Ideal scripts are characterized by “I am ok and you are ok .” (Less desirable scripts are characterized by
“I'm ok, you are not ok”; “I'm not ok , You're ok”; and “I'm not ok, You are not ok”)
The counselor’s role in TA is as a teacher of TA and its unique language.
The counselor contracts with the client for the changes that they desire.
The goal in TA is not only to learn to adjust to life but also to attain health and autonomy.
Through gaining autonomy, the client becomes more aware, intimate and spontaneous, living a life free of
games and self-defeating life scripts.
In addition to structural, transactional, game and script analysis, TA counselors use other techniques
such as:
Treatment contract, in which an agreement is reached between the counselor and client about what is to
be accomplished and agreed upon responsibilities.
Interrogation, in which the client is forced to answer from the adult ego state through a succession of
confronttional questions.
Confrontation, in which the counselor points out the client’s inconsistencies.
Explanation, in which the counselor teaches the adult ego state of the client as a tenet of TA.
Illustration, in which a story or example is used to portray a point.
Confirmation, in which the counselor directs the client's attention to a previously modified behavior that
is reoccurring.
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Interpretation, in which the counselor explains to the (client’s) child ego state the reasons behind the
client's behavior.
Crystallization, in which the client realizes that game playing can be given up and the client can enjoy the
freedom of choice in behavior.
Specification, which is identifying the ego state that is the source of the transition.
Behavioral Theories - B.F. Skinner
Behaviorists, with the exception of cognitive behaviorists, concentrate on behavior that can be observed,
particularly with a here-and-now focus.
A basic tenet of Behavioral Counseling is that all behavior is learned, whether the behavior is
maladaptive or adaptive, and that adaptive behavior can be learned so as to replace maladaptive
behavior.
Behaviorists set well-defined, measurable, and observable goals in therapy, reject the idea that human
personality is composed of traits, and strive to obtain empirical evidence to support the use of specific
techniques.
Respondent learning is often referred to as stimulus-response learning in which the learner does not
(necessarily) need to be an active participant.
The outcome of Behavioral Therapy is the counter-conditioning (i.e., unlearning) of involuntary
responses.
Operant conditioning requires that the participant be actively involved and involves rewarding desired
behavior and/or punishing undesired behavior until the person learns the desired behavior that elicits the
reward.
Operant conditioning differs from respondent conditioning in that operant conditioning is the
conditioning of voluntary responses through rewards or reinforcers.
Social modeling is the process in which new behavior is learned from watching other people and events
without experiencing the consequences from the behavior or engaging in the behavior.
Roles of the behavioral counselor are varied and include being a consultant, teacher, advisor, reinforcer,
and/or facilitator.
The counselor is active and may supervise other people in the client's environment to achieve the goals of
therapy.
Counselors using social learning may model the desired behavior, while respondent and operant
conditioning counselors are more directive and prescriptive in their approach to the therapy goals.
The goal of Behavioral counselors is to improve the life of the client through better adjustment and for
the client to achieve personal goals professionally and personally.
Four steps in developing therapeutic goals are:
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Define the problem concretely, specifying when, where, how, and with whom the problem exists.
Take a developmental history of the problem, eliciting conditions surrounding the beginning of the
problem, and what solutions the client has tried in the past.
Establish specific subgoals in small, incremental steps toward the final goal.
Determine the best behavioral method to be used to help the client change.
Establishment and use of reinforcers are the primary techniques used to increase desired behaviors.
Positive reinforcers are things desired by the client, while negative reinforcers are things to be avoided.
Primary reinforcers are intrinsic while secondary reinforcers are tokens that acquire value by being
associated with a primary reinforcer.
Schedules of reinforcement include:
Fixed-ratio, wherein the reinforcer is delivered after a set number of responses.
Fixed-interval, wherein the reinforcer is delivered after a set time lapse.
Variable-ratio, wherein the reinforcer is delivered after varying numbers of responses.
Variable-interval, wherein the rein-forcer is delivered at varying time intervals.
Shaping is learning behavior in small steps that are successive approximations toward the final, desired
behavior.
Chaining is the order of the desired sequence of skills leading to the desired behavior.
Generalization is the transfer of learning from behavioral therapy to the client’s world.
Extinction is the elimination of a behavior through withholding a reinforcer.
Punishment is the delivery of aversive stimuli resulting in suppression or elimination of a behavior.
Systematic desensitization is a process accomplished through successive approximation to reduce anxiety
toward an anxiety provoking event or situation.
The steps needed to accomplish the behavior are listed and prioritized.
The counselor helps the client to learn relaxation techniques to reduce/overcome anxiety.
Because a client cannot feel anxious and relaxed at the same time, the phenomenon is termed reciprocal
inhibition.
Behavioral rehearsal is repeating and improving a behavior until the client accomplishes the behavior
that is desired.
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Environmental planning is a process in which the client arranges the circumstances to promote or inhibit
particular behaviors.
Maintenance is the consistent continuation of learned behaviors without support from sources external
to the client's self-control and self-management.
Assertiveness training is a technique in which the client is taught to express appropriate feelings without
hostility, anxiety, or passivity.
Contingency contracts are written agreements in which the desired behaviors are specifically described,
as are the reinforcers to be given and the circumstances in which the reinforcers will be administered.
Implosion is desensitizing the client by having the client imagine an anxiety provoking situation that may
have a dire consequence in a safe environment.
Time out is an aversive technique in which the client is prevented, usually through some form of isolation,
from receiving a positive reinforcer.
Overcorrection is an aversive technique in which the client is required to restore the environment and to
improve it substantially.
Covert sensitization is an aversive technique in which a behavior is eliminated through pairing with an
unpleasant thought.
Cognitive restructuring is helping clients change how they think about an event or situation by examining
their thoughts and challenging the irrational or self-defeating thoughts.
Thought stopping is a series of procedures in which the client replaces self-defeating thoughts with
assertive, positive, or neutral thoughts.
The procedure is one in which the counselor asks the client to think obsessively in a self-defeating
manner, then suddenly and unexpectedly yells, "stop." If successful, the client cannot continue the selfdefeating thoughts after this disruption.
Stress inoculation is a three step preventative technique that includes:
The nature of stress and coping for the client is defined.
Specific stress reduction and coping skills are taught to expand those stress and coping skills already used
by the client.
The client practices the new skills in real life situations.
Reality Therapy - William Glasser
Glasser maintains that people act on a conscious level, that they are not driven by instincts or the
unconscious, and that there is a force in every person that seeks both physical and psychological health
and growth.
Glasser separates the forces into the “old brain,” or primitive physical needs, and the “new brain,” or
psychological needs.
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Glasser believes that identity, or a healthy sense of self, is crucial.
The old brain contents itself with maintaining life, and the new brain seeks belonging, power, freedom,
and fun.
A success identity comes from being loved and accepted, and a failure identity comes from not having
needs met for acceptance, love, and worth.
Glasser espouses two critical periods in children’s development.
Children ages 2 to 5 are socialized to deal with frustrations and disappointments. Children not getting
support and love from their parents during this critical time begin to establish a failure identity.
Children ages 5 to 10 who already have socialization or academic problems often establish a failure
identity.
Glasser suggests that human learning is a life long process; therefore, identity can be changed at any time
by learning what needs to be learned.
Glasser believes that humans are self-determined, that each person has within him/herself a self-picture
or perception, and that the person behaves in a way that is determined or controlled by this self-image.
Glasser’s Control Theory has three parts:
B is the behavior.
C is the control, in which comparison is
made between the desired image
and the image the behavior is
producing.
P is the perception or the development of
the image.
The role of the counselor in Reality Therapy is as a teacher and a model to the client.
The counselor creates an atmosphere of acceptance and warmth, helping the client focus on the control of
displayed thoughts and actions.
The reality counselor uses "ing” verbs to help the client describe thoughts and actions (e.g., angering,
bullying, or excusing).
The focus of counseling is on the behavior that the client needs or wants to change and how to change
that behavior in a positive manner.
The primary goal of Reality Therapy is to help the client become psychologically strong and rational (i.e.,
a strong and rational person who is autonomous and behaves responsibly toward self and others).
Other goals include to help clients to determine what they want in life, develop practical plans to
accomplish personal needs and desires, put the past behind and focus on present behaviors, and accept
no excuses and eliminate punishment from life.
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The three primary steps of Reality Therapy are:
The counselor helps the client to see the reality and understand how a behavior is unrealistic.
The counselor separates the client from the behavior and rejects the behavior without rejecting the client.
The counselor teaches the client how to fulfill needs realistically and positively.
Humor is used to point out absurdity without being sarcastic.
Confrontation is used to help the client accept responsibility for behavior.
Reality therapy uses WDEP: establishing what the client wants, clarifying what they have been doing,
evaluating how helpful the actions have been, and planning for how they want to behave in the future.
The eight steps in Reality Therapy to accomplish its goals are:
Establish a relationship.
Focus on present behavior.
Client evaluates his/her behavior.
Develop a contract or plan of action.
Get a commitment from the client.
Don’t accept excuses.
Allow reasonable consequences but
refuse to use punishment.
Refuse to give up on the client.
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Helping Relationships
Part 3
Major Family
Counseling Theories
A “family” has been defined as a natural social system with its own unique properties, including:
evolved rules of behavior,
an organized power structure,
negotiating and problem-solving strategies,
shared history and perceptions, and
overt and covert modes of communication.
A family is characterized by economic, physical, social, and emotional intra- and interdependence among
the members of the unit.
Functional families are characterized (at least) by reciprocal emotional attachments, structural stability,
effective coping skills, interactive processes, open channels of communication, and structural and
interactive flexibility to cope with the demands of life.
The “family life cycle” is the series of stages through which a family evolves over time.
Models of the family life cycle typically include the following stages:
Independent adults
Marital dyad
Infant family
Pre-School family
Grade School family
Adolescent family
Launching family
Mentoring dyad
Retirement family
Elderly family
Family counseling is often considered within the context of systems theory, which holds that a family is
composed of interacting components (i.e., family members mutually affect one another).
Family systems theory also holds that:
a. causality is interpersonal.
b. family systems are best understood as repeated patterns of interpersonal interactions.
c. symptomatic behaviors must be under-stood from an interactional viewpoint.
Basic family counseling concepts
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Circular Causality is the idea that events are related through a series of interacting feedback loops.
Within the context of the circular causality viewpoint, family or family member dysfunctionality is
shifted from any individual(s) to the family unit as a whole.
Linear Causality is the antithesis of circular causality, suggests that there is cause-and-effect explanation
of behavior.
Cohesion is the level of emotional bonding among family members.
Adaptability is the level of the family’s ability to be flexible and to change.
Enmeshment is a situation in which family members are overly dependent upon and/or undifferentiated
from one another.
Triangulation is when one family member is “pulled” in two different directions by the other members of
the triangle.
Paradigm Shift is a change in traditional or habitual ways of thinking, with subsequent change in
behavior.
Identified Patient is the person who bears the symptoms, although the problem is addressed from a
family systems perspective.
Subsystem is two or more (but not all) family members who form a subsection of the family.
Homeostasis is a steady or balanced state of being; families act to maintain homeostasis.
Equifinality is when the family uses or reaches the same set of behaviors regardless of the initial impetus
for reaction.
Feedback is when informational interaction among family members influences future behaviors in a
closed loop.
Morphogenesis is the ability of the family to meet changing demands.
Boundary is the limit of possible input and/or influence permitted.
Open System is a family with permeable boundaries that allow for exchanges and/or influence from the
community outside the family.
Disengaged is when a family member is emotionally separate or distant from other family members.
Experientialist Family Counseling
Virginia Satir, similar to other Experientialist family counselors, believed that family prob-lems are
grounded in suppression of feelings, emotional and/or behavioral rigidity, and lack of awareness and
sensitivity.
The goal of Experientialist family counseling is to increase intrafamily communication.
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Experientialist family counselors, unlike most others, often describe family dysfunction using an
individual or dyad as the unit of analysis.
Satir described four nonproductive roles of communication that family members may use when under
stress:
Placater - who agrees and tries to please
Blamer - who dominates and finds fault
Responsible Analyzer - who remains
emotionally detached and intellectualizes
Distractor - who interrupts and constantly
chatters about irrelevant topics
Another Experientialist, Carl Whittaker advocates the use of a co-counselor to prevent the counselor
from becoming enmeshed in the family.
Whittaker also emphasized the use of creative, sometimes relatively radical, techniques in family
counseling.
Whittaker’s primary goals for family counseling are to increase each person’s belongingness in the family
as well as individuality within the family.
Psychoanalytic Family Counseling
Psychoanalytic family counseling is derived from individual psychoanalytic theory, and may be applied
in a family or individual context.
The primary goal of Psychoanalytic family counseling is to bring to the conscious the unconscious
patterns from the family of origin (object relations) through transference and countertransference.
Psychoanalytic family counseling attempts to improve relationships by breaking fixations from an earlier
stage of development.
The interfering fixations constitute an intrapsychic structure known as an introject.
Psychoanalytic family counselors attempt to establish effective object relations wherein an individual can
have an effective relationship with another (i.e., object) by removing the introjects.
Behavioral Family Counseling
Major underlying principles of Behavioral family counseling include that:
a. behavior is maintained or eliminated by
consequences
b. adaptive behaviors can be learned
c. maladaptive behaviors can be unlearned
or changed
d. cognitions can be rational or irrational,
but can be changed.
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Behavioral family counseling often involves cognitive change or mediation as a concur-rent strategy.
Behavioral family counseling is often criticized as being linear in nature; that is, that problems are
viewed as individual, not systemic, and that problems can be solved through logical applications of
behaviorism.
Behavioral family counseling is used most frequently for treatment of sexual dysfunction between spousal
partners.
Structural Family Counseling
Salvador Minuchin is usually acknowledged as the founder of Structural family counseling.
The primary goal of Structural family counsel-ing is to “resolve” presenting problems.
Resolution of presenting problems typically results from or in change in the underlying family structure
(i.e., pattern of intrafamily interactions).
Structural family counseling is action-oriented; the counselor plays a very active role in the therapeutic
process.
Structural family counseling is based on the idea that family functioning involves family structure,
subsystems, and boundaries.
The primary goals of Structural family counseling are to resolve problems by “bringing them out into the
open” and to facilitate structural changes such as those related to organizational patterns and action
sequences.
Primary Structural counseling techniques include:
Joining, in which the counselor helps to act out the mood of the family.
Enactive Formulation, in which the counselor
acts to slow down a family interaction.
Challenging the Communication Rules of the Family, in which the counselor imposes new
communication rules for the family.
Reframing, in which a positive connotation is applied to a negative behavior.
Relabeling, in which a positive descriptive adjective is used to replace a negative one.
Challenging the Structure of the Family, in
behavior and/or interaction.
Restructuring, in which the counselor
which the counselor points out ineffective patterns of
intentionally modifies a family’s typical way of interacting.
Task Setting, in which the counselor gives a specific homework assignment intended to extend what has
gone on in counseling.
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Making Boundaries, in which the counselor helps family members establish more effective boundaries,
usually by placing limitations on specific behaviors.
Shaping Competence, in which the counselor helps family members to develop and be recognized as
having new competencies.
Strategic Family Counseling
Jay Haley is recognized as the foremost proponent of Strategic family counseling.
Cloe Madanes, another important Strategic family counseling theorist, is noted for her analyses of power
in the family.
The primary goal of Strategic family counseling is to resolve presenting problems as rapidly as possible,
often in terms of behavioral goals and minimizing insights, using action-oriented techniques.
Strategic family counseling is intended to be simple and pragmatic, and to focus on changing
symptomatic behaviors and rigid rules.
Haley was particularly concerned with family life cycle transitions, suggesting that if the family does not
adapt to change or stress effectively, one or more family members will become symptomatic.
A primary Strategic family counseling tech-nique is the use of directives (aka prescrip-tions), which are
“orders” the counselor gives directly or indirectly to the family to achieve compliance or its opposite,
rebellion.
Key concepts in Strategic family counseling include:
The Perverse Triangle, which is a situation in which two family members at different levels of the family
hierarchy align against a third member.
Double Bind, in which no matter what the person does or says, the person cannot “win.”
Power in the Family, which is the authority to make or enforce rules or decisions; power becomes most
important in transition or problematic situations.
Incongruous Dual Hierarchy, in which a family member holds both a superior and inferior position of
power in the family.
The Symptom as Metaphor, in which a “symptom” serves as a metaphor for the problem being
experienced by another member of the family.
Cyclical Variation Maintaining Incongruous Dual Hierarchies, in which the symptoms come and go in
cycles but the incongruous hierarchies remain.
Pretending, in which one family member is instructed to pretend to have a symptom while others react to
it.
Solution-Focused (Brief) Family Counseling
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The primary goal of Solution-Focused family counseling is to change behavior in a relatively brief period
of time, particularly by changing family rules (i.e., the governing principles that organize family life).
The primary proponents of Solution-Focused family counseling include Don Jackson, Paul Watzlawick,
and Steve de Shazer.
Jackson focused on changing the interactional patterns among family members using “recalibration,”
which is changing or redefining the family rules, such as through:
Quid Pro Quo, in which family members are asked what is needed and what can be given, and then
change is negotiated.
Prescribing the Symptom, in which the family is directed to intensify the symptomatic behavior toward
having them rebel and actually reduce the behavior.
Watzlawick described first-order change as change of the structure or system, but with no change in the
rules, and second-order change as change in the structure or system with associated change in the rules.
Watzlawick viewed the goal of Solution-focused family counseling to be second-order change (i.e.,
removal of symptoms through behavior change).
Watzlawick advocated the use of paradoxical interventions in which the family is instruct-ed to
implement contradictory behaviors.
Steve de Shazer suggested that the ecosystem (e.g., family) is the survival unit, not the individual.
de Shazer focused on “ecosystemic epistemol-ogy” suggesting that family members reciprocally gain
knowledge and evolve their own reality.
de Shazer advocated (but did not require) use of family counseling teams, often with the team behind a
one-way mirror and being brought in when therapeutically appropriate.
Techniques associated with de Shazer include:
Clue, which is an intervention that mirrors family behavior, such as a counterparadox in response to
double-bind behavior.
Compliment, which is a written message that praises family behavior and relabels previous family
behavior.
Confusion, in which the counselor admits to
confusion about possible resolution following a detailed
description of each family member’s behaviors.
Past Successes, in which the counselor
relate them to current situations.
compliments past successful behaviors but does not directly
Skeleton Keys, which are “stock interventions” that work in a variety of circumstances.
Intergenerational Family Counseling
Murray Bowen is the foremost proponent of Intergenerational family counseling.
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Self-differentiation is the degree to which people can separate cognitions and emotions to function
effectively.
The primary goal of Intergenerational family counseling is to assist one or more family members to
achieve greater self-differentiation.
Triangulation is the process of involving a third person in a dyad, particularly when the dyad is stressed
or confronting a problem.
The Nuclear Family Emotional System is the pattern of emotional interchange among family members in
a single generation.
Multigenerational Transmission Process is the
transmitted across generations in a family.
mechanism whereby emotional adjustment is
Bowen developed genograms to represent the process and structure of at least three generations of a
family.
Genograms are used to help family members understand the multigenerational transmission process.
Detriangling is a technique to help family members share thoughts and feelings without becoming
defensive or putting others down.
Ivan Boszormenyi-Nagy developed several Intergenerational family counseling concepts and techniques,
including:
Ledger of Merit, which is the multigenerational structure of expectations and actions reflecting debts
and merits accumulated on each side of a dyadic relationship.
Entitlement, which is merit for caring.
Delegation, which is the expectation parents or
of the family.
grandparents have for children to conduct the mission
Siding, in which the counselor sides with each
contributions to the family.
family member in expounding on the member’s
Rejunction, in which family members dialogue
to obtain entitlement.
Crediting, in which the counselor helps to acknowledge various family member’s positive contributions to
the family.
Consultation
Consultation is a helping process in which a counselor works with one or more other professionals, who
in turn work with one or more clients.
Thus, in consultation, counselors have only an indirect relationship with clients (service recipients).
The consultation process usually occurs across several stages.
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The first stage is called the Entry Stage, because it is the point at which the consultant enters the
organization and/or relationship.
The relationship is built during the Entry Stage, the problem and its parameters are defined, and a
mutually-agreed upon contract is made with the consultees.
Typically, there are four phases in the Entry Stage.
In Phase 1, the consultant explores the organization’s needs in regard to questions such as Should
consultation take place?; Why am I here?; Who are you?; What is likely to happen?; What will be the
result?; and What can go wrong?
In Phase 2, a contract is developed to agree upon consultation procedures, fees, expectations of
participants, and deadlines.
The elements of a contract typically include consultation goals, time frame, consultant's responsibilities,
agency's responsibilities, consultant's boundaries, and arrangements for periodic review and evaluation
of the consultant's work.
In Phase 3, the consultant physically spends time working with consultees.
In Phase 4, the consultant psychologically enters consultee’s system by establishing the relationship and
minimizing resistance to change.
The second stage in consultation is the Diagnosis Stage, in which the problem is examined in depth and
the consultant and consultee establish goals and generate methods to meet the goals.
The Diagnosis Stage also typically has four phases, including (a) gathering information, (b) defining the
problem, (c) setting goals, and (d) generating interventions.
The third stage is the Implementation Stage, in which the emphasis is on planning and taking action.
The typical four phases of the Implementation Stage include (a) choosing an intervention, (b) formulating
a plan, (c) implementing the plan, and (d) evaluating the plan.
The fourth stage is the Disengagement Stage, in which there is gradual reduction in the activity and
dependency on the consultant.
The typical four phases of the Disengagement Stage include (a) evaluating the consulting process, (b)
planning for post-consultation concerns, (c) reducing involvement, and (d) termination.
Organizational consultation involves a counseling professional working either inside or outside an
organization to provide technical, diagnostic, prescriptive, or facilitative assistance to individuals or
groups from the organization seeking to change, maintain, or enhance the organization's effectiveness.
A variety of models of organizational consultation have been presented in the professional counseling
literature.
Blake and Mouton proposed the “Consul-cube” as a model containing 100 cubes to explain the
relationships among units of change (i.e., clients), kinds of interventions, and focal issues (i.e., problems).
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Schein proposed several models of organization-al consultation.
In Schein’s Purchase of Expertise Model, the consultee knows what the problem is, how to solve it, and
who can be of help, and so just hires an appropriate consultant to achieve the desired result.
In Schein’s Doctor-Patient Model, the consultee knows that something is wrong, but cannot identify it
and so engages a consultant to diagnose the problem and prescribe a solution.
In Schein’s Process Model, the consultant and consultee form a team to define the problem and explore
solutions to the problem.
Mental health consultation is process consulting between professionals to assist in the mental health
aspects of work-related problems that concern the client or the organization.
Caplan’s models of mental health consultation are based on a psychodynamic orientation in which
behavior is the product of unconscious motivation. Therefore, many issues are dealt with indirectly.
In Caplan’s models, the consultant and the counselor are essentially peers trying to help the counselor’s
client, and in doing so improve the counselor’s job performance.
A major focus of Caplan’s model of mental health consultation is transfer of effect, in which something
learned in one situation will be transferred or used in other similar situations.
In Client-Centered Case Consultation, the goal is to help the consultee to develop intervention plans and
gain information and/or skills to help in future similar cases.
In Consultee-Centered Case Consultation, the goal is to help the consultee to overcome short-comings in
working with a particular type or class of clients.
In Consultee-Centered Administrative Consultation, the consultant works with the organization's
administrative-level personnel to solve problems in personnel management or implementation of
organizational policy.
Behavioral Consultation is much like other forms of consultation with the exception that the consultant
uses techniques taken from behavior therapy, with focus on problem solving using behavioral
interventions such as modeling, social learning, or token economies.
Key concepts of behavioral consultation include focus on the scientific view of behavior, influences on
behavior, and principles of behavioral change.
In School-Based Consultation, the consultant typically works with school administrators using methods
such as case-centered or organizational consultation, usually in the context of a systems- and/or
organizational development-based approach.
Helping
Relationships
Part 4
Models of Helping
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Egan proposed three basic communication skills for the helping process.
1. Attending, which follows the acronym SOLER:
face the client Squarely.
adopt an Open posture.
Lean toward each other.
maintain Eye contact.
appear Relaxed.
2. Active Listening, which includes nonverbal behavior as communication and punctuation, and Verbal
Behavior as indication of productive understanding and communica-tion of what the client is saying.
3. Empathy, which is the counselor’s ability to draw from personal experiences, emotions, and behaviors
and to make responses indicating a shared under-standing of the client's experiences, emotions, and
behaviors.
Egan proposed a three stage model of counseling:
In Stage 1, Reviewing the Problem, the goal is to help the client identify, explore, and clarify problem
issues and unused opportunities.
In Stage 2, Developing the Preferred Scenario, the goal is to help the client identify what is wanted as
outcomes based on the problem situation and opportunities.
In Stage 3, Determining How to Get There, the goal is help the client take action based on what they have
learned in counseling and to translate that learning into strategies for accomplishing counseling goals.
Egan proposed that the basic helping process values include
Pragmatism
Competence
Respect
Genuineness
Client Self-Responsibility
Reconciliation of Self-Responsibility
and Social Influence
Ivey’s Microskills model includes
1. Attending Behavior, which means that the counselor uses culturally and individually appropriate
behaviors.
2. Open and Closed Questioning, which elicits the specifics of the client's world.
3. Client Observation, which means attending to the client’s verbal and nonverbal behaviors and
discrepancies skills.
4. Encouraging, Paraphrasing and Summarizing, which are used to help the client organize thinking and
communicate clearly.
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5. Reflection of Feelings, which lets the client know that feelings and emotions have been understood.
6. Five-Stage Interviewing, which includes (a) rapport building/structuring, (b) defining the problem, (c)
defining a goal, (d) exploration of alternatives and confronting incongruity, and (e) generalization to daily
life.
7. Confrontation, which is the identification of the client’s incongruities and mixed messages.
8. Focusing, which means attending substantively to all pertinent facets of the client’s situation.
9. Reflection of Meaning, which lets the client know that communications have been understood.
10. Influencing Skills, which include (a) developmental questioning, (b) directives, (c) logical
consequences, (d) interpreting/reframing, (e) self-disclosure, (f) advice/information /
explanation/instruction, and (g) feedback.
Wittmer and Myrick’s Facilitative Model includes six counselor responses, ranked from the least to the
most effective:
1. Advising or Evaluating, which tell a person what they should do in the way of feeling or behaving or
convey the correctness of a behavior or feeling.
2. Analyzing and Interpreting, which have the intention of explaining behaviors or feelings but imply
what the client should think or do.
3. Reassuring and Supporting, which is the intention to indicate belief in the client’s ability to solve the
problem, but often imply that the client should not feel as he/she does feel.
4. Questioning, which seeks more information, provokes further discussion, or queries an individual
about a specific matter.
5. Clarifying and Summarizing, which indicate desire to be accurate in the communication and to
indicate that the counselor is accurately hearing what the client has said.
6. Reflecting and Understanding of Feeling, which convey the counselor’s accurate perception of the
client's emotional experience.
Myrick proposed an eight stage model of counseling:
Stage 1, Beginning and Orientation, which is characterized by getting acquainted, collecting background
data, establishing rapport, defining roles and expectations, making initial assessments, and setting
counseling goals.
Stage 2, Building the Relationship and Assessment, which includes formal and informal assessment (the
latter of which are the counselor's observations and impressions of the client).
Stage 3, Exploring and Discovery, which is the working stage.
Stage 4, Centering and Setting Goals, which is the time to determine and establish a clear picture of what
the client wishes.
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Stage 5, Planning and Taking Action, which is defining the steps and skills needed to accomplish the
client’s desired goal.
Stage 6, Collecting Data and Action, in which an action plan is implemented and progress is monitored,
with adjustments as needed.
Stage 7, Follow-up and Evaluation, which is a review of accomplishments and assess-ment of progress.
Stage 8, Closing and Separation, which is the time to review what has been learned and to terminate.
Carkhuff advocated:
Listening, including knowing the reason for listening, suspending personal judgment, focusing on the
client, practicing being silent, repeating verbatim what the client said, looking for commonality in client's
responses, and reflecting on the content of what the client has said.
Responding to Feelings, especially restating client verbalizations.
Responding to Behavior, including responding to the client’s physical energy and activity, individuality,
stereotyped behavior, and incongruent behavior.
Initiating Confrontations, especially identify-ing discrepancies between verbalizations and behaviors.
Productive Program Development, including preparing for action, clarifying problems, setting goals,
defining objectives, developing tasks, developing action steps, employing check steps, attaching criteria,
designating milestones, attaching timelines, and implementing program.
Basic Concepts in Counseling Special Populations
Substance Abuse Counseling
Substance abusers are persons who use a substance to the extent that it causes damage to them or society
or both.
Substance abuse counselors have specialized training in pharmacological, physiological, psychological,
and sociocultural aspects of addiction.
The substance abuse counselor's role includes prevention, intervention and crisis treatment, both group
and individual counseling, and working with both formal and informal treatment teams.
Counseling Women
Counseling women, sometimes referred to as gender-fair counseling, includes attention to
INAPPROPRIATE sex-role stereotypes such as that women:
have lower self-esteem.
are better at rote learning and repetitive
tasks, while men are better at
higher learning cognitive
processing and the inhibition of
previously learned responses.
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Inappropriate sex-role stereotypes continued
are less analytic.
are affected primarily by heredity, while
men are affected by environment.
lack achievement motivation.
are more fearful, timid, and anxious.
are passive and men are active.
have total legal equality with men.
are more easily duped than men.
Inappropriate sex-role stereotypes continued
are less competitive.
are more compliant.
are more nurturing.
are more emotional.
are less aggressive than men.
are better at verbal ability while men are
better at mathematical ability.
Gender-Fair Counseling includes:
heightened awareness of personal,
particularly sex-role, values.
Gender-Fair Counseling continued
realization that there are no prescribed
sex-role behaviors.
understanding that reversals of traditional
sex-roles are not pathological.
realization that marriage is not a better
outcome of therapy for a female
than for a male.
women can be as autonomous and
assertive as men and men can be as
expressive and tender as women.
Multicultural Counseling
Many culturally different populations do not wish to be acculturated due to fear of loss of their cultural
identity.
Nondirective counseling techniques are often inconsistent with the expectations and values of some
minority groups.
Suggested reasons for ineffectiveness of counseling with minority group members include that:
many assessment instruments are culturally
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biased and many diagnosticians are
not from a minority group; therefore,
many minority clients are
(mis)diagnosed as having more severe
mental illnesses.
Reasons for ineffectiveness continued
minority group member attitudes about
sources of mental illness are sometimes markedly different from those
of majority populations.
minority populations tend to use mental
health services only in extreme
circumstances, which greatly skew
statistics about persons using mental
health services.
Reasons for ineffectiveness continued
differences have been noted between black
and white clients, with the black
clients receiving more punitive therapies,
such as stronger medications, restraints,
or seclusion.
there are few counselors with whom
minority clients feel comfortable and
share cultural identity.
Reasons for ineffectiveness continued
minority clients often are misperceived
because of cultural differences in
nonverbal communication.
minority clients tend to drop out of treatment
earlier, for unknown reasons,
generating speculation that they may
be either less motivated or not perceive
services as helpful.
Reasons for ineffectiveness continued
some minority clients view counseling as a
controlling force to direct them away
from their normal cultural behavior.
Recommended counselor skills for effective multicultural counseling include:
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ability to recognize direct and indirect
communication styles.
sensitivity to nonverbal cues.
Effective multicultural skills continued
demonstrated interest in the culture.
awareness of cultural and linguistic
differences.
sensitivity to cultural myths and
stereotypes.
concern for the welfare of persons from
another culture.
Effective multicultural skills continued
ability to articulate elements of his or her
own culture.
appreciation of the importance of
multicultural teaching.
awareness of the relationships between
cultural groups.
accurate criteria for objectively judging
"goodness" and "badness" in the
other culture.
Characteristics of effective multicultural counselors include that they:
understand their own values and
assumptions of human behavior and
recognize that those held by others
may differ.
realize that "no theory of counseling is
politically or morally neutral."
understand that external sociopolitical forces
may have influenced and shaped
culturally different groups.
Effective counselor characteristics continued
are able to share the worldview of their
clients rather than being culturally
encapsulated.
are truly eclectic in their counseling and
use various counseling skills due to their
appropriateness to the experiences and
lifestyles of the culturally different.
Counseling Older Persons
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The primary goal in counseling older persons is to help them find meaning and appropriate roles and
behaviors in life.
There are more older females than males, but counselors should be aware of the unique needs specific to
each gender.
Of special interests are services for older persons living alone that provide opportun-ities to meet others
and for companionship.
Although the physical needs of older persons are often recognized, their social, emotional, and
psychological needs have received relatively little attention.
Each community has an older person population, and older persons tend to group geographically, which
suggests that community services be located in areas of concentration.
Most older persons have fixed incomes, which implies that older adults will need more public than
private-fee services.
Existing counseling services in employment service and vocational rehabilitation should be expanded to
include services for older persons.
Although most older persons are able to travel to receive services, counseling-related services provision
should include consider-ation of transportation, home delivery, homebound, and human or mechanical
aid needs.
Changing demographics of the population of the United States suggest that the need for counseling for
older persons will continue to increase, and increase dramatically.
Counselors need to be social activists against “ageism” that prevents older persons from receiving
adequate mental health care.
Possible developmental points of crisis for older persons include retirement, loss of spouse, physical and
mental decline, financial security decline, and decline in mobility.
Counseling in Business and Industry
Counseling in business and industry often takes place within the context of an Employee Assistance
Program (EAP).
EAPs are sometimes provided “in house” by the company, but more typically are contracted services to a
mental health agency.
EAPs typically have a heavy emphasis on addictions counseling, but also provide a wide variety of
counseling services to employees.
Typical components and characteristics of an EAP include:
crisis and early intervention.
a self, peer, or supervisor referral system.
services that are confidential.
support from management, leadership
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and/or unions.
informed consent for all participants.
EAP components and characteristics continued
payment by insurance contract.
provision of services without influence
of work performance evaluation.
staffing by trained helping professionals.
follow-up and program evaluation.
Counseling Persons with HIV/AIDS
Persons with HIV/AIDS typically experience emotional difficulties, including isolation and alienation, a
drop in self-esteem, and denial as a coping strategy.
Counseling services to persons with HIV/AIDS include assessment of risk; education about disease, risk
behaviors, and safe sex; and teaching new behaviors.
Counseling goals for working with persons with HIV/AIDS include:
helping the individual to reconcile the
diagnosis and its meaning.
encouraging improvement in quality of life.
encouraging clients to take more control of
their lives and their illness.
providing emotional and practical support
as needed by the client.
Counseling Abuse Victims
Spousal abuse has been associated with poverty, substance abuse, and career disappointments, but occurs
across all social strata and environments.
The most frequently used spouse interven-tion are crisis hotlines and shelters. However, many do not
employ trained helping professionals.
Sexual abuse data indicate that:
8% to 38 % of women and 5% to 9 % of
victimized.
sexual abuse is an international concern,
although exact data are unavailable.
male perpetrators are most common, with
95% of female and 80% of male abuse
victims reporting having been abused
by males.
the most common age for sexual abuse is
8 to 12 years of age.
men in the U.S. have been sexually
Sexual abuse data continued
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stepfathers are more likely to be the sexual
abuser of daughters than are
biological fathers, although other
family members may be offenders.
women are more likely to be victimized by
persons within the family.
men are more likely to be abused by persons
outside the family.
The emotional effects of child sexual abuse may result in “loss of childhood,” guilt, low self-esteem, fear,
confusion, depression, anger, low trust level, helplessness, and altered attitudes toward sexuality.
Counselors who work with abuse victims should have special skills in individual, group, crisis, shortterm, and family therapy, and thorough knowledge of how to work with the guilt, stigma, fear, and post
traumatic stress syndrome.
Counseling Gays and Lesbians
Because of the controversial and contra-dictory information that exists in the research and professional
literature, recommended guidelines for counseling this special population remain confusing.
Major concerns faced by gay and lesbian clients, while not unique to them, include social prejudice,
family conflicts, ridicule and rejection from peers, and health concerns, especially HIV/AIDS.
Recommended counseling strategies for gay and lesbian clients include:
Cognitive approaches to overcome negative
thinking and self-talk.
Gestalt techniques to facilitate expression of
ambivalence and confusion.
Feminist approaches to help clarify roles and
increase feelings of empowerment.
Bibliotherapy to help define a healthy lifestyle
and provide role models.
Recommended counseling strategies
continued
Family/systems therapy to work on
relationship issues.
Group therapy to help with alienation issues.
Cross-cultural approaches to assist with
complex cultural diversity issues.
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Human Growth and Development Part 1
Knowledge of human growth and development is essential for counselors because:
Counseling is based on the premise that given the opportunity, healthy human growth and development
will occur naturally.
Therefore, the role of the counselor is to recognize healthy growth and development and to both facilitate
and remove barriers to its occurrence.
Developmental Issues in Counseling
Thomas suggested that counselors use know-ledge of human growth and development to make decisions
on the following issues:
Problem Identification
What is the client’s presenting problem and how common is it within the context of factors such as the
client’s age, gender, and cultural background (i.e., life circumstance)?
What other problems or conditions are frequently linked to the client’s presenting problem when that
problem appears in other persons in similar life circumstance?
How may the attitudes of social groups relevant to the client influence the choices and adjustment of
persons similar to the client?
Choice of Counseling Interventions
How do the levels of physical, cognitive, social, and emotional development typical of the client’s life
circumstance help to suggest appropriate interventions?
How well is counseling progressing compared to counseling for other persons in a similar life
circumstance?
How well has the client’s problem been addressed as compared to resolutions for other clients in a similar
life circumstance?
How can counseling best be terminated for a person with the client’s particular life circumstance?
Blocher used the term “developmental counseling” to suggest that the counseling relationship has two
basic purposes:
To support, by restoring the client’s socio-emotional security sufficiently for the client to have energy for
growth, and
To stimulate and motivate the client toward growth in desired directions.
Knowledge of human growth and development can be best understood in regard to
(a) the characteristics by which the pertinent knowledge of human development has been organized, and
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(b) specific theories and principles derived from that organization.
There are few areas of knowledge that are as broad in scope as is human growth and development.
One way to facilitate comprehension of this broad area is to organize it along several dimensions.
The organizational dimensions to be used here include the following:
Unit of Coverage, such as individual, group, family, or societal development.
Span of Coverage, such as a limited age range, a specific stage of development, or across the life span.
Area(s) of Focus, such as physical, sexual, cognitive, emotional, social, career, moral, spiritual, ethnic
identity, personality, or cultural development.
Specificity, such as applicable to a specific group of people or to all humanity.
Conception(s) of Causality, such as genetic determinants, learned behaviors, or environmental influences.
Course of Development, such as being viewed as a series of discrete stages, a focus on transitions, or a
continuous process.
Source(s) of data, such as pathological, healthy, or optimally functioning specimens.
Aim of Formulation, such as descriptive, prescriptive, educational, or therapeutic.
Theoretical Interpretation of Issues, such as individual differences or normality-deviance differences.
Application for Counseling. For example, for a theory of human growth and development to be
consistent with counseling premises concerning healthy development,
the theory must view the person’s internal drive as seeking growth rather than the reduction of
discomfort, and
view the person as actively interacting with the environment rather than being passively shaped by it.
General Principles of Human Growth and Development
General Developmental Trends
Human physical development progresses:
Proximodistally, from the center of the body toward the extremities, and
Cephalocaudally, from the head downward.
Motor development progresses from mass action to differentiation. That is, from generalized, gross
responses to specific, fine motor actions.
Lewin suggested that psychological development moves toward:
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greater structure
greater differentiation
expanded time perception
better cognitive organization
more complex interrelationships among
the parts of the personality, and
better ability to distinguish reality
from fantasy.
Kimble suggested that:
in most developmental sequences, both learning and maturation contribute to behavior.
maturation lays the foundation upon which learning builds; one cannot teach an organism anything
beyond the behavioral boundaries provided by maturation.
the more complex the behavior, the more it depends upon learning.
the more complex the organism, the larger the segment of its behavior that can be influenced by
experience.
Principles of
Lifespan Development
Kastenbaum suggested the following guidelines for understanding and learning knowledge of human
growth and development:
Individual development should be studied in a biocultural context.
Development over time should be distinguish-ed from change over time.
Chronological age is not a sufficient index of developmental status.
The full range of lifespan developmental phenomena and the complex interactions of individual and
environmental factors must be considered to understand human growth and development effectively.
Nature vs Nurture
Probably the longest standing issue in human growth and development is the relative contributions of
heredity and environment in shaping personality and behavior.
Sophisticated theoretical propositions have been developed and extensive research has been conducted in
the attempt to resolve this issue. However, it is unlikely it will ever be fully resolved.
Thomas and Chess identified nine innate, durable dimensions of temperament.
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Later factor analytic studies reduced these dimensions to five that have been proven to have a genetic
basis: reactivity/arousal, sociability, negative emotionality, level of activity, and attention span, plus two
other dimensions with probable genetic basis: adaptability and self-regulation.
Cross-cultural research demonstrates universality of five personality trait dimensions across cultural and
language groups:
Neuroticism vs Emotional Stability
Extraversion (or Surgency)
Agreeableness vs Antagonism
Openness to Experience or Intellect,
Imagination or Culture
Conscientiousness or Will to Achieve
The universality of these dimensions suggests existence of a species-wide, biological basis for these traits.
However, it also has been argued that they merely reflect the shared experience of human existence.
Research comparing identical vs fraternal twins suggests that some traits are heavily determined by
genetic factors.
Research also suggests that genetic factors account for approximately
40 - 50% of differences in cognitive skills,
30 - 40% of differences in temperament, and
20 - 30% of emotional characteristics.
However, rarely has it been suggested that genetic factors account for more than 50% of a human trait.
Research also suggests that most human traits are firmly established by age 30.
However, counseling and related research has shown that significant change (i.e., life coping skill) is
possible across the lifespan.
Environmental factors also have been shown to heavily influence human behavior development.
Examples of environmental factors influencing individual behavior development include family violence,
child abuse, parental attention and affection, education, peer pressure, media, cultural and sub-cultural
norms, family belief systems, family size, community structure, and socioeconomic status.
Coping With Stressful Life Events
Holmes and Rahe identified common stressful life events among Americans. Some of the more stressful
life events they found, presented in descending order of stressfulness, included:
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death of a spouse
divorce
incarceration (jail/prison)
death of a close family member
personal injury or illness
getting married
being fired from a job
retirement
pregnancy
death of a close friend
foreclosure on a mortgage/loan
son or daughter leaving home
beginning or ending school
change in residence
change in eating habits
going on vacation
The order varies across individuals as well as across cultural groups.
However, the ideas inherent in the list are useful for conceptualizing severity of stress in clients’ lives.
Personal resources, such as coping ability, a sense of personal coherence, and social competence, help to
moderate reactions to life stressors.
Social resources, such as having a social network, availability of community institutions, and using
cultural traditions to cope with stressful situations, also help to moderate reactions to life stressors.
Aging
People over age 65 are the fastest growing segment of the American population… and longevity (i.e., life
expectancy) is increasing.
It is now common to subdivide what were formerly known as the “elderly” into the “young old” (65 - 74),
“middle old” (75 - 84), and the “oldest-old” (85 and above).
People over age 85 are the fastest growing segment of the over 65 population group.
The number of Americans over age 65 has tripled since 1900 and now constitutes approximately 13% of
the U.S. population.
It is estimated that persons over age 65 will constitute approximately 20% of the U.S. population by the
year 2030.
Most older persons live independently, and only approximately 5% are in a “nursing home” at any given
time.
Major, specific developmental issues in counseling older persons include (but are not limited to):
having meaning in life
health concerns
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financial concerns
loss of spouse, family members, and friends
confronting personal mortality
Polypharmacy (i.e., interaction of multiple, simultaneously administered medicines) is often a significant
difficulty for older persons. Counselors should work closely with physicians who specialize in providing
medical services to older persons to monitor this possibility.
Commonly used counseling interventions for older persons include life review counseling, enrollment in
peer support groups, and encouragement of future-oriented commitments.
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Human Growth and Development Part 2
Integrated Approach to Human Growth and Development
Magnusson and Cairns proposed the following principles for conceptualizing human growth and
development:
An individual develops and functions as an integrated organism. The effects of matura-tion, experience,
and cultural influences are fused; single aspects do not develop in isolation and cannot be separated from
the totality.
An individual develops and functions in a continuous and dynamic process of interaction with his/her
environment and with other individuals, groups, and the subculture.
Individual functioning is determined by (and also influences) the reciprocal interactions among
subsystems within the individual (i.e., interactions among perceptual, cognitive, emotional, and
physiological subsystems over time).
Novel or unique patterns of individual func-tioning arise during individual development.
Differences in rate of development of individual components may produce major differences in the
organization and configuration of psychological functions.
Patterns of psychological functioning are sensitive to the conditions under which they were developed.
Therefore, patterns cannot be attributed solely to the structural organization of subsystems within the
individual.
Social and cognitive development follow organized patterns despite continuous change.
Theories of human growth and development, all based on models of healthy human functioning, are
presented next:
Erikson’s epigenetic theory
Maslow’s need hierarchy
Loevinger’s stages of ego development
Jahoda’s characteristics of mental health
Havighurst’s developmental tasks
Social learning theories
Piaget’s theory of cognitive development
Perry’s model of cognitive development for
college-age students
Kohlberg’s theory of moral development
Gilligan’s theory of women’s moral
development
Theories of racial identity development
Super’s theory of career development
Adult development and transitions
Family development
Erik H. Erikson
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Erikson focused on psychosocial development that covered the lifespan and was applicable across
cultures, although he was more successful at the former.
Erikson viewed the life cycle as an eight stage developmental staircase in which each step must be
mastered before the individual could move on effectively to the next step.
Erikson viewed the eight steps as provided by society to help the person move through the life cycle
within the society.
Erikson’s eight stages represent successive age periods, each of which contains a critical issue with which
the individual must contend.
Erikson identified the successful and unsuccessful resolution of each stage and the value achieved
through successful resolution of each stage.
Erikson’s Eight Stages:
Life
Crisis
Success
Stage
Successful Unsuccessful
Value
Infancy
Trust vs Mistrust
Hope
Toddler
Autonomy vs Shame
Will
Preschool
Initiative vs Guilt
Purpose
Elem Sch Industry vs Inferiority Competence
Adoles.
Identity vs Role Confusion Fidelity
Young Adult Intimacy vs Isolation
Love
Middle Adult Generativity vs Stagnation Care
Late Adult
Integrity vs Despair
Wisdom
Abraham H. Maslow
Maslow believed that successful development meant meeting effectively a series of needs arranged in a
hierarchy.
Needs lower in the hierarchy were considered more potent.
Maslow proposed that lower order needs must be fulfilled effectively before the person could move on to
attempt to fulfill higher order needs.
Maslow’s Needs Hierarchy:
Most
POTENCY
Least
Aesthetic
Cognitive
Self-actualization
Esteem
Belongingness and love
Safety
Physiological
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Maslow studied “self-actualized” people and found them to:
be realistically oriented
be accepting of themselves and others
be spontaneous
be problem-, rather than self-, centered
have a need for privacy
be autonomous and independent
have a fresh, nonstereotypical appreciation of things in their environment
have spiritual experiences
identify with humanity
Self-actualized people continued
have deep emotional relationships with
a few specially loved people
hold democratic values
not confuse means with ends
have philosophical, non-hostile sense
of humor
be highly creative
resist full conformity to the culture
Jane Loevinger
Loevinger proposed four “streams” of human development: physical, drive, intellectual, and ego
development.
Loevinger focused most of her work on three aspects of ego development: impulse control and character
development, interpersonal style, and conscious preoccupations.
Loevinger proposed a seven-stage ego development sequence:
1. Presocial/Symbiotic, wherein the issue is distinction between the self and nonself.
In the Presocial substage, animate and
inanimate parts of the environment
are not distinguished.
In the Symbiotic substage, mother is
distinguished from the environment
but the self is not distinguished from
the mother.
2. Impulsive, in which the child distinguishes separate existence from the mother by exercise of will.
Impulse control is lacking. Interper-sonal style is exploitive and dependent. There is preoccupation with
sexual and aggressive drives.
3. Opportunistic, in which rules are obeyed in anticipation of immediate advantage. Morality is based in
expediency. Interpersonal relations are manipulative. There is preoccupation with controlling others.
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4. Conformist, in which rules are partially internalized. The sanction for transgression is shame.
Interpersonal relationships are superficially reciprocal. There is a preoccupation with appearance,
reputation, and material possessions.
5. Conscientious, in which morality is internalized and controlled by moral imperatives. The sanction
for transgression is guilt. Interpersonal relationships are intense and responsible. There is
preoccupation with inner feelings and achievements.
6. Autonomous, in which impulse control is no longer problematic. Moral issues include coping with
inner conflict and tolerating differences. Interpersonal relationships show concern for maintaining
autonomy. There is preoccupation with role definition and self-fulfillment.
7. Integrated, in which conflicts are reconciled and unattainable goals renounced. Interpersonal
relationships cherish individuality. There is preoccupation with achievement of an integrated identity.
In Loevinger’s model, people achieve higher levels by using more adaptive defense mechanisms.
Few people achieve the last two stages, but the model offers an ideal to strive for.
Marie Jahoda
Jahoda defined adult positive mental health as persons having:
positive attitudes toward self
self-actualization
integrated psychological functioning
personal autonomy or independence
adequate perception of reality
mastery over personal environment.
Robert J. Havighurst
Havighurst proposed a six-stage model of developmental tasks to be mastered in order to achieve healthy
and effective growth and development.
Havighurst proposed that specific tasks had to be learned at each stage and, therefore, also had to be
taught effectively to each person at the appropriate time in her or his life.
For example, the tasks for Havighurst’s first developmental stage, Infancy and Early Childhood (about
ages 0 - 6), include:
Learning to walk
Learning to eat solid food
Learning to talk
Learning to control elimination of bodily
wastes
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Learning sex differences and sexual modesty
Forming concepts and learning language to
describe physical and social reality
Infancy and Early Childhood Tasks continued
Getting ready to read
Learning to distinguish right and
wrong and beginning to develop
a conscience
Havighurst’s other stages include:
Middle Childhood, about ages 6 - 12
Adolescence, about ages 12 - 18
Early Adulthood, about ages 18 - 30
Middle Age, about ages 30 - 60
Later Maturity, beyond age 60
Social Learning Theories
Social learning theories hold that people develop patterns of behavior by observing and interacting with
other people.
As with other learning theories, social learning theories hold that some behaviors are reinforced and thus
are continued (learned), and some are not reinforced and tend to be extinguished.
The differentiating characteristic of social learning theories is the premise that learning can be vicarious
(i.e., achieved by observing the behaviors of others).
If the observed behavior of a “model” results in what is perceived to be a positive reinforcement, the
person is likely to attempt to imitate the behavior.
The greater the person’s identification with the model, the more likely the attempt at imitative behavior.
Bandura proposed a five-step model for learning modeled behavior:
1. Paying attention to the model
2. Coding the observed (behavior)
information
3. Retaining the coded information in
memory
4. Carrying out the modeled behavior
5. Maintaining motivation to engage in
the behavior
Applications of social learning theories are typically most useful for helping persons to develop new skills
and behavior patterns.
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Social learning theories are particularly useful for counseling to the extent that counseling is viewed as a
psychoeducational process.
Jean Piaget
Piaget was particularly concerned with cognitive development, focusing on the individual’s capacities to
accommodate to external reality, to incorporate information about that process into intellectual
structures, and to organize those structures into schema that would permit the individual to solve
problems.
Piaget held that new experiences were either interpreted in terms of existing cognitive schema (i.e.,
assimilation) or caused existing schema to be modified to incorporate the new information (i.e.,
accommodation).
Piaget proposed that cognitive development occurs across four sequential, age-related stages; each of
which builds on accomplish-ments from the preceding stage.
In the Sensory-Motor stage, ages birth - 2, the person learns to make adaptive responses to the
environmental stimuli.
In the Preoperational Thought stage, ages 2 - 6, the person develops the ability to conceptualize the
environment, but the interpretation is self-centered and not yet realistic, inclusive, logical, or critical.
In the Concrete Operations stage, ages 6 - 11, the person develops an organized system of logical
categories for use in conceptualizing and coping with the present environment.
In the period of Formal Operations, ages 11 - 15, the person develops the capacity to formulate
hypotheses and to test predictions about future situations using logic, abstract thinking, and the capacity
to consider alternatives and possible consequences.
William Perry
Perry developed a sequential, nine-stage (position) model of cognitive development specifically applicable
to college students.
Perry’s model essentially continues from where Piaget’s conceptualizations stopped (i.e., during late
adolescence).
The nine positions in Perry’s model are grouped into four levels.
Level I: Dualism, in which the person views the world in terms of absolute right or wrong; the learner’s
role is to receive “truth,” and thus the learner may encounter difficulty with conflicting viewpoints.
Position 1: The world is viewed in polar, absolute terms.
Position 2: Diversity of opinion is perceived, but rejected as confusion among unqualified authorities.
Level II: Multiplicity, in which the person acknowledges the possibility of multiple viewpoints, but lacks
criteria to evaluate the merits of coexisting, and possibly conflicting, viewpoints.
Position 3: Diversity and uncertainty are viewed as legitimate, but temporary.
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Position 4: Uncertainty is perceived as extensive, and knowledge is viewed as just personal opinion.
Level III: Relativism, in which the person views knowledge as relative and not connected with the
concepts of truth or rightness; truth emerges from both personal experience and external argument.
Position 5: Knowledge and values are viewed as relativistic and contextual.
Position 6: The person accepts the need to establish a personal orientation in a relativistic world by
making some sort of commitment.
Level IV: Commitment in Relativism, in which the person accepts responsibility and commits to an
identity in regard to both an internal value system and external choices, such as career or life partner.
Position 7: Initial commitments are made.
Position 8: Implications of commitments are experienced and issues of responsibility are explored.
Position 9: Identity is affirmed and commitment is expressed through lifestyle and personal values.
Lawrence Kohlberg
Kohlberg was concerned with moral development, which he viewed as existing over three sequential
developmental levels, each having two stages.
The first developmental level generally occurs during childhood, while the last two generally occur
during adolescence or adulthood, although not all persons achieve the upper level.
Level I: Preconventional Morality, in which consequences to the self guide moral behavior.
Stage 1: Obedience and Punishment Orientation, in which the person fears being caught and the
subsequent punishment; severity of punishment determines badness of the act.
Stage 2: Instrumental Relativist Orientation, in which rules are followed to satisfy personal needs; the
only obligatory behavior is that which serves the person.
Level II: Conventional Morality, in which concern for meeting socially-defined expectations guides moral
behavior.
Stage 3: Interpersonal Concordance Orientation, in which behavior is conducted to please and gain
approval from others.
Stage 4: Authority, Law, and Duty Orientation, in which rules are viewed as necessary to maintain social
order, and therefore must be obeyed for the common good.
Level III: Postconventional Morality, in which behavior is guided by self-imposed commitment to moral
principles.
Stage 5: Social Contract Orientation, in which moral principles are examined and agreed upon by society
as a whole but can be changed by consensus.
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Stage 6: Universal Ethical Principles Orientation, in which behavior is guided by self-chosen ethical
principles that place high value on human life, equality, and dignity.
Carol Gilligan
Gilligan offered a theory of moral development for females as an alternative to Kohlberg’s, which she
determined was applicable primarily to males.
Gilligan suggested that Kohlberg’s theory was less appropriate for females because male development is
focused on separation and individuation, whereas female development is focused on connections and
relationships.
Gilligan also suggested that males base their morality on principles of justice and individual rights,
whereas females base their morality on principles of care-giving and responsibility for self and others.
Gilligan proposed that female moral development occurred across a sequence of three levels, with an
identified transition between levels.
Level I: Orientation to Individual Survival, in which the focus is on the self and survival. Moral
considerations arise only when needs are in conflict.
First Transition: From Selfishness to Responsibility, in which the self is defined in terms of connections
with others.
Level II: Goodness as Self-Sacrifice, in which the view of women as caretakers becomes predominant.
Moral judgments are defined from social norms, self-sacrifice is viewed as goodness, and need for
approval is joined with desire to take care of others.
Second Transition: From Goodness to Truth, in which there is striving to encompass the needs of both
self and others, intention and consequences of action are viewed as important, and increased attention is
given to personal responsibility.
Level III: The Morality of Nonviolence, in which conflicts between selfishness and responsibility are
resolved by adopting principles of not hurting self or others.
In Level III, caregiving is viewed as a self-chosen universal moral obligation, and therefore the person
takes responsibility for choices made.
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Professional Orientation
Part 2
Ethical Standards
Counselors must act within legal and ethical parameters. These parameters are defined by laws,
litigation precedents, official policies, and ethical standards of practice.
Counseling essentially is a self-regulating profession because most practices are not governed by laws.
Counselors use ethical codes to guide their conduct and practice.
Most counselors adhere to the American Counseling Association Code of Ethics and Standards of
Practice. Ethical codes are voluntarily self-imposed behavioral guidelines to which members subscribe.
Violations of ACA ethical codes can result in expulsion from membership in ACA. Many states have
adopted the ACA Code of Ethics for licensed counselors, meaning that viola-tions of the code can be
violations of the law.
Important Legal and Ethical Concepts and Responsibilities:
Autonomy - clients have the right to make their own decisions.
Beneficence - counselors should work for the good of the clients.
Nonmaleficence - counselors should do no harm.
Justice - clients have the right to be treated fairly.
Scope of Practice - Counselors limit their practice to those techniques, clients, and concerns for which
they have been adequately trained and are qualified to perform. Many licensure laws require counselors
to disclose their scope of practice to potential clients.
Confidentiality - Clients have the right to expect that what they share in counseling will not be shared
with others.
Informed Consent - Clients voluntarily agree to counseling only after being informed about the services
counselors offer. It includes coverage of benefits, possible harm, and limitations. If clients are minors,
then parents or legal guardians must consent.
Duty to Warn - If a client presents imminent danger to herself or himself or others, the counselor must
contact responsible parties to prevent harm.
Dual Relationship - A dual relationship exists when the counselor simultaneously tries to maintain with a
client a counseling relationship and another type of relationship, such as spouse, relative, business
partner, teacher or supervisor, or sexual partner. Dual relationships are potentially harmful to clients
because the counselor cannot remain objective and the client does not have autonomy.
Malpractice - The techniques the counselor uses causes real harm to the client.
Privileged Communications - Many state laws state that counselors cannot disclose what is said in
counseling without prior permission of the client. There are exceptions in the case of child abuse, court
orders, or suspected harm to the client or others.
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Abandonment - This situation exists when a counselor ceases to provide necessary counseling services to
a client and fails to provide for alternative services through a referral.
Defamation - A counselor who divulges information that causes damage to someone's reputation might be
sued for defamation. If the defamatory statements are written, it is libel; if spoken, they are slander.
Bartering - This is the act of trading goods or services, rather than money, for provision of counseling
services. Bartering is strongly discouraged as a method of payment for counseling services rendered.
ACA (then APGA) first adopted its own ethical standards in 1959. Prior to that, members subscribed to
ethical standards of other asso-ciations, primarily the American Psychological Association (APA).
The current ACA Code of Ethics and Standards of Practice were adopted in April, 1995. There are two
components: the Code of Ethics and the Standards of Practice.
The ACA Standards of Practice contain general principles for the effective and ethical practice of various
aspects of the counseling profession.
The ACA Code of Ethics contains specific points of attention for ethical counseling practice.
Both the Standards of Practice and the Code of Ethics are divided into the following sections:
A.
B.
C.
D.
E.
F.
G.
H.
The Counseling Relationship
Confidentiality
Professional Responsibility
Relationships with Other Professionals
Evaluation, Assessments, and Interpretation
Teaching, Training, and Supervision
Research and Publication
Resolving Ethical Issues
It is important to remember that the ACA Standards of Practice are ideals to which each counselor
should aspire.
Evaluation of actual counselor behaviors rela-tive to the Standards of Practice are often made in
reference to specific ethical standards.
Because the Standards of Practice represent the “best thinking” in the counseling profession about how
counselors are to conduct their counseling-related activities, they are presented here in their entirety.
American Counseling Association Standards of Practice
Section A: The Counseling Relationship
SP-1 Nondiscrimination - Counselors respect diversity and must not discriminate against clients because
of age, color, culture, disability, ethnic group, gender, race, religion, sexual orientation, marital status, or
socioeconomic status.
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SP-2 Disclosure to Clients - Counselors must adequately inform clients, preferably in writing, regarding
the counseling process and counseling relationship at or before the time it begins and throughout the
relationship.
SP-3 Dual Relationships - Counselors must make every effort to avoid dual relationships with clients that
could impair their professional judgment or increase the risk of harm to clients. When a dual
relationship cannot be avoided, counselors must take appropriate steps to ensure that judgment is not
impaired and that no exploitation occurs.
SP-4 Sexual Intimacies with Clients - Counselors must not engage in any type of sexual intimacies with
current clients and must not engage in sex-ual intimacies with former clients within a min-imum of two
years after terminating the coun-seling relationship. Counselors who engage in such relationship after
two years following termination have the responsibility to thoroughly examine and document that such
relations did not have an exploitative nature.
SP-5 Protecting Clients During Group Work - Counselors must take steps to protect clients from physical
or psychological trauma resulting from interactions during group work.
SP-6 Advance Understanding of Fees - Counselors must explain to clients, prior to their entering the
counseling relationship, financial arrangements related to professional services.
SP-7 Termination - Counselors must assist in making appropriate arrangements for the continuation of
treatment of clients, when necessary, following termination of counseling relationships.
SP-8 Inability to Assist Clients - Counselors must avoid entering or immediately terminating a counseling
relationship if it is determined that they are unable to be of professional assistance to a client. The
counselor may assist in making an appropriate referral for the client.
Section B: Confidentiality
SP-9 Confidentiality Requirement - Counselors must keep information related to counseling services
confidential unless disclosure is in the best interest of clients, is required for the welfare of others, or is
required by law. When disclosure is required, only information that is essential is revealed and the client
is informed of such disclosure.
SP-10 Confidentiality Requirements for Subordinates - Counselors must take measures to ensure that
privacy and confidentiality of clients are maintained by subordinates.
SP-11 Confidentiality in Group Work - Counselors must clearly communicate to group members that
confidentiality cannot be guaranteed in group work.
SP-12 Confidentiality in Family Counseling - Counselors must not disclose information about one family
member in counseling to another family member without prior consent.
SP-13 Confidentiality of Records - Counselors must maintain appropriate confidentiality in creating,
storing, accessing, transferring, and disposing of counseling records.
SP-14 Permission to Record or Observe - Counselors must obtain prior consent from clients in order to
electronically record or observe sessions.
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SP-15 Disclosure or Transfer of Records - Counselors must obtain client consent to disclose or transfer
records to third parties, unless exceptions listed in SP-9 exist.
SP-16 Data Disguise Required - Counselors must disguise the identity of the client when using data for
training, research, or publication.
Section C: Professional Responsibility
SP-17 Boundaries of Competence - Counselors must practice only within the boundaries of their
competence.
SP-18 Continuing Education - Counselors must engage in continuing education to maintain their
professional competence.
SP-19 Impairment of Professionals - Counselors must refrain from offering professional services when
their personal problems or conflicts may cause harm to a client or others.
SP-20 Accurate Advertising - Counselors must accurately represent their credentials and services when
advertising.
SP-21 Recruiting Through Employment - Counselors must not use their place of employment or
institutional affiliation to recruit clients for their private practices.
SP-22 Credentials Claimed - Counselors must claim or imply only professional credentials possessed and
must correct any known misrepresentations of their credentials by others.
SP-23 Sexual Harassment - Counselors must not engage in sexual harassment.
SP-24 Unjustified Gains - Counselors must not use their professional positions to seek or receive
unjustified personal gains, sexual favors, unfair advantage, or unearned goods or services.
SP-25 Clients Served by Others - With the consent of the client, counselors must inform other mental
health professionals serving the same client that a counseling relationship between the counselor and
client exists.
SP-26 Negative Employment Conditions - Counselors must alert their employers to institutional policy or
conditions that may be potentially disruptive or damaging to the counselor's professional responsibilities,
or that may limit their effectiveness or deny clients' rights.
SP-27 Personnel Selection and Assignment - Counselors must select competent staff and must assign
responsibilities compatible with staff skills and experiences.
SP-28 Exploitive Relationships with Subordinates - Counselors must not engage in exploitive
relationships with individuals over whom they have supervisory, evaluative, or instructional control or
authority.
Section D: Relationship With Other Professionals
SP-29 Accepting Fees from Agency Clients - Counselors must not accept fees or other remuneration for
consultation with persons entitled to such services through the counselor's employing agency or
institution.
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SP-30 Referral Fees - Counselors must not accept referral fees.
Section E: Evaluation, Assessment, and Interpretation
SP-31 Limits of Competence - Counselors must perform only testing and assessment services for which
they are competent. Counselors must not allow the use of psychological assessment techniques by
unqualified persons under their supervision.
SP-32 Appropriate Use of Assessment Instruments - Counselors must use assessment instruments in the
manner for which they were intended.
SP-33 Assessment Explanations to Clients - Counselors must provide explanations to clients prior to
assessment about the nature and purposes of assessment and the specific uses of results.
SP-34 Recipients of Test Results - Counselors must ensure that accurate and appropriate interpretations
accompany any release of testing and assessment information.
SP-35 Obsolete Tests and Outdated Test Results - Counselors must not base their assessment or
intervention decisions or recommendations solely on outdated data or test results.
Section F: Teaching, Training, and Supervision
SP-36 Sexual Relationships with Students or Supervisees - Counselors must not engage in sexual
relationships with their students and supervisees.
SP-37 Credit for Contributions to Research - Counselors must give credit to students or supervisees for
their contributions to research and scholarly projects.
SP-38 Supervision Preparation - Counselors who offer clinical supervision services must be trained and
prepared in supervision methods and techniques.
SP-39 Evaluation Information - Counselors must clearly state to students and supervisees, in advance of
training, the levels of competency expected, appraisal methods, and timing of evaluations. Counselors
must provide students and supervisees with periodic performance appraisal and evaluation feedback
throughout the training program.
SP-40 Peer Relationships in Training - Counselors must make every effort to ensure that the rights of
peers are not violated when students and supervisees are assigned to lead counseling groups or provide
clinical supervision.
SP-41 Limitations of Students and Supervisees - Counselors must assist students and supervisees in
securing remedial assistance, when needed, and must dismiss from the training program students and
supervisees who are unable to provide competent service due to academic or personal limitations.
SP-42 Self-Growth Experiences - Counselors who conduct experiences for students or supervisees that
include self-growth or self disclosure must inform participants of counselors' ethical obligations to the
profession and must not grade participants based on their nonacademic performance.
SP-43 Standards for Students and Supervisees - Students and supervisees preparing to become
counselors must adhere to the Code of Ethics and the Standards of Practice of counselors.
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Section G: Research and Publication
SP-44 Precautions to Avoid Injury in Research - Counselors must avoid causing physical, social, or
psychological harm or injury to subjects in research.
SP-45 Confidentiality of Research Information - Counselors must keep confidential information obtained
about research participants.
SP-46 Information Affecting Research Outcome - Counselors must report all variables and conditions
known to the investigator that may have affected research data or outcomes.
SP-47 Accurate Research Results - Counselors must not distort or misrepresent research data, nor
fabricate or intentionally bias research results.
SP-48 Publication Contributors - Counselors must give appropriate credit to those who have contributed
to research.
Section II: Resolving Ethical Issues
SP-49 Ethical Behavior Expected - Counselors must take appropriate action when they possess
reasonable cause that raises doubts as to whether other counselors or mental health professionals are
acting in an ethical manner.
SP-50 Unwarranted Complaints - Counselors must not mitigate, participate in, or encourage the filing of
ethics complaints that are unwarranted or intended to harm a mental health professional other than to
protect clients or the public.
SP-51 Cooperation with Ethics Committees - Counselors must cooperate with investigations, proceedings,
and requirements of the ACA Ethics Committee or ethics committees of other duly constituted
associations or boards having jurisdiction over those charged with a violation.
Codes of ethics and standards of practice are necessary, but not sufficient to answer all ethical questions
and prescribe ethical behavior.
Counselors are confronted with situations in which several legal or ethical standards might apply or even
conflict with each other.
When deciding on a course of action, often they must be knowledgeable of both applicable laws and
broad ethical principles.
Professional Preparation Standards
State and national organizations (e.g., NBCC) and agencies establish minimum training and experiential
standards for individuals seeking licensure or certification.
In addition, some organizations, such as the Council for the Accreditation of Counseling and Related
Educational Programs (CACREP), set standards for programs that prepare and train counselors.
The Association for Counselor Education and Supervision (ACES) adopted voluntary prepa-ration
guidelines for master's-level programs in 1963.
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The American School Counselor Association adopted guidelines for training school counselors in 1967,
and the American College Personnel Association (formerly a division of ACA) adopted guidelines for
training student personnel workers in 1968.
In 1971, ACES formed the Commission on Standards and Accreditation, which developed the Standards
for Preparation of Counselors and Other Personnel Services Specialists in 1973.
In 1977, ACES adopted Guidelines for Doctoral the Preparation in Counselor Education.
These guidelines were revised in 1979 and adopted by ACA in 1980.
In 1981, the Council for the Accreditation of Counseling and Related Educational Programs (CACREP)
was formed as a non-profit accrediting body.
Historically, professional preparation and training of counselors has focused on identifying
characteristics of effective counselors and specific skills training.
Today, preparation programs recognize the importance of both.
Counselors are trained at the master's or doctoral level. Counselor preparation programs select
applicants based upon both academic and personal suitability.
Typically, master's-level programs require applicants to hold a bachelor's degree with a minimum grade
point average and submit letters of recommendation attesting to the applicant's good character. Many
programs interview applicants to ascertain their interpersonal skills. Most master's programs require a
minimum of 36 semester hours of coursework.
There are several other organizations that offer accreditation to programs that prepare other types of
counselors, such as the American Association of Marriage and Family Therapists (AAMFT) and the
Council on Rehabilitation Education (CORE).
In addition, some divisions of the American Counseling Association (ACA) have adopted voluntary
training standards for counselors for their respective specialty areas.
Programs accredited by the Council for the Accreditation of Counseling and Related Educational
Programs (CACREP) require a minimum of 48 semester hours (72 quarter hours) for master's degrees in
counseling, although some specialties require 60 semester hours.
Often, applicants are required to submit a Graduate Record Examination score and letters of
recommendation. Some programs require that applicants have a year or more of work experience as a
counselor, and most doctoral programs interview candidates prior to acceptance.
CACREP requires curricular experiences in each of the following eight “common core” areas:
Human Growth and Development
Social and Cultural Foundations
Helping Relationships
Group Work
Career and Lifestyle Development
Appraisal
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Research and Program Evaluation
Professional Orientation
CACREP program accreditation also requires a minimum of 100 clock hours of supervised counseling
practicum and 600 clock hours of supervised internship at the master's level. Some specialty areas
require more hours of supervised practice.
In addition, CACREP specifies standards for the institution, program objectives, faculty and staff,
organization and administration, and program evaluations.
Doctoral-level counselor preparation programs typically require a master's degree in counseling.
Doctoral programs prepare counselors for counseling and supervision in agencies, institutions, or private
practice, and they prepare counselor educators and supervisors to work as faculty in colleges and
universities.
Doctoral training typically takes 2 to 3 years of full-time study(4 - 6 part time) and includes advanced
coursework, advanced practica and internship, and preparation and defense of a dissertation.
CACREP accredited doctoral programs require advanced coursework in specified areas, including
counseling, group work, consultation, research methodology, appraisal, diversity, counselor education,
supervision, and ethical and legal issues.
Professional Credentialing
The main purpose of professional credentialing is to protect the public and assure that professionals are
properly trained and qualified.
Professions are regulated by registration, certification, licensure, and accreditation.
A Registry is a voluntary listing of individuals using a professional title.
Requirements for registration include a minimal level of education and experience and payment of a fee.
It does not restrict the use of the title. Registration without certification or licensure affords little
protection to the public. In some countries, registration is similar to licensure.
Certification sets minimum levels of education and experience, but also restricts use of the title.
It does not restrict the practice of counseling so that unqualified persons could claim to perform
counseling but call themselves certified counselors.
School counselor certification does restrict use of the title and of the practice of school counseling. All
states and the District of Columbia have certification standards for school counselors.
The most widely recognized national certification body for counselors in the U.S. is the National Board
for Certified Counselors (NBCC).
National Certified Counselors (NCCs) must hold a graduate degree that includes specified coursework in
counseling, have completed supervised experience in counseling, and pass either the National Counselor
Examination for Licensure and Certification (NCE), or the National Clinical Mental Health Counseling
Examination (NCMHCE).
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NBCC also offers the following specialty certifications:
Certified Clinical Mental Health
Counselor (CCMHC)
National Certified School Counselor
(NCSC)
Master Addictions Counselor (MAC)
NCCs must complete 100 contact clock hours of approved continuing education every five years to be
recertified.
Licensure is established by state law and restricts the use of the title.
Similar to certification, licensure requires minimum levels of education and experience, and in some
states, restricts aspects of the practice of counseling.
Nearly all states have counselor licensure.
Licensed professional counselors (LPCs) typically must hold at least a master's degree, have supervised
experience, and pass an examination such as the NCE.
LPCs must submit evidence of continuing education units (CEUs) in order to renew their license.
Accreditation sets educational preparation standards for a profession.
The Council for the Accreditation of Counseling and Related Educational Programs (CACREP) has
standards covering the training institution, program objectives and curriculum, clinical instruction,
faculty and staff, and organization and administration.
To receive accreditation, a counselor preparation program submits a self-study documenting how it
meets each of the specific CACREP standards.
A team of trained reviewers visits the program for 3 - 4 days and submits a report to the CACREP
board, which issues the accreditation decision.
CACREP accredits the following entry-level (master's) programs:
Community Counseling (with possible
specializations in Career Counseling or
Gerontological Counseling)
Marriage and Family Counseling
Mental Health Counseling
School Counseling
Student Affairs Practice in Higher Education
(with possible specializations in College
Counseling or Professional Practice)
In addition, CACREP accredits doctoral-level programs in Counselor Education and Supervision.
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The emergence of certification, licensure, and accreditation for counselors has been vital in establishing
counseling as a profession and distinguishing it from other helping professions.
Public Policy Issues
Older professions, such as social work and psychology, are widely recognized by the public and have
earned the right to provide services and receive reimbursement by government agencies and insurance
companies.
In order to compete with these professions, counselors must earn these rights through licensure, the
inclusion of counselors and counseling services in government policies, and by educating insurance
companies of their ability to provide cost-effective services.
The helping professions are highly competitive.
Psychiatrists, psychologists, family therapists, and social workers all compete with counselors for clients,
legal recognition, and reimburse-ment from insurance companies. School counselors also compete with
school social workers and others to provide services.
Counselors can advocate on behalf of their profession and their clientele by:
Becoming certified and licensed
Obeying professional standards of
ethical conduct
Practicing within their boundary of
training and expertise
Becoming active members of national,
state, and local counseling
associations
Promoting mental health and counseling
to the public
Educating the public about counseling
qualifications and services
Educating insurance companies and
health maintenance organizations
Organizing other counselors in lobbying
efforts
Lobbying government representatives
on issues affecting mental health
and counseling
Encouraging fellow counselors to join
professional organizations and
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to obtain appropriate professional credentials
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Research and Program Evaluation
Part 1
Types of Research
Theoretically, basic research is conducted solely for the purpose of developing and/or refining theory.
Theoretically, applied research is conducted solely for the purpose of evaluating the application of theory
for the solution of problems.
This distinction is not, however, a particularly helpful way to consider research methodologies, because
basic and applied are actually extremes on a continuum of application and generaliza-bility to other
situations.
The two most commonly discussed types of research are qualitative and quantitative.
Technically, qualitative and quantitative are different “approaches to inquiry” rather than distinctly
different research methodology categories.
However, the qualitative / quantitative differ-entiation facilitates explanation of different research
methodologies.
Qualitative Research
Qualitative research involves collection of extensive data on many variables over an extended period of
time in a naturalistic setting.
Qualitative research methodologies are grounded in the belief that behavior is significantly influenced by
the environment in which it occurs.
Qualitative researchers seek to find holistic, in-depth understanding of the phenomenon observed.
Qualitative research is inductive, and its primary goal is to promote greater understanding by explaining
how and why people behave the way they do.
Measurement; data collection, analysis, and interpretation techniques; and research design and method
in qualitative research are flexible and evolve as the research process proceeds.
Qualitative research may involve interactive strategies, such as participant observation, or noninteractive
strategies, such as review of documents.
Participant or nonparticipant observation are the most frequently used research strategies in qualitative
research, particularly in the social sciences.
The primary distinguishing characteristic of qualitative research is that the actual methodology used
cannot be determined a priori; the methodology emerges quite literally during the process and often
involves both interactive and noninteractive strategies.
Qualitative research usually involves pur-poseful sampling, as opposed to probabilistic sampling, to
ensure that the “right” person(s) and/or situation(s) are examined.
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Generalizability of the results is not a major concern in qualitative research (in accord with
nonprobabilistic sampling), and usually generalizability is very restricted.
A qualitative research case study design involves focus on one phenomenon, such as a person, a concept,
a process, a group, or a program.
Qualitative case study designs are often used to:
describe and analyze a situation, event, or
process,
develop a concept or model,
evaluate a program,
investigate social and cultural beliefs, or
serve as a prelude to quantitative research.
Ethnographic research is sometimes con-sidered synonymous with qualitative research and sometimes as
a subtype of qualitative research.
In the latter perspective, ethnographic research is usually interpreted to mean the study of a “culture.”
In this context, a “culture” is any group of people who regularly associate with one another and who
develop characteristic ways of behaving and thinking.
Other key concepts in qualitative research include:
Participant observation, in which the re-searcher literally becomes a participant in a situation and makes
research observations while participating.
Observer effect, in which the presence of the participant observer alters the nature of the situation.
Observer bias, in which the participant observer makes inaccurate and/or invalid interpretations of the
phenomenon being observed.
Fieldnotes, which are the actual “data” resulting from the participant observation process.
Grounded theory, which is theory (or com-ponents of theory) developed from the data collected in real
world settings.
Peer debriefer, which is a colleague who works with the primary researcher to generate meaning from
the data collected.
Audibility, which is the process of maintaining a record of data management techniques that “document
the decision trail” used.
Key informant, which is a person other than the researcher who provides information (data) about the
phenomenon being studied.
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Low inference descriptors, which are concrete, precise, and almost literal descriptions of phenomena.
Comprehensive sampling, in which all members of an entire group are selected as the units of study.
Maximum variation sampling, in which objects of observation are selected because they represent
disparate examples of the phenomenon being studied.
Critical case sampling, in which a unit is selected for study because it represents a dramatic example of
the phenomenon being studied.
Network (sometimes known as snowball) sampling, in which future successive participants are identified
by prior participants.
Negative case / discrepant data, in which a unit is not behaving within the parameters of the emerging
pattern.
Quantitative Research
Quantitative research involves deductive logic, focused and specific questions, collection and analysis of
empirical data, and generalization of results.
To facilitate discussion, quantitative research methods may be divided into descriptive and experimental
research.
Descriptive research does not involve manipulation of variables, whereas experimental research does
involve manipulation of one or more variables.
Descriptive research is conducted to provide a characterization of a situation or circumstance, or a
complete account of a process.
Descriptive research does not alter whatever is being studied.
Descriptive research methods include historical, case study, field study, survey, developmental, causal
comparative, and correlational research.
Historical research is the systematic search for facts relating to questions about the past and the
interpretation of those facts.
Historical research involves specific definition of the time period addressed within the research.
It encompasses use of primary and secondary sources.
Primary sources are first-hand accounts or original source documents, whereas secondary sources
involve interpretations of primary source data or information.
Case study research is the study of a single individual for a specified period of time.
Case study research involves assessment, but not manipulation, of a variety of variables that potentially
contribute to the person’s current situation.
Case study research also may be conducted through use of a qualitative research paradigm.
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Field study research is the simultaneous study of a small number of people.
Field study research is sometimes conceived of as a “multiple case study,” but includes consideration of
the members’ interactions.
Field study research also may be conducted through use of a qualitative research paradigm.
Survey research is the collection of data from members of a population to determine the current status of
the population with respect to one or more variables.
Survey research is often a precursor to other types of research, most commonly correlational or
experimental research.
Survey research typically includes self-reported data.
Survey research methods often include use of questionnaires, surveys, observations, interviews, or
sociometry.
Developmental research is the study of one or more variables in a group of people over a relatively long
period of time (i.e., long enough for potential developmental changes to occur).
Developmental research is usually considered synonymous with the term longitudinal research.
Developmental research may be either cross-sectional or longitudinal in nature.
Cross-sectional research involves studying “cross sections” (i.e., subgroups) of a population presumed to
be at different developmental levels to determine if develop-mental patterns or trends exist as predicted.
Longitudinal research involves studying the same group of people over a relatively long period of time to
determine if developmental patterns or trends exist as predicted.
Other types of developmental research include:
trend studies, in which a given general population is sampled at each data-collection point in time.
cohort studies, in which a specifically-defined population is followed over time.
panel studies, in which the same, presumably representative, panel (i.e., relatively small group) is
assessed periodically.
Causal comparative research is usually considered synonymous with the term ex post facto research.
Causal comparative research is an attempt to attribute causation without experimental manipulation of a
variable.
Causal comparative research is based on the premise that both the effect and the alleged cause exist at
the time the research is conducted.
Correlational research includes studies having as the purpose to determine the relationships between or
among variables through the use of correlational statistics.
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Correlational research has the advantage of allowing study of many variables simultaneously.
Correlational research is probably the most common type of research in the counseling and development
professions.
Experimental research is conducted to determine if differences result from the interjection of some
phenomenon into peoples’ lives.
Experimental research always involves intentional manipulation of one or more variables.
Experimental research also involves:
comparing conditions under various stages of the treatment (e.g., pre-post).
systematic manipulation of experimental conditions in which extraneous influences are controlled or
eliminated.
application of Kerlinger’s MAXMINCON principle.
Kerlinger’s MAXMINCON principle is that experimental research should:
maximize the independent variable’s effects on the dependent variable (i.e., maximize treatment
variance).
minimize error factors and/or variance.
control extraneous variance.
True experimental research means that the researcher (theoretically) has control over all the relevant
variables.
True experimental research is usually conducted in a laboratory or other highly controlled settings.
True experimental research is relatively rare in the counseling and development profes-sions due to the
extensive control required.
Quasi-experimental research approximates true experimental research except that complete control of all
relevant variables is not possible.
Quasi-experimental research is usually differentiated from true experimental research by the inability to
assign subjects to groups randomly (e.g., intact groups are used) or lack of a control group.
Single-subject experimental research involves studying an individual in both treatment and nontreatment
conditions and evaluating performance on the dependent variable in both conditions.
Single-subject experimental research should not be confused with a case study; in single-subject research,
considerable effort is given to “controlling” extraneous variables.
Action research is an attempt to solve a specific, immediate, and concrete problem in a local setting.
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Action research is not concerned with generalization to any significant degree.
Action research often is used to test the effectiveness of new skills or methods.
Action research often lacks general credibility due to vague definitions and controls.
Experimental Research Designs
The following are commonly used abbreviations in the depiction of experimental research designs:
R = random assignment to groups
NR = nonrandom assignment to groups
E = experimental (or treatment or tx ) group
C = control group
O = observation (i.e., measurement)
X = treatment (i.e., intervention)
Experimental research designs can be divided into two types, depending upon the nature of the
comparison or type of effect to be evaluated: between groups and within groups designs.
Between Groups designs involve comparison of the variable(s) across (i.e., between) two or more tightlycontrolled conditions (e.g., experimental or control).
Within Groups designs involve each subject being exposed to each treatment condition, but under a
randomly assigned sequence of treatment presentations (i.e., each subject is his/her own control).
Because “within subjects” designs, such as the crossover, counter-balanced, and Latin Squares designs,
are used relatively rarely, the focus here will be on the “between groups” designs.
In general, experimental research designs may be divided into three categories based on the degree of
control over extraneous variance (i.e., the degree to which a difference can be attributed solely to the
treatment):
Pre-Experimental Designs
Quasi-Experimental Designs
True-Experimental Designs
Pre-Experimental Designs
One-Group Posttest-Only Design
Assignment
Group
Pre
Treatment
Post
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NR
E
X
O
Pre-Experimental Designs
Nonequivalent Groups Posttest Only Design
Assignment
Group
NR
NR
E
C
Pre
Treatment
Post
X
O
O
Pre-Experimental Designs
Nonequivalent Groups Alternate Treatment Posttest-Only Design
Assignment
Group
NR
NR
Pre
Treatment
E1
E2
Post
X1
X2
O
O
Quasi-Experimental Designs
Nonequivalent Groups Pretest-Posttest Design
Assignment
Group
NR
NR
E
C
Pre
Treatment
O
O
Post
X
O
O
Quasi-Experimental Designs
Single-Group Interrupted Time Series Design
Assignment Group
NR
E
Pre
Treatment
O1 O2 O3 O4
X
Post
O5 O6 O7 O8
Quasi-Experimental Designs
Control-Group Interrupted Time Series Design
Assignment Group
NR
NR
E
C
Pre
Treatment
O1 O2 O3 O4
O1 O2 O3 O4
X
Post
O5 O6 O7 O8
O5 O6 O7 O8
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True-Experimental Designs
Pretest-Posttest Control Group Design
Assignment
R
R
Group
E
C
Pre
Treatment
O
O
X
Post
O
O
True-Experimental Designs
Posttest-Only Control Group Design
Assignment
R
R
Group
E
C
Pre
Treatment
O
O
X
Post
O
O
True-Experimental Designs
Posttest-Only Control Group Design
Assignment
R
R
Group
Pre
E
C
Treatment
X
Post
O
O
True-Experimental Designs
Solomon Four-Group Design
Assignment
R
R
R
R
Group
Pre
E1
C1
E2
C2
O
O
Treatment
X
X
Post
O1
O2
O3
O4
True-Experimental Designs continued
Factorial experimental designs contain more than two independent variables.
In the language of factorial designs (which should not be confused with the statistical process of factor
analysis), a factor is an independent variable.
Each factor in a factorial design has at least two “levels.”
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“Levels” in this context is synonymous with “categories.”
“Levels” in this context is really a poor choice of words, because no hierarchal order of levels/categories
in the variables is implied or necessary.
For example, the variable “gender” in a factorial design has two “levels” (i.e., male and female), but
clearly no hierarchy exists in these categories.
The notation for a factorial design is a set of numbers that identifies how many independent variables are
involved and the number of levels in each of the variables.
For example, an experiment in which the inde-pendent variables are group (experimental or control),
gender (male or female), and secondary school grade level (9, 10, 11, or 12) would be denoted as a:
2 x 2 x 4 factorial design
Note: read x as “by”
The number of numbers is the number of factors, and the numbers themselves are the number of levels
in each of the respective factors.
In the 2 x 2 x 4 factorial design example presented, there are three factors (independent variables) and
the first factor has two levels (categories), the second factor has two levels, and the third factor has four
levels.
The order of the numbers in a factorial design notation is not fixed by any rule.
The example presented could have been denoted as a 2 x 4 x 2 factorial design, in which the first factor
was gender, the second was grade level, and the third was group.
The (factorial experimental design) diagram for the example presented would be:
Group
Gender
Grade
Experimental
Male
Female
Control
Male
Female
9 10 11 12 9 10 11 12 9 10 11 12 9 10 11 12
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Research and
Program Evaluation
Part 2
Threats to Internal and External Experimental Design Validity
The “threats” to experimental design validity are potential sources of invalidity in the results of an
experimental study.
Internal threats to design validity have to do with procedures or methodology.
External threats to design validity have to do with generalizability of the results.
Internal Threats
Contemporary History is invalidation resulting from events that occur during the course of the
experiment (e.g., exposure to media events, life situation changes, or random personal activities).
Maturation is invalidation resulting from changes in the subjects during the course (i.e., time period) of
the experiment (e.g., develop-mental change, fatigue, or hunger).
Testing (sometimes called pre-test sensitivity) is invalidation resulting from changes in subjects’ scores on
a subsequent test due to having taken the test on a previous occasion (i.e., changes due to test content
familiarity or recall).
Statistical Regression is invalidation resulting from the “natural” regression to the mean among persons
initially at an extreme (e.g., inclination to homeostasis).
Selection is invalidation resulting from initial differences between subjects in the various groups (e.g.,
selection bias).
Attrition (sometimes called Experimental Mortality) is invalidation resulting from subjects dropping out
of participation in a study (e.g., differential attrition across groups).
Instrumentation is invalidation resulting from changes in the measurement instruments or procedures
(e.g., calibration, accuracy, interpretation, or experience).
Interactions Among Factors is invalidation resulting from either confounding or compounding
combinations of the preceding seven threats.
Compensatory Equalization of Treatments is invalidation resulting from “compensation” (e.g., special
treatment) being provided to a control group presumed not to be receiving the treatment.
Resentful Demoralizing of Subjects in Less Desirable Treatment Conditions is invalidation resulting from
subjects in one (e.g., alternative treatment or control) group “giving up” on performing appropriately.
Compensatory Rivalry by Subjects Receiving Less Desirable Treatments is invalidation resulting from
members of the control group attempting to “outperform” the experimental group (e.g., to demonstrate
equivalent competence).
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Diffusion or Imitation of Treatments is invalidation resulting from intra- or inter-group communication
among subjects (e.g., “helping” one another during the course of an experiment).
External Threats
Reactive Effects of Testing is a generalizability limitation resulting from the difference between the
experimental and real life situations (e.g., pre-test sensitization is not present in real life situations).
Interaction of Selection and Treatment is a generalizability limitation resulting from experimental
subjects being particularly susceptible to the treatment (e.g., volunteers may be particularly motivated to
change).
Reactive Effects of Experimental Arrange-ments is a generalizability limitation resulting from lack of
comparability between the experimental (e.g., laboratory) and real world setting.
Multiple-Treatment Interference is a gen-eralizability limitation resulting from either the sequential or
concurrent application of various treatments.
Single-Subject Designs
Single-subject experimental designs are sometimes known as N = 1 or as intra-subject designs.
Single-subject experimental designs are usually used to assess effectiveness in changing a specific
behavior of an individual.
Common features of single-subject designs include:
Clear specification of the treatment goal, usually presented as a behavioral goal (i.e., change in a targeted
behavior).
A focus on changing only one variable at a time during the treatment phase(s).
Repeated measurement of the target variable throughout the experiment.
Consistency and stability of baseline and treatment conditions.
Diligent description of all the conditions under which the target behavior is observed (i.e., measured).
Common notations for single-subject designs:
A designates the baseline condition.
B designates the treatment condition
The A-B design is the simplest, but least interpretable, of the single-subject designs.
The premise of the A-B design is that after the baseline is established, the condition (i.e., behavior) would
have continued in the same pattern had the treatment not been introduced.
The A-B design
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A
B
Baseline
Treatment
X X X X X
O O O O O
O O O O O
Time
The A-B-A design is sometimes known as the “reversal” or “withdrawal” design.
The A-B-A design allows a strong causal inference if the target behavior returns to the baseline level after
the treatment is terminated.
The A-B-A design
A
B
Baseline
A
Treatment
X X X X X
O O O O O
O O O O O
Baseline
O O O O O
Time
The A-B-A-B design affords the strongest causal inference about the effect of the treatment.
The A-B-A-B design has the advantage of ending the experiment with the treatment in effect (which may
be desirable for ethical reasons).
The A-B-A-B design
A
B
Baseline
O O O O O
A
Treatment
X X X X X
O O O O O
B
Baseline
O O O O O
Treatment
X X X X X
O O O O O
Time
The Randomized A-B design involves a randomized presentation of the A and B (i.e., baseline and
treatment) conditions over time.
Due to the random presentation of conditions, parametric statistical analyses can be applied to the
resultant data.
The Randomized A-B design also can be used to analyze “carryover” effects of the treatment.
Multiple-Baseline designs employ the A-B design logic, but allow collection of data on two or more
actions, subjects, situations, or combinations thereof.
In Multiple-Baselines Across Behavior designs, baselines are established for two or more independent
behaviors for one subject.
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The (same) treatment is first applied to one behavior, then to the next, and so on in sequence using the
same time interval for each application of the treatment.
In Multiple-Baselines Across Situations designs, the same behavior is targeted across situations (e.g.,
settings).
The A-B design is replicated (i.e., same inter-vention and time periods) across situations and then the
results are compared.
In Multiple-Baselines Across Individuals design, the behavior and the situation are held constant.
The establishment of a baseline and sub-sequent application of the treatment pro-ceed sequentially across
individuals.
Computers and Research
Computers serve three major functions in regard to research: data management, document production,
and internet transversal.
The data management functions include uses for data gathering, storage, and manipulation.
The data gathering functions may include use of optical scanners and computer-based assessments.
The data storage functions include data-entry and retrieval as well as storage.
The data storage functions are facilitated through use of spreadsheet and data-base programs.
Spreadsheet programs are designed to make data entry and understanding as easy as possible by using a
row-column format.
Database programs are designed to make data-entry and reporting functions as easy as possible through
“free format” procedures.
The data manipulation functions include data analyses and other procedures to clarify the nature of the
data.
The document production functions primarily include using word processors to develop manuscript
and/or electronic forms of communications of research.
The most important word processing functions include formatting, spell-checking, and grammarchecking.
A current trend in dissemination of research documents is “publication” on the internet.
The internet serves four primary functions in regard to research: aiding collaboration among
researchers, simplifying information gathering, facilitating data collection, and fostering professional
discourse.
A major, current trend is increased post-publication electronic communication about research results
and implications.
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Legal Aspects of Research
General legal principles for research include that:
Subjects have the right to freedom from invasion of privacy.
Subjects’ participation in research is always voluntary.
Any type of research is permitted if appropriate procedures are followed.
Researchers are responsible for whatever happens to subjects during or as a result of participation in the
research.
The Family Educational Rights and Privacy Act (FERPA) of 1974, also known as the Buckley
Amendment, stipulates that:
written parental permission is required for access to students’ records.
person-data linkages should be avoided (i.e., data should remain anonymous) whenever possible.
A written request for data about a student must include:
exact specification of the data requested,
explanation of how the data are to be used, and
explanation of to whom the data will be
disclosed and how it will be disseminated.
The data obtained can be used only for the purpose for which the request was made!
The National Research Act (NRA) of 1974 applies to all persons associated with any institution and/or
agency that receives any federal funds.
This act established the requirements for “informed consent” procedures in research.
Institutional Review Boards (IRBs), also known as “human subjects committees,” were established to
ensure that the provisions of the NRA are implemented effectively and legally.
There is no single informed consent form. An informed consent form is created by the researcher(s) for
each research project.
The informed consent form must communicate clearly:
that participation in a research activity is being requested.
the duration (and/or frequency of occurrence) of the participation requested.
an explanation of the nature of the par-ticipation requested in language that the person receiving the letter
can be reason-ably expected to understand.
a (brief) description of the research procedures.
specific identification of any procedures that are experimental.
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a description of any potential risks and / or discomfort resulting from participation.
a description of any benefits of participation, specifically including whether there will or will not be
monetary compensation.
a statement to the extent of confidentiality and/or anonymity to be accorded to participants.
sources of assistance should harm or discomfort occur during or as a result of participation.
the name and contact information to which to direct questions or inquiries about the research.
a statement that participation is completely voluntary.
a statement that discontinuing participation at any time will NOT result in any form of harm, recourse,
or loss of benefits to the participant.
Each subject must be given a copy of the in-formed consent form (separate from the one retained by the
researcher).
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Research and Program Evaluation
Part 3
Ethical Aspects of Research
General ethical principles include:
Nonmaleficence - do no harm
Beneficence - do as much good as possible
Justice - equality for all
Fidelity - fulfill all obligations
Ethics Related to Scholarly Work
The information derived from a research study should promote the welfare of members of society
(Beneficence).
The principal researcher has responsibility for all aspects of execution of the study, including the
behaviors of all research participants (Beneficence and Fidelity).
The results of research must be reported accurately, honestly, and fairly (Beneficence and
Nonmaleficence).
Credit for all contributions to the research must be given accurately and adequately (Justice).
Acknowledgment must be given to original contributions and/or scholarly insights of others and
distinguished clearly from those of the author(s)/researcher(s); plagiarism is always unethical (Justice).
Ethics Related to Subjects
Researchers must strive to minimize harm and/or risk to subjects (Nonmaleficence).
Researchers must strive to maintain or improve subjects’ welfare and dignity (Beneficence).
Researchers must use informed consent procedures that are to the subjects’ benefit (Beneficence and
Fidelity).
Researchers must respect subjects’ privacy by maintaining confidentiality and/or anonymity (Fidelity).
Researchers must fulfill all treatment obligations and responsibilities offered to subjects (Fidelity).
Researchers must be extremely careful to protect subjects’ welfare and dignity in the conduct of
experiments involving deception (Nonmaleficence and Fidelity).
Researchers must provide subject debriefing, including dehoaxing or desensitization, for any research
involving deception (Beneficence and Fidelity).
Researchers must avoid use of any form of “pressure” to coerce subject participation (Nonmaleficence).
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Researchers are obligated to attempt to countermand any negative consequence(s) of participation in the
research (Beneficence and Fidelity).
Research Questions and Hypotheses
The decision of whether to use a research question, null hypothesis, or directional hypothesis is made on
the basis of what is known about the topic being studied.
Research questions are used when relatively little is known about the topic (i.e., when there is very little
basis for making a conjecture about what the results might be).
Research questions typically are in the form: “What [is] / [are] the [differences]/ [relationships] [between]
/ [among] ...?”
(The “is” or “are” and “between” or “among” decisions are made simply to achieve correct syntax, i.e., to
achieve correct grammatical structure.)
The decision of whether to use “relationships” or “differences” is made based on the types of variables
involved.
In general, variables studied in research can be classified as either “discrete” or “continuous.”
In general, a “discrete” variable may be thought of as having categories, whereas a “continuous” variable
may be thought of as having “scores” (i.e., a full range of values).
Typical examples of discrete variables include gender, race/ethnicity, marital status, grade or class level,
state of residence, or diagnostic classification.
Typical examples of continuous variables include age, years of work experience, annual income, scores on
a test, or frequency of a particular behavior.
Use the word “relationship” in a research question or an hypothesis if all the variables involved are
continuous.
Use the word “difference” in a research question or an hypothesis if at least one of the variables involved
is discrete.
Examples of research questions include:
What is the relationship between levels of assertiveness and stress among adult, working women?
What are the differences among married and divorced males’ and females’ attitudes toward divorce?
What is the difference in college seniors’ GRE scores following participation in a test preparation
workshop?
The general form of a directional hypothesis is a declarative sentence.
An effective directional hypothesis should specify both the nature and direction of the relationship or the
difference.
155
Examples of a directional hypothesis include:
Males engage in abusive verbal behavior more frequently than females.
The “test breaker” activity is effective in reducing students’ test anxiety.
There is a positive relationship between frequencies of use of alcoholic beverages and cigarettes.
In order for a general statement to be “true,” it must hold as specified for all occasions.
If any occasion is an exception to the general statement, then the statement is “not true” (i.e., “one
exception disproves the rule”).
Therefore, hypotheses are often stated in “null form” because researchers study only one occasion at a
time and thus cannot prove but can only disprove a “null” statement.
There are two commonly used forms of null hypotheses: the “traditional” form and the “modern” form.
An example of a traditional null hypothesis is:
There will be no significant relationship between counselor trainees’ personality needs, as measured by
the Personality Research Form, and their counseling effectiveness, as measured by the Counselor
Evaluation Rating Scale.
The “modern form” is written in the present tense, does not use the word significant, and does not
indicate the measurement tools.
The “modern” form of the previous hypothesis is:
There is no relationship between counselor trainees’ personality needs and their counseling effectiveness.
A study of differences in academic performance on the basis of gender and residence classification would
have two major hypotheses:
H1:
There is no difference in academic
performance based on gender.
H2:
There is no difference in academic
performance based on residence
classification.
But there are the combinations that need to be considered.
Residence
Urban
Rural
Gender
Male
Female
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Academic Performance
Therefore, subhypotheses need to be added to the primary hypothesis.
H1: There is no difference in academic performance based on gender.
H1a: There is no difference in academic
performance among males based on
residence classification.
H1b: There is no difference in academic
performance among females based
on residence classification.
There is also the possibility that the two variables of gender and residence classification may somehow
“interact” with one another to yield a unique result.
Therefore, in such situations, an “interaction hypothesis” also should be presented:
H1c: There is no gender by residence classification interaction for academic performance.
The evaluation response to a research question is a declarative statement that provides a direct answer to
the question posed.
There are only two possible evaluation responses for a null hypothesis: “reject” or “fail to reject.”
A null hypothesis is never “accepted,” because one study cannot “prove” the truth of the (null)
hypothesis.
There are two types of errors that can be made in evaluating hypotheses:
A Type I Error occurs when the researcher rejects the null hypothesis when it is in fact true.
A Type II Error occurs when the null hypothesis is not rejected when it should have been rejected.
Sampling
Subjects are the people who participate in the research.
Sampling is the procedure used to identify and enlist the subjects.
A sample is obtained from a population, which is the group of people to whom the results of the study are
to be applied.
Good sampling starts with effective description of the population.
Description of the population includes con-sideration of:
(a) demographic characteristics and
(b) psychosocial characteristics.
Demography is the statistical study of pop-ulations (i.e., identifiable groups of people), and demographic
information comes typically from statistical summaries (aka statistical abstracts).
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Psychosocial characteristics are those attributes, behaviors, and characteristics typically associated with
an identifiable group of people.
Psychosocial characteristic information comes from the professional literature.
Generally, effective sampling works as follows.
First, the population for the study is identified, usually using colloquial descriptors.
Next, the primary (or major) demographic characteristics of interest are selected.
Third, demographic information about the population is found from some statistical resource.
Next, the psychosocial characteristics of the population are identified from the professional literature.
Next, sampling is done based on demographic characteristics.
Finally, it is assumed that the psychosocial characteristics of the sample equal those of the population.
It should be remembered that representativeness is the key criterion for the effectiveness of sampling, not
the sampling procedure used!
There are two categories of approaches to sampling: probability and nonprobability.
Probability sampling means that subjects are drawn from the population in such a way that the
probability of selecting each member of the population is known.
Nonprobability sampling means that subjects are drawn from the population in a logical way such that
representativeness can be assumed reasonably.
Probability sampling methods include:
Random Sampling, in which each person has an equal likelihood of being selected and the selection of one
does not affect the selection of another.
Systematic Sampling, in which every nth person from a list of all persons in the population is selected.
Stratified Sampling, in which each person who is a member of the “stratum” (i.e., category) is eligible to
be selected and selection is made through a first encounter process.
Stratified Random Sampling, in which each member of a stratum has an equal likelihood of being
selected, selection of one within the stratum does not affect the selection of another, and the number of
subjects drawn within strata may be either proportional or disproportional to the population.
Cluster Sampling, in which naturally occurring groups or units are the population (e.g., classes or
neighborhoods), clusters of groups or units are randomly selected from the population of groups or
units, and individuals are randomly selected from the clusters selected.
In all probability methods, representativeness is assumed to be achieved if the laws of probability are
effectively operationalized.
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Nonprobability sampling methods include:
Convenience Sampling, in which an intact group of people is used as the subjects based simply on ease of
access to them.
Purposeful Sampling (sometimes called judg-mental sampling), in which specific persons are selected
from the population because they are “judged” to be representative and/or informative about the topic
being studied.
Quota Sampling, which is used when a probability sampling method cannot be used, but subjects are able
to be selected to represent identified characteristics of the population.
Quota sampling procedures typically involve use of a “sampling framework,” which is a diagram of the
proportionate relationships among the variables upon which the sampling is based.
There are two basic ways to determine the minimum sample size needed.
If a quota (or sampling frame) approach is used, effective fulfillment of the various cell entries is the
minimum total needed to represent the population effectively.
If a probability sampling approach is used, “statistical power” (which is the probability that a given
statistical technique will result in rejection of a false null hypothesis) should be computed.
The level of significance of a statistical test is closely related to sample size.
For a given level of statistical significance, a statistical power formula provides an estimate of the
minimum sample size needed for that significance level.
For example, fewer subjects are needed to reject the null hypothesis at the .05 level than at the .01 level.
Statistical power is always enhanced by large sample size.
Other factors to consider in sampling:
Type of research: correlational research requires larger samples than does experimental research.
Research Hypotheses: expectation of smaller differences requires larger samples.
Cost: what is the largest possible sample size that can be achieved with available re-sources?
Importance of Results: the greater the implications, the larger the sample should be.
Number of Variables: the greater the number of variables, the larger the sample needed.
Data Collection Methods: larger samples are needed if there is considerable measurement error.
Accuracy Needed: the greater the accuracy needed, the larger the sample needed.
Size of Population: the larger the population, the smaller the percentage needed to represent it.
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Research and Program Evaluation
Part 4
Overview of Statistics
Clearly, it is not possible to present a comprehensive review of all statistics here. Therefore, what follows
is a general overview of major principles of statistics.
There are “technical” exceptions to (or variations of) most of what is presented.
However, the information provided here is adequate for and applicable to most of the research in the
counseling profession.
Parametric Statistics
Use of so-called parametric statistics is based on assumptions including that:
the data represent population characteristics that are continuous and symmetrical.
the variable(s) has a distribution that is essentially normal in the population.
the sample statistic provides an estimate of the population parameter.
Recall that variables typically involved in research can be divided into the categories of “discrete” or
“continuous.”
Based on this distinction, (in general) all statistical analyses can be divided into:
Analyses of Relationships among variables
or
Analyses of Differences based on variables
In the context of this general overview, all of the variables involved in analyses of relationships are
continuous.
Similarly, for analyses of differences, at least one variable must be continuous and at least one variable
must be discrete.
Analyses of Relationships
The simplest (statistical) relationship involves only two (continuous) variables.
In statistics, a “relationship” between two variables is known as a “correlation.”
Calculation of the correlation coefficient allows us to address the question, “What do we know (or can we
predict) about Y given that we know X (or vice versa)?”
The correlation coefficient:
is used to indicate the relationship between two variables.
160
is known more formally as the Pearson Product-Moment Correlation Coefficient.
ranges in values from -1.00 through 0.00 to +1.00.
When r = -1.00, there is a “perfect” negative, or inverse, relationship between the two variables.
This means that as one variable is changing, the associated variable is changing in the opposite direction
in a proportional manner.
When r = +1.00, there is a “perfect” positive, or direct, relationship between the two variables.
This means that as one variable is changing, the associated variable is changing in the same direction in a
proportional manner.
When r = 0.00, there is a “zero-order” relationship between the two variables.
This means that change in one variable is unrelated to change in the associated variable.
The question to be confronted is...
“How do we know if the correlation coefficient calculated is any good?”
In general, there are two major ways to evaluate a correlation coefficient.
One method is in regard to “statistical significance.”
Statistical significance has to do with the probability (likelihood) that a result occurred strictly as a
function of chance.
Evaluation based in probability is like a game of chance.
The researcher decides whether it will be a “high stakes” or a “low stakes” situation, de-pending on the
implications of being wrong.
The results of the decision are operationalized in the “alpha level” selected for the study.
In the language of statistics, the “alpha level” (e.g., .01 or .05), sometimes called the level of significance,
represents the (proportionate) chance that the researcher will be wrong in rejecting the null hypothesis.
That is, the alpha level also is the probability of making a Type I Error.
In the language of statistics, the “p value” is the (exact) probability of obtaining the particular result for
some statistical analysis.
Technically, the p value is compared to the alpha level to determine statistical significance; if p is less than
the alpha, the result is “statistically significant.”
Most computer programs generate p values (i.e., exact probabilities) from statistical analyses.
However, most journal articles report results as comparisons of p values to alpha levels; that is, they
report, for example, *p < .05, rather than, for example, *p = .0471.
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There is at least one prominent limitation in the evaluation of a correlation coefficient based on statistical
significance.
This limitation is related to the “conditions” under which the statistical significance of the correlation
coefficient is evaluated.
The “critical value” is the value of the correlation coefficient necessary for it to be statistically significant
at a given alpha level and for a given sample size.
In statistics, sample size is usually expressed in regard to “degrees of freedom.”
For example, the degrees of freedom for a correlation coefficient is given by: df = N - 2.
For the correlation coefficient, there is an inverse relationship between the critical values and degrees of
freedom.
As the degrees of freedom (i.e., sample size) increase, critical values (needed for statistical significance)
decrease.
This means that a very small correlation coefficient can be “statistically significant” if the data are from a
very large sample.
Correlation coefficients cannot be evaluated as “good” or “bad” in an absolute sense; consideration must
be given to the sample size from which the data were derived.
Another way to evaluate a correlation coefficient is in terms of “shared variance.”
Consider two variables: A and B
By definition, if A is a variable, it has variance (i.e., not every person receives the same score on measure
A).
All (i.e., 100%) of the variance of A can be represented by a circle.
Similarly, because B is a variable, it has variance, and all (i.e., 100%) of the variance of B can be
represented by a circle.
Of interest is how much variance variables A and B “share.”
The “percentage of shared variance” is equal to:
The term “r2” is known as the “coefficient of determination.”
The percentage of shared variance is how much of the variance of variable A is common to variable B,
and vice versa.
Another way to think of it is that the percentage of shared variance is the amount of the same thing
measured by (or reflected in) both variables.
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The good news is that the shared variance method as a basis for evaluating a correlation coefficient is not
dependent upon sample size.
The bad news is that there is no way to determine what is an acceptable level of shared variance.
Ultimately, the research consumer has to be the judge of what is a “good” correlation coefficient….
The Pearson Product-Moment Correlation coefficient can be used to “predict” one variable from
another.
That’s helpful, but has limited application because only two variables are involved.
Suppose we know of the relationships between Z and each of several other variables.
In multiple correlation, one variable is predicted from a (combined) set of other variables.
The capital letter R is used to indicate the relationship between the set of variables and the variable being
predicted.
The variable being predicted is known as the “criterion” variable, and the variables in the set are known
as the “predictor” variables.
In computing a multiple correlation coefficient, the most desirable situation is what is known as the
“Daisy Pattern.”
In the hypothetical Daisy Pattern, each predictor has a relatively high correlation with the criterion
variable...
and each of the predictor variables has a relatively low correlation with each of the other predictor
variables.
If achieved, a true Daisy Pattern would look something like this.
The multiple correlation computational procedures lead to a weighted combination of (some of) the
predictor variables and a specific correlation between the weighted combination and the criterion
variable.
The same two methods used to evaluate a Pearson Product-Moment Correlation coefficient can be used
to evaluate a multiple correlation coefficient.
The methods of evaluating R include:
statistical significance, although the sample size limitation concern is less problematic if the sample is
sufficient for the computa-tions.
percentage of shared variance, where the expression R2 x 100 represents the sum of the intersections of
the predictors with the criterion variable.
A canonical correlation (Rc) represents the relationship between a set of predictor variables and a set of
criterion variables.
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A canonical correlation is usually expressed as a lambda coefficient, often Wilk’s Lambda, which is the
result of the statistical computations.
Graphically, a canonical correlation might look like this:
The statistical significance of the lambda coefficient can be readily determined.
The percentage of shared variance also can be calculated.
However, because the lambda coefficient can have a value greater than one, the calculation of shared
variance involves more than just squaring the lambda coefficient.
The following chart summarizes the nature of the three preceding analyses of relationships.
Predictors
Criterion
Variables
Variable
1
1
r
>1
1
R
>1
>1
Rc
Statistic
Calculated
Factor analysis, a special type of analysis of relationships among variables, is a general family of data
reduction techniques.
It is intended to reduce the redundancy in a set of correlated variables and to represent the variables with
a smaller set of derived variables (aka factors).
Factor analyses may be computed within either of two contexts: exploratory or confirmatory.
Factor analysis starts with input of the raw data.
Next, an intervariable correlation matrix is generated from the input data.
Then, using sophisticated matrix algebra procedures, an initial factor (loading) matrix is derived from
the correlation matrix.
There are three major components to the factor loading matrix.
The first is the set of item numbers, usually arranged in sequence and hierarchical order.
The second is the factor identifications, usually represented by Roman numerals.
The third is the factor loadings, usually provided as hundredths - with or without the decimal point.
The result might look something like this:
I
II
III
IV
V
VI
VII
1
2
3
4
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5
6
7
8
9
.01 -.86 -.21
-.79
.03
.11
-.19
.75
.00
.11 -.66
.14
.91 -.27 -.06
-.14
.10
.20
.16 -.08
.12
-.16 -.29
.04
.66
.15
-.03
.09
.20
-.46
.09
.12
.69
.28
.05
.22
.17
-.15
.65
-.02
.19
.11
-.22
-.13
.12
-.29 -.08
-.17 -.13
.02
.26
.24 -.07
-.22 -.03
-.09
.04
.13
.06
.20 -.11
-.19
.23
An important question is, “How do we know how many factors to retain?”
In factor analysis, potentially there can be as many factors as items.
However, usually one or some combination of three methods is used to decide how many factors to retain.
One common method is to retain factors having “eigenvalues” greater than one.
Each factor has an eigenvalue, which is the sum of the squared factor loadings for the factor.
Retaining factors having eigenvalues greater than one also is known as applying the Kaiser Criterion.
A second common method is to apply the scree test.
The scree test is a visual, intuitive method of determining how many factors to retain by examining the
graph of the eigenvalues from the initial factor loading matrix.
A third possible method is based on how much of the total variance is to be accounted for by the retained
factors.
The total possible variance is equal to the number of items.
Therefore, the variance percentage for any factor is the eigenvalue divided by the total number of items,
times 100.
Factors can be retained by summing these percentages until the desired percentage is reached.
Another important question in factor analysis is, “How are the relationships among the factors to be
conceptualized?”
A factor is two things:
Conceptually, a factor is a representation of a construct.
However, in regard to mathematics, a factor is a vector in n-dimensional space.
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Factors as constructs may be separate and entirely distinct from one another or separate but
conceptually related to one another.
Factors as vectors reflect these possibilities by being positioned in n-dimensional space as either
perpendicular to one another or as having an acute angle between them.
The initial factor loading matrix is “rotated” to achieve the best mathematical represen-tation and clarity
among the constructs.
If the factors are assumed to be distinct (i.e., independent) from one another, the rotation is said to be
“orthogonal.”
An orthogonal rotation is one in which the angles between factors are maintained as right angles during
and after the rotation.
The most common orthogonal rotation is the “Varimax” procedure.
If the factors are assumed to be related (i.e., dependent) to one another, the rotation is said to be
“oblique.”
An oblique rotation is one in which the angles between factors are maintained as less than right angles
during and after the rotation.
The most common oblique rotation is the “Oblimin” procedure.
We assign to a factor a name that encompasses whatever is reflected in the items having their highest
factor loadings on the factor.
There are a few important things to be remembered about factor analysis.
First, a valid factor analysis requires lots of subjects, usually a minimum of ten times the number of
subjects as items.
Another important point is that even though factor analysis is a sophisticated data analysis technique,
quite a few relatively arbitrary decisions are made by the researcher in the process.
Selection of the context and type of factor analysis to be used, determination of the number of factors to
retain, and naming of the factors are just a few of the decisions to be made.
And finally, just because a research study contains a factor analysis doesn’t necessarily mean that it is
“good” research.
The validity and appropriateness of the factor analysis must be evaluated in order to evaluate the worth
of the research.
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Research and
Program Evaluation
Part 5
Analyses of Differences
Recall that for purposes here, an analysis of difference involves at least one continuous variable and at
least one discrete variable.
In this context, the variable that is continuous is sometimes called the “dependent” variable, and the
variable that is discrete is sometimes called the “independent” variable.
The purpose of the analysis is to investigate differences in the continuous variable as a function of the
categories in the discrete variable.
Think about this possibility for a while.
Imagine that the same test was given to a group of people on many occasions, but on each occasion the
test was administered, they had not taken the test previously.
Then, imagine that the mean for the test was computed for each occasion it was administered.
If a graph was made of the various means for the group against the frequency of occurrence of the
respective means, the result would be a normal distribution of the means (because the various factors
affecting test performance would come together in different ways on different occasions).
This distribution represents 100% of the possible means that the group might achieve on any occasion.
Because this is a “normal distribution,” all of its mathematical properties are known.
For example, it is symmetric about the mean and the standard area percentages under the curve are
known.
This theoretical distribution can be grounded in reality if one assumption is accepted:
That an observed mean (i.e., one from an actually administered test or measurement) is the mean of the
theoretical distribution of sampling means.
Generally, this assumption is presumed valid unless there is specific information that the assessment
situation was something other than “normal.”
These distances are known as the “Standard Error of the Mean.”
A “standard error” is a standard deviation of a theoretical distribution.
There is approximately a two-thirds chance (68%) that the mean for the group will fall between +/- one
(1) standard error of the mean on any occasion.
Similarly, the probability, or likelihood, of the mean falling between +/- two (2) standard errors of the
mean on any occasion is approximately 96%, and so on.
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Two of the more useful statements that can be made are:
There is a 95% probability that the mean will fall between +/- 1.96 standard errors of the mean on any
occasion.
There is a 99% probability that the mean will fall between +/- 2.58 standard errors of the mean on any
occasion.
These “confidence limits” look like this on the theoretical distribution of sampling means.
Now assume a situation in which the same thing is measured (i.e., using the same test or measure) on two
different occasions for the same group (a la pre-post testing).
If the group did not have exactly the same mean for each testing occasion, there was a difference between
the means.
That difference happened either because something caused the difference or by chance.
The important question is, “What is the likelihood (i.e., probability) that the difference happened simply
by chance?”
The t-test is a statistical significance test that covers this situation.
The t-test is used to determine if there is a statistically significant difference between only two means.
The t-test is appropriate for use when data from 30 or fewer subjects are being analyzed.
The t-test is sometimes referred to as the “Student’s t-test.”
There are two types of t-tests.
A dependent, or correlated, t-test is used when the difference between the means of the same group
assessed on two occasions is being evaluated (e.g., pre-post).
An independent, or uncorrelated, t-test is used when the difference between the means of two separate
groups is being evaluated (e.g., males and females).
A t-test yields a statistic called a t value.
Computer programs generating the t value also present the (exact) probability of obtaining a t value of
that magnitude.
The (exact) probability calculated for the t value is compared to the (pre-determined) alpha level for the
analysis.
For the t-test, it was noted that the discrete variable (i.e., the one that has categories) is sometimes called
the “independent” variable.
The discrete variable is also known as a “factor.”
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It is important to remember that this is a different and distinct use from “factor analysis,” which was a
type of analysis of relationships.
In the context of analyses of differences, a factor is a variable that is discrete (i.e., has categories) and is
sometimes called the independent variable.
In the context of analyses of differences, the categories of a factor are called “levels.”
In some ways, again this is a poor choice of words because “levels” implies some type of hierarchy - but
that’s not really what it means in this context.
Suppose “gender” as a (discrete or independent) variable is included in a study.
In the study, gender would be a “factor” having two “levels” (i.e., male and female).
Remember that levels = categories; no hierarchy is necessarily applicable.
A t-test would be the appropriate analysis for a study having only one factor that has two levels.
The levels (categories) of the factor may be “uncorrelated” (e.g., gender) or “correlated” (e.g., pre-post).
Instead of “correlated,” the phrase “repeated measures” is used to indicate that the levels of a factor are
actually two or more measurements on the same group of people as part of a single research study.
Suppose that instead of viewing gender as either male or female, it was considered “sex-role orientation.”
The possible categories might then be male, female, and androgynous, which would be the three levels of
the “sex-role orientation” factor.
Then suppose a measure of “counseling effectiveness” could be obtained for everyone in each of the three
groups.
One question might then be, “Are there sta-tistically significant differences among the counseling
effectiveness means of the three groups?”
Graphically, the possibilities would be:
The appropriate analysis for this situation is a one-way analysis of variance.
It’s called “one-way” because there is only one factor involved.
This is one of several types of analyses of variance, all of which are abbreviated “ANOVA.”
A one-way ANOVA is appropriate when there is one factor in the study.
The factor may have three or more levels.
The levels may be either uncorrelated (e.g., three categories of sex-role orientation) or correlated (e.g.,
pre-post-follow-up for an experimental study).
A one-way ANOVA yields an F statistic (or as it is more commonly known, an F value).
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Theoretically, a one-way ANOVA works with a factor with as many levels as are relevant and/or desired.
Computer programs generate an exact probability for the F value, which can then be compared to the
alpha level.
A statistically significant F value means that there is at least one statistically significant difference among
the means.
However, a statistically significant F value does not indicate which means are significantly different from
one another.
A “multiple comparison” is a statistical procedure that allows determination of which means are
statistically significantly different from another.
A multiple comparison is only appropriate following a statistically significant F value.
A multiple comparison allows determination of which of these patterns exists (and more than one may
apply):
Multiple comparison procedures range on a continuum of “liberal” to “conservative.”
The more liberal the procedure, the smaller the difference needed to be considered statistically
significantly different.
More conservative procedures reduce the chance for Type I error, but make it more difficult to achieve a
statistically significant difference.
Some of the multiple comparison methods include:
A factorial analysis of variance (ANOVA) is appropriate when there are two or more factors, each of
which has at least two levels.
(Again, remember that a factorial ANOVA is not the same as factor analysis).
Suppose the research question was, “What are the differences in graduate-level academic aptitude as a
function of gender and race?”
The variables might be as follows:
The “dependent” variable is GRE Total
Score.
One factor is “gender,” and it has two
levels: male (M) and female (F).
Another factor is “race,” and it has three
levels: African-American (AA),
Hispanic-American (HA), and
Caucasian-American (CA).
One F value would be obtained for each factor:
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Fgender
Frace
These are known as the “main effects” F values.
These F values are independent; the statistical significance of one is unrelated to the statistical
significance of the other.
An interaction F value also would be obtained.
Fgender by race
An interaction F value allows evaluation of whether the effects of one variable are consistent for all levels
of the other variable.
The interaction F value is independent of the other two.
There will be one F value for each factor (aka “main effects”).
Fgender
Frace
Fdegree
These F values are all independent of one another.
If either Frace and/or Fdegree is statistically significant, a multiple comparison would be needed to
determine the pattern of significant differences.
There also would be three “two-way interactions.”
Fgender by race
Frace by degree
Fdegree by gender
There also would be one “three-way interaction,” which represents the combination of variables three at
a time.
Fgender by race by degree
These F values also are independent of all the others.
The t-test, one-way ANOVA, and factorial ANOVA are known as “univariate” analyses, because only one
dependent (e.g., GRE Total score) variable is involved.
If a second (or more) dependent variable is added, the appropriate analysis is a multivariate analysis of
variance (MANOVA).
A MANOVA also yields an F value.
If the Fmultivariate is NOT significant, it means that there are no significant differences anywhere among
the sets of means.
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If the Fmultivariate is statistically significant, appropriate univariate analyses must be computed to
determine which means are significantly different from one another.
Nonparametric Statistics
So-called nonparametric statistics are used when the data are nominal or ordinal, or when the data are
interval but the assump-tion of a normal distribution of the variable cannot be met.
In general, there are nonparametric statistical analyses that “parallel” most parametric statistical
analyses.
The following are commonly used nonparametric “correlational” techniques, most derived from the
Pearson Product-Moment Correlation Coefficient.
Spearman’s Rho is a correlation coefficient appropriate when the data being correlated are ranks (i.e.,
ordinal data).
A Point Biserial Correlation is appropriate when one of the variables is continuous and the other is
dichotomous.
A Biserial Correlation is appropriate when both variables are actually continuous, but one is being
treated as a dichotomous variable.
A Tetrachoric Correlation is appropriate when both variables are actually continuous, but both are being
treated as dichotomous.
A Phi Coefficient is appropriate when both variables are actually dichotomous.
A Coefficient of Contingency is appropriate when one or both of the (nominal) variables has three or
more categories.
The following are commonly used nonpara-metric tests of differences.
The Median Test is appropriate to use to test the significance of difference between the medians of two
independent samples.
A Sign Test is appropriate to test the signifi-cance of difference between two or more sets of paired
observations (i.e., measurements).
The Wilcoxon Rank Sum Test is appropriate to test the significance of difference when the data from two
independent samples can be assigned ranks.
The Mann-Whitney U Test is essentially the same as the Wilcoxon Rank Sum Test, but is often used with
smaller samples.
The Kruskal-Wallis is essentially a one-way analysis of variance appropriate to use to test the significance
of difference among three or more sets of ranks.
The Chi Square Test, which is the most commonly used nonparametric statistic, is a test of the magnitude
of discrepancy between observed (i.e., measured) and expected distribution frequencies.
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The Chi Square Test is used either as a “goodness of fit” test or as a test of inde-pendence.
The Chi Square “goodness of fit” Test is usually used to test the degree of independence between
observed and (theoretically) expected frequencies for a single variable.
The Chi Square Test as a test of independence is used to test the degree of independence between the
observed and expected frequencies for two variables.
Because the distributions to which the various nonparametric statistics are applied vary considerably,
methods to evaluate the statistical significance of the various statistics generated are unique to the
various techniques.
However, similar to most parametric statistics, the resultant nonparametric statistical value is evaluated
against its probability as a chance occurrence.
Needs Assessment and
Program Evaluation
A fundamental question in the counseling professions is:
How can we integrate good needs assessment and program evaluation practices to yield an effective and
comprehensive understanding of a service delivery system?
One commonly accepted approach is to follow the CIPP model, in which CIPP is an acronym for:
Context evaluation
Input evaluation
Process evaluation
Product Evaluation
Context evaluation:
is essentially equal to needs assessment
within the CIPP model.
necessitates clear specification of potential service recipients.
involves gathering data directly from
potential service recipients.
should point to program goals and objectives.
Primary context evaluation methods include use of surveys and/or interviews.
Effective context evaluation provides answers to questions such as:
What is the diversity of the needs expressed among the potential service recip173
ients?
What are the priorities among the various
categories of needs expressed?
Do the needs expressed reflect current or
future circumstances?
Which of the expressed needs are in concert with program activities?
Input evaluation:
serves to identify available resources
and constraints for a service delivery program.
follows directly from a context evaluation (i.e., needs assessment).
yields the parameters within which
the program can and should be
conducted.
Effective input evaluation will provide answers to questions such as:
What is the environment (i.e., physical space
and material resources) available for
the program?
What are the fiscal resources available for
the program?
What are the human or personnel resources
available for the program?
What rules (and/or entities) govern the conduct of the program?
Together, the results of context and input evalua-tions determine the nature of the accountability for the
program and for the program partici-pants.
That is, they allow determination of who will be accountable to whom, how, and for what.
Process evaluation:
is concerned with the effectiveness of the
day-to-day operation of the program.
is used interchangeably with the term
“formative” evaluation.
provides data upon which to base service
delivery program decisions while
the program is in operation.
Effective process evaluation will provide answers to questions such as:
What is the efficiency level of the service
delivery program?
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What factors influence the expenditure of
funds within the service delivery
program?
How efficient is the service delivery program schedule?
What factors influence decision-making
processes in the service delivery
program?
Product evaluation:
allows determination of the actual “outcomes” of the service delivery
program.
is used interchangeably with the term
“summative” evaluation.
is often considered the “bottom line” in
accountability processes.
Effective product evaluation provides answers to questions such as:
To what extent are the service delivery
program’s goals and objectives being
met?
What are the service delivery program’s
impacts in terms of identifiable
changes?
What is the service delivery program’s
cost-benefit ratio?
What are the “lost opportunity” costs attributable to intra-program changes?
The CIPP model is circular...
The best evalua-tion evolves from a fully integrated cycle of all four parts of the model
The CIPP model and accountability are in-tegrally linked because any service delivery program should
be held accountable for:
what it is attempting to accomplish (content
evaluation),
what resources it uses (input evaluation),
how resources are used (process evaluation), and
what happens as a result of the program
(product evaluation).
Seven types of accountability have been identified in the professional counseling and development
literature.
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Service delivery accountability addresses the question, “To what extent does the program deliver the
services it promises to deliver?”
Ethical accountability addresses the question, “To what extent are services delivered within the
parameters of acceptable ethical practice?”
Legal accountability addresses the question, “To what extent are services delivered within the parameters
of legal constraints?”
Coverage accountability addresses the question, “To what extent does the service delivery program serve
all of the people it purports to serve?”
Efficiency accountability addresses the question, “To what extent is time used efficiently in delivery of
the service program?”
Fiscal accountability addresses the question, “To what extent are available fiscal resources used in a
manner that maximizes the likelihood of positive program outcomes?”
Impact accountability addresses the question, “To what extent does the service delivery program actually
make positive changes in peoples’ lives?”
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