CONSULTATION
The Core of Program Planning,
Organization & Evaluation
Stephen Southern
Department of Psychology &
Counseling
Reference Books
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Brown, D., Pryzwansky, W., & Schulte, A.
(2001). Psychological consultation:
Introduction to theory and practice. (5th ed.).
Boston: Allyn and Bacon
Dougherty, A.M. (2012). Psychological
consultation and collaboration in school and
community settings. (5th ed.). Belmont, CA:
Brooks/Cole.
Overview of Consultation and
Collaboration
Consultation Defined
(Dougherty, 2005, p. 11)
Consultation is a process in which a human
service professional assists a consultee with a
work-related (or caretaking-related) problem
with a client system, with the goal of helping
both the consultee and client system in some
specified ways.
Consultation: Caplan’s (1970)
Classic Formulation
Consultation involves a voluntary,
nonhierarchal relationship between two
professionals who are often from different
occupations (e.g., psychologists and
psychiatric nurses) and is initiated by the
consultee for the purpose of solving a workrelated problem (Brown, Pryzwansky, &
Schulte, 2001, p. 4).
Comprehensive View of
Consultation
Human service consultation is defined as a voluntary
problem-solving process that can be initiated and
terminated by either the consultant or consultee. It is
engaged primarily for the purpose of assisting
consultees to develop attitudes and skills that will
enable them to function more effectively with a client,
which can be an individual, group, or organization for
which they have responsibility (Brown, Pryzwansky, &
Schulte, 2001, pp. 5-6).
Collaboration Defined
(Dougherty, 2005, p. 13)
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Collaboration refers to “two or more people
working together, using systematic planning
and problem-solving procedures, to achieve
desired outcomes’ (Curtis & Stollar, 2002, p.
226).
Collaboration permits people with diverse
expertise to share decision-making power in
order to prevent or solve problems for some
client group
Assumptions Underlying Consultation
(Dougherty, 2005, p.2)
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Consultation is a cost-effective use of
resources relative to direct services such as
counseling.
Discussing cases and programs with
consultees is sufficient for them to change
their behavior.
Consultees will generalize the problem-solving
skills they learned in consultation to future
situations.
Direct contact between the consultant and
client systems is often unnecessary.
Additional Assumptions
(Dougherty, 2005, pp. 8-10)
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Consultation and collaboration are very
similar in terms of skills and processes.
How a consultant performs is as important as
what he or she does.
Consultation is a human relationship.
Human services professionals need training in
consultation and collaboration.
There is no one best way to consult.
Consultation is science, art, and craft with
commitment.
History of Consultation:
Early Developments
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Clinical consultation in medicine began in the
13th century and evolved as a major function
in medical practice (Gallessich, 1982)
Lightmer Witmer, a psychologist, consulter
with schools in the 1920s regarding the
education of children with disabilities (Brown
et al., 2001, p. 1)
Kurt Lewin (1951) developed field theory and
action research, a prototype of the
consultation model involving group work and
organizational analysis
History of Consultation:
Recent Developments

Gerald Caplan (1970), working with refugee children in postWorld War II Israel, essentially developed the field of
consultation and defined the parameters of prevention in his
seminal text, The Theory and Practice of Mental Health
Consultation
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The rise of behaviorism contributed to the development of
behavioral consultation models, especially with parents and
teachers (Bergan & Kratochwill, 1990)
Community psychology, borrowing from systems perspectives in
social work, influenced the expanding scope of consultation to
include community projects (Heller, 1985)
Organizational development concerns extended the consultation
model to institutions and businesses (Lippitt & Lippitt, 1986)
Caplan’s (1970) Model
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An egalitarian relationship between the
consultee and consultant
Theme interference: Mild confrontation of
stereotypical ideas held by the consultee
A taxonomy of consultation approaches:
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Client-centered
Consultee-centered
Program-centered administrative
Consultee-centered administrative
Characteristics of Caplan’s
(1970) Model
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Typically, the consultant comes from
outside the consultee’s organization
Consultation effort avoids focusing on
the consultee’s personal problems
The consultee has primary responsibility
for implementing solutions arising from
the consultation process
Criticism of Caplan’s Classic Model
(Brown et al., 2001, pp. 4-6)
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Consultation may be viewed as too collegial or
egalitarian (sometimes expert power is important)
Consultation does not necessarily have to occur
between two professionals (the effort could include
families even communities)
The consultant can come from inside the organization
The consultee does not have sole responsibility for
implementing solutions
There are no right or wrong definitions of
consultation; Consultation is defined by client needs
and their circumstances
Comparing and Contrasting
Consultation with Other Helping
Services
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Organization development (OD):
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Uses action research such as surveys;
administration holds decision-making power
Teaching and training in both; more formal in OD
settings
Therapy and counseling
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Based on relationship; greater depth and intensity
in therapy
Services are provided directly in therapy
Comparing and Contrasting
Consultation with Other Helping
Services
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Supervision
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Consultants and supervisors provide direction;
supervisors have evaluative power and authority
Supervision can be supportive, but it is less clientcentered or humanistic than supervision
Expert Advice
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Advice giver provides information or resources,
but does not collaborate in finding solutions
Relationship is based on access to expert, rather
than needs of consultees or clients
Characteristics of Consultation
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Initiated by consultee or consultant
Relationship based on effective
communication
Consultee may be professionals or
nonprofessionals
Consulting services prepare consultees to
function independent of consultant
Consultation is fundamentally triadic in nature
Characteristics of Consultation
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Problems are “work-related” with the concept
of one’s work broadly defined
Consultant’s role varies with consultee’s
needs
Locus of consultant may be internal or
external
Communication and interaction between
consultant and consultee are confidential and
otherwise adhere to ethical guidelines
Consulting Interventions
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Prevention
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Remediation
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Primary
Secondary
Tertiary
Direct
Informational
Triadic
Development
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Skill building
Program revision
Curriculum development
Targets of Interventions
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Individuals
Parents
Teachers and therapists
Groups
Organizations
Communities
Examples of Consultation
(Dougherty, 2005, p. 15)
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Consulting with juvenile court
counselors
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Needs assessment with counselors
Workshop on counseling with adjudicated
youth
Collaborating with a teacher
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Focus on case of “incorrigible student”
Develop together a token economy
Examples of Consultation
(Dougherty, 2005, p. 15)
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Consulting with a human services
professional
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Case consultation regarding help for the
family of a dying child
Treatment recommendations and follow-up
References
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Bergan, J.R., & Kratochwill, T.R. (1990). Behavioral
consultation and therapy. New York: Plenum.
Brown, D., Pryzwansky, W., & Schulte, A. (2001).
Psychological consultation: Introduction to theory
and practice. (5th ed.). Boston: Allyn and Bacon
Caplan, G. (1970). The theory and practice of mental
health consultation. New York: Basic Books.
Curtis, M.J., & Stollar, S.A. (2002). Best practices in
system-level change. In A. Thomas and J. Grimes
(Eds.), Best practices in school psychology (4th ed.,
pp. 223-243). Washington, DC: National Association
of School Psychologists.
References
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Dougherty, A.M. (2005). Psychological consultation
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(4th ed.). Belmont, CA: Brooks/Cole.
Gallessich, J. (1982). The profession and practice of
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and collaboration in school and community settings.
consultation: A handbook for consultants, trainers of
consultants, and consumers of consultation services.
San Francisco: Jossey Bass.
Heller, K. (1985). Issues in consultation to
community groups: Some useful distinctions between
social regulations and indigenous citizens groups. The
Counseling Psychologist, 15, 403-409.
References
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Lewin, K. (1951). Field theory in social
sciences. New York: Harper & Row.
Lippitt, G., & Lippitt, R. (1986). The
consulting process in action (2nd ed.).
San Francisco, CA: University Associates
Roles & Characteristics of the
Consultant
Characteristics of Effective Consultants
(Brown et al., 2001, pp. 166-168;
Dougherty, 2005, pp. 23-25)
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Awareness of values
Multicultural sensitivity
Ability to solve problems
Tactical flexibility
Good interpersonal and communication skills
Mastery of knowledge base
Personal and professional growth orientation
High Intuition score on MBTI
Ability to establish working alliance
High achievement orientation and persistence
Skills Needed for Consultation (Brown et
al., 2001, pp. 169-173; Dougherty, 2005,
pp. 25-31)
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Multicultural knowledge and comfort with diversity
Ability to influence (marketing, attracting referrals)
Knowledge related to contracts, legal and ethical
considerations, and business issues
Ability to conduct needs assessment or determine
feasibility
Good relationship and communication skills
Problem-solving skills and resources
Ability to work with groups
Understanding of system and organizational
dynamics
Basic Categories of Roles
(Dougherty, 2005, pp. 31-32)
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Task versus process
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Task: Expertise, results orientation
Process: Relationship, person orientation
Directive to nondirective
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Directive: Consultant is technical expert
Nondirective: Consultant is facilitator
Common Consultation Roles
(Dougherty, 2005, pp. 32-36)
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Advocate
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Most directive consultant role
Outreach: promotion of available services
to selected populations
Expert
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Most frequent or common consultant role
Risk of cultivating dependence
Common Consultation Roles
(Dougherty, 2005, pp. 32-36)
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Trainer/Educator
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Frequently requested role by consultees
From brief workshops to formal
educational programs
Collaborator
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Rapidly increasing role in human services
and educational systems
Risk of overestimating consultee’s abilities
Common Consultation Roles
(Dougherty, 2005, pp. 32-36)
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Fact Finder
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Common to all consulting efforts
Needs assessment and research
Process Specialist
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Least directive consulting role
Observing and/or facilitating consultee
groups and meetings
Internal Versus External Consultants
(Dougherty, 2005, pp. 36-37)
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May be viewed as a continuum, rather
than a dichotomy
A consultant can always be external to
a particular problem, bringing the
“outside” perspective
Internal consultants increasingly
functioning like external consults
Internal Versus External Consultants
(Dougherty, 2005, pp. 36-37)
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Internal consultants less
humanistic and
democratic
More likely to conduct
rigorous program
evaluations
Affected by hierarchy
and politics of
organization
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External consultants are
more marginal,
“outside” the
organization or system
More comfortable with
ambiguity, conflict, and
stress
Can be more neutral or
objective in problemsolving
Consultation Research
(Dougherty, 2005, pp. 37-40)
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Effectiveness of consultation efforts
Interactions between consultants and
consultees
Consulting practices
Consultation Research
(Dougherty, 2005, pp. 37-40)
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Outcome studies indicate consultation can be
effective
Most outcome research on behavioral
consultation
Problems of definition confound research
efforts
Lack of precision and outcomes to justify
meta-analytic studies
Process and organizational studies are
needed
Mental Health Consultation
Key Concepts (Caplan, 1970)
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Mental health consultation is a method used
by two professionals in respect to a lay client
or a program for such clients.
The consultee’s work problem must be
defined by him or her as being mental health
related, such as a mental disorder or
personality idiosyncrasy of the client, the
need to promote mental health in the client,
or interpersonal aspects of the work situation.
Key Concepts (Caplan, 1970)
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The consultant has neither
administrative responsibility for the
consultee’s work nor professional
responsibility for the outcome of the
client’s case.
The consultee is under no compulsion
to accept the consultant’s ideas or
suggestions.
Key Concepts (Caplan, 1970)
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The basic relationship between the two is
coordinate: there is no built-in hierarchy or
authority-subordinate tension, which in our
culture potentiates the influence of ideas.
The coordinate relationship is fostered by the
the consultant’s membership (typically) in
another profession and his or her arrival into
the consultee’s institution from the outside.
Key Concepts (Caplan, 1970)
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The coordinate relationship is further
supported by the fact that consultation
is usually given as a short series of
interviews—two or three on average,
which take place intermittently in
response to consultees’ awareness of
their current need for help with a work
problem.
Key Concepts (Caplan, 1970)
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Consultation is expected to continue
indefinitely, for consultees can be
expected to encounter unusual work
problems throughout their careers.
Consultants have no predetermined
body of information that they intend to
impart to a particular consultee.
Key Concepts (Caplan, 1970)
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The twin goals of consultation are to help
consultees improve their handling or
understanding of the current work difficulty
and through this to increase their capacity to
master future problems of a similar type.
The aim of consultation is to improve
consultees’ job performance, not their sense
of well-being…personal worth will probably be
increased by successful consultation.
Key Concepts (Caplan, 1970)
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Consultation does not focus overtly on
personal problems and feelings of
consultees. It respects their privacy.
Consultation is usually one of the
professional functions of a specialist—
even if he is titled consultant. He should
use the consultation method only when
it is appropriate.
Key Concepts (Caplan, 1970)
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Finally, it is worth emphasizing that
mental health consultation is a method
of communication between a mental
health specialist and other
professionals. It does not denote a new
profession, merely a special way in
which existing professionals may
operate.
Mental Health Consultation
Process (Caplan & Caplan, 1993)
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Client-Centered Case Consultation
Consultee-Centered Case Consultation
Program-Centered Administrative
Consultation
Consultee-Centered Administrative
Consultation
Goals of Consultation (Caplan
& Caplan, 1993)
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Client-Centered Case Consultation
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Level of Intervention: Case
Target of Consultation: Client
Goal: Behavior change in the client
Consultee-Centered Case Consultation
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Level: Case
Target: Consultee
Goal: Enhanced consultee performance in
delivering services to clients
Goals of Consultation (Caplan
& Caplan, 1993)
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Program-Centered Administrative
Consultation
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Level: Administration
Target: Program
Goal: More effective delivery of program
Consultee-Centered Administrative
Consultation
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Level: Administration
Target: Consultee
Goal: Enhanced consultee performance in
programming
Consultee-Centered Case
Consultation (Caplan & Caplan, 1993)
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Lack
Lack
Lack
Lack
of
of
of
of
knowledge
skill
self-confidence
professional objectivity
Lack of Professional Objectivity
(Caplan & Caplan, 1993)
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Direct personal involvement
Simple identification
Transference distortion
(countertransference)
Characterological distortions
Theme interference
Theme Interference (Caplan &
Caplan, 1993)
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A conflict related to actual life
experiences or to fantasies in the
consultee that have not been
satisfactorily resolved is apt to persist in
his preconscious or unconscious as an
emotionally toned cognitive
constellation which we call a “theme”
(p. 122)
Theme Interference (Caplan &
Caplan, 1993)
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Themes generally repeat themselves,
carry a negative emotional valence, and
take the form of a syllogism
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Initial impression (based on consultee’s
unresolved life experience) followed by an
inevitable outcome
For example, self-made therapist who sees
that “lazy” clients will never change.
Theme Interference (Caplan &
Caplan, 1993)
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Techniques for relieving theme interference
 Altering the emotional theme underlying
the lack of objectivity by unlinking or
reassessing the cues that lead to erroneous
classification of client
 Invalidating the “inevitable outcome”
sampling of potential outcomes and
personal science—theme interference
reduction
Theme Interference Reduction
(Caplan & Caplan, 1993)
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Re-assessment of theme
 Verbal focus on the client
 Verbal focus on an alternative object-
the parable
Nonverbal focus on the case
 Nonverbal focus on the consultation
relationship
Consultant’s intervention
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Ecological Perspective
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Less emphasis on particular case(s)
More emphasis upon the characteristics of the
environment or setting
Focus on developing organizational resources to
respond to client needs
Person-in-environment perspective (not primarily
intrapsychic theories)
Prevention is a function of the consultant helping the
consultee (organization) to acquire, modify, or
somehow develop resources
Emphases on empowerment and finding solutions
Mental Health Collaboration
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More likely to be internal to the organization
Combination of indirect and direct services
with some client contact
Team based
Some potential for coercive power and breach
of confidentiality
Team defers to collaborator’s expertise
Collaborator shares responsibility for
outcomes
Trends in Mental Health
Consultation
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Movement toward increased use of
collaboration
Inclusion of nonprofessionals as
consultees
Group consultation perceived as costeffective
Mental health consultants are more
involved in staff development
Trends in Mental Health
Consultation
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Increasing amount of mental health
consultation in medical settings
Mental health consultants provide technical
assistance to agencies
Mental health consultants involved in making
changes in response to managed care
Mental health consultants are invited into
educational and business/organizational
settings
Increasing emphases on empowerment and
advocacy
School Consultation
School-Based Consultation
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Parents
Teachers
Administrators
Incentives for School-Based
Consultation
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Revisions to the Individuals with
Disabilities Act mandated increase in
school consultation services
No Child Left Behind Act
Reform movement
Accountability and testing
Inclusion and mainstreaming
School Consultation Services
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Schools are different than mental health centers and
business/industrial settings
Direct and indirect services may be offered to
students
Emphasis on prevention
Consultation and collaboration
Adlerian and behavioral models most common
Public health model is emerging
Historically, consultation the domain of school
psychologists or social workers
Domains of School-Based
Consultation
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Teaching and learning
Testing and measurement
Uses of technology
Work-to-school programs
Dropout prevention
Reducing violence or substance abuse
Domains of School-Based
Consultation
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Increasing parent and community
involvement (partnership)
Facilitating governance and management
Professional competence and development
Innovation and planned change
System-wide improvement or adjustment
Long-term planning
The Heart of School
Consultation
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Working with adults to impact positively
the lives of large numbers of students
Enhancing the climate or setting of
schools to accomplish educational,
extracurricular, vocational, and social
goals (especially for public schools)
Examples of School-Based
Consultation
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Instructional consultants implement direct
instruction methods throughout an urban
school district
In-school consultation team designs programs
for enhancing cultural diversity
External consultant trains district teachers
and staff on implementing school violence
prevention program
Internal consultant works with task force on
adopting school uniform policy
Focus of School Consultation
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Traditionally, focus on parenting, discipline,
and communication
Consultation and collaboration with particular
teachers or classes
Multidisciplinary teams, especially in special
education
Principals
Whole schools as organizations (e.g., Total
Quality Management)
Adlerian Consultation with Teachers
(Dinkmeyer & Carlson, 2000)
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Focused on encouragement and
affective development of students
Case consultation method
C-Group: staff development and
problem resolution
C-Group (Dinkmeyer & Carlson,
2000)
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Consultation
Collaboration
Clarification
Confrontation
Cohesion
Commitment
Changes
Concern
Caring
Confidentiality
Communication
Instructional Consultation
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Consultee-centered consultation
Collaborator, trainer, and advocate
Process
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Establishing a collaborative relationship
Identifying the problem
Observing the classroom
Assessing curriculum-based learning
Planning and implementing instructional interventions
Evaluating outcomes
Terminating
Consulting with Parents
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Thirty years of research make it clear:
Parents and families are pivotal to children’s
learning (Riley, 1996, p. 480)
Family involvement improves academic
climate and achievement
“Parent Involvement”
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Direct case consultation with parent
Parent education
Parent training
Home-School Collaboration
(Dougherty, 2005, p. 289)
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Preventive, problem-solving approach
Educators and families are critical in
socializing learners
Broad opportunities for parent
participation are essential
Building relationships with parents can
take time and effort
Cross-Cultural Considerations
(Dougherty, 2005, p. 290)
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Remain aware of the systemic impact upon the child
Evaluate the cultural milieu of the child and the
degree of acculturation
Evaluate strengths of the culture of origin and its
adaptive characteristics
Focus on development/readiness and all aspects of
cognitive style
Be aware of characteristics influenced by culture that
may have an impact on assessment and intervention
results
Interagency Collaboration
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Mental health center
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Social service agency
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Day treatment program
Special classrooms
Access to health and human services
Resource development and advocacy
Business and industry
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Business-school partnership
School-to-work program
Ethical Issues
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Confidentiality
Informed consent
Reduce coercion and control
Multicultural issues in assessment
Advocacy
Parameters of School
Consultation
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Systems view of school
Frameworks for prevention and
intervention
Problem solving versus empowerment
Time, space and structural constraints
School Consultation in the 21st
Century
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Expanding services to prekindergarten children
External consultants train internal consultants
(training the trainers)
Identifying and assisting at risk students
Softening the school reform movement
Teacher support and professional development
Organizational development
Peer consultation models
Linkage, communication and referral
Organizational Consultation
Consultation with
Organizations
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Complexity increases with the number
of subsystems
Systems principles apply
Most consultation models evolved from
organizational development efforts in
business and industry
Systems Principles in Organizational
Development (Lippitt, 1982)
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Leadership subsystem
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Executive function
Hierarchy
Goals & values subsystem
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Personal needs
Satisfaction and fulfillment
Systems Principles in Organizational
Development (Lippitt, 1982)
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Technical subsystem
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Resources
Linkages
Structure subsystem
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Policies and procedures
Rewards and disciplines
Systems Principles in Organizational
Development (Lippitt, 1982)
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Psychosocial subsystem
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Human resources
Organizational climate
Organizational Climate
(a) A pattern of basic assumptions, (b) invented, discovered,
or developed by a given group, (c) as it learns to cope with
problems of external adaptation and internal integration, (d)
that has worked well enough to be considered valid and,
therefore, (e) is to be taught to new members as the (f)
correct way to perceive, think, and feel in relation to those
problems (Schein, 1990, p. 111)
Organizational Climate
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Basic assumptions represent beliefs that
are widely held through the
organization
New members are induced to accept
the beliefs and assumptions
Bad basic assumptions can lead to bad
operating principles and poor morale
Changing Organizations (Brown,
Pryzwansky, & Schulte, 2001, pp. 88-90)
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Subsystems of an organization are
interrelated and interdependent
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Problems in accounting may be functions
of poor leadership, lack of technology, poor
morale, low customer satisfaction
There is no single or right solution to a
particular problem
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Problem solving is a dynamic process
Changing Organizations (Brown,
Pryzwansky, & Schulte, 2001, pp. 88-90)
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Organizations relate dynamically with
their environments
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All organizations have some outreach and
referral functions
Viable open systems can adapt to
changing conditions within and without
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Adaptable systems have sensing
mechanisms; they are self-regulating and
avoid entropy and chaos
History of Organizational
Development & Consultation
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Kurt Lewin (1951) and Carl Rogers (1951) provided
the philosophical bases of organizational consultation
as well as some methods
Social scientists provided models: Argyris (1970),
Bennis (1970), French & Bell (1973), Schein (1969)
Business consultants and trainers influenced the
scope: Blake & Mouton (1993), Lippitt (1982)
Demand for educational innovation contributed to
model for “planned change” Havelock (1973)
Duane Kurpius (1976) and colleagues (Kurpius,
Fuqua & Rozecki, 1993) involved counseling
professionals
Entry Process in
Organizational Consultation
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Preentry phase is critical for external
consultants; preentry may be nonexistent for
internal consultants
Matching of expertise, time, and interest of
consultant to some problem presented by an
organization (“Go/no go” decision)
Contract setting is a formalization of the
process by which the consultant enters the
organization
Steps in the Entry Process
(Brown et al, 2001, p. 91)
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Survey the problems the organization has and
the goals the organization wishes to pursue
Determine commitment to change
Ascertain whether necessary resources (e.g.,
money, time, personnel) are available to
complete desired change
Establish a contract to continue the
consultation
Diagnosis in Organizational
Consultation
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Four major data sources
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Genetic data such as published mission
statements, minutes of meetings, annual reports,
and internal memoranda
Current descriptive data such as organizational
charts, policies and procedures manual, and office
arrangements
Process data such as communication systems,
decision-making structures, and problem-solving
dynamics
Interpretive data such as attitudes and beliefs and
observations of informal relationships
Diagnosis in Organizational Consultation
(Brown et al, 2001, pp. 92-96)
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Organizational analysis addresses how well the
organization is doing what it says it does (or wants to
do)
Systems-based perspective involves analyzing
efficiency of operations, effectiveness of organization,
and overall health of the organization
All organizations have “product” even if they focus on
services
Goal identification in systems-based organizational
consultation is a function of input/output boundaries
Conducting a Systems Analysis of an
Organization (Brown et al, 2001, p. 95)
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Conduct a general review of the organization
Identify input/output boundaries
Identify the goals of the organization
Identify target groups
Describe external support
Describe production processes
Identify feedback mechanisms
List organizational constraints
Principles of Organizational Change
(Brown et al, 2001, pp. 100-104)
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Accommodating organizational variables
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Decentralized organizations are most open
to change; autocratic and centralized
organizations have rigid roles and functions
Designing interventions
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Most successful interventions cost less,
increase worker comfort, do not threaten
traditional roles, and can be communicated
easily
Principles of Organizational Change
(Brown et al, 2001, pp. 100-104)
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Managing resistance
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Best to recognize it’s always there and find
constructive means to resolve fears and conflicts;
information & communication are essential
Locating the consultant
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Generally beneficial to come from outside the
organization or the subsystem in question; cadre
of consultants, external and internal
Principles of Organizational Change
(Brown et al, 2001, pp. 100-104)
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Leading the change effort
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Gaining formal and informal support of
leadership is essential to planned change
Reinforcing the change effort
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Sustaining motivations to change based on
systems of extrinsic and intrinsic rewards
Principles of Organizational Change
(Brown et al, 2001, pp. 100-104)
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Maintaining the systems perspective
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Successful consultants are able to change
the operations and perspectives of the
consultees; systems perspective helps all
see the big picture
Interventions in Organizational
Consultation (Dougherty, 2005, p. 250)
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Organizational diagnosis
Team building
Intergroup activities
Survey feedback
Management training
Organization restructuring
Role negotiation
Sociotechnical systems design
Planning and goal setting
Counseling
Schein’s (1999) Models of
Organizational Consultation
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Purchase of expertise model
Doctor-patient model
Process model
Purchase of Expertise Model
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Education/training consultation
Program consultation
Doctor-Patient Model
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Organizational diagnosis
Healing sick organizations
The Process Model
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Helping the consultee to become more
effective in decision making and/or problem
solving process
Change occurs only if the consultee is
involved in diagnosing the problem and
generating solutions
By focusing on the how rather than the what
of problem solving, the consultant and client
are able to collaborate
Trends in Organizational
Consultation
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Organizational consultants will continue to
“wear many hats” in addressing complex OD
problems
Combination of process consultation with
other models
Performance consultation focused on
demonstrating skills rather than traditional
education and training
Increasing involvement in organizational
consultation within schools
Stages in Consultation
Stages of Consultation: A Generic
Model (Dougherty, 2005, pp. 43-134)
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Entry
Diagnosis
Implementation
Disengagement
Phases of Entry Stage
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Exploring organizational needs
Contracting
Physically entering the system
Psychologically entering the system
Phases of Diagnosis Stage
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Gathering information
Defining the problem
Setting goals
Generating possible interventions
Phases of Implementation
Stage
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Choosing an intervention
Formulating a plan
Implementing a plan
Evaluating the plan
Phases of Disengagement
Stage
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Evaluating the consultation process
Planning postconsultation matters
Reducing involvement and following up
Terminating
Preparing for Resistance to
Entry and Change
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Resistance is the failure of a consultee or
organization to participate constructively in
the consultation process (Wickstrom & Witt
as cited in Dougherty, 2005, p. 50)
All organizations must adapt to change;
therefore, resistance is a normal process
Issues of power, control, and conflict
exacerbate resistance
Ongoing communication decreases resistance
Consultee Resistance
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Failure to perceive near future benefits
Misperceptions regarding the nature of
consultation
Perceptions regarding the acceptability of a
particular intervention
Emphasis on persuasion or manipulation
rather than creating consultee choices
Dissonance in underlying concepts and basic
assumptions
Entry Stage
Start-up Activities
Phase One
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Should consultation take place?
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Congruence in value systems
Resources committed to change
Flexibility in organization
Mutual understanding of expectations
Organizational structure permits effective
communication
Phase One Questions
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Why am I here?
Who are you?
What is likely to happen?
What will be the result?
What can go wrong?
Phase Two
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Contracting
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Formal, legal aspects
Psychological aspects
Elements of a contract
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Goals and time parameters
Consultant and consultee responsibilities
Consultant boundaries
Review and termination
Phase Three
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Physical locus of consulting effort
Site visitation
Involvement in work processes
Office and support services
Phase Four
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Psychological entry involves gradual
acceptance of consultant within existing
organizational structure
“Joining without jargon”
“Working smart without being phony”
Involvement in informal and formal
relationships within the organization
Interpersonal influence process
Interpersonal Influence
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Social influence theory asserts that
people affected by consultation are
more open to influence by competent,
attractive, and trustworthy consultant
Influence is planned without being
controlling, manipulative, or deceptive
Sources of power or influence: expert
power, relational power, coercive power
Interpersonal Influence
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Behavioral change may require initial
changes in attitude or evaluative beliefs
Motivating consultees for change
requires their thoughtful involvement in
the planning and problem solving
processes
Multicultural competence involves
avoidance of stereotyping and biases
Diagnosis Stage
Core of Professionalism
Phase One
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Methods of gathering information as
important as the results of process
Problem conceptualization delimits the
change effort
Consultant and consultee jointly determine
what are relevant, useful, and persuasive
data
Initial scanning involves looking at the “big
picture” and selecting targets for assessment
Various types of data are available
Data Gathering Methods
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Documents and records
Questionnaires and surveys
Interviews
Observation
Phase Two
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The importance of defining effectively
the problem cannot be overemphasized
Definition of problem determines range
of possible solutions
Systems approach may help
Prioritizing is essential in multiproblem
setting or situation
Phase Three
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Goal setting involves specifying goals,
objectives, standards, and time lines
Goals should be written such that
attainment can be measured and
monitored
Anticipating and neutralizing obstacles
should be part of effective goal setting
Phase Four
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Generating possible alternatives involves
selecting tasks and interventions that
facilitate goal attainment
There is a creative process in generating
alternatives (e.g., brainstorming)
Consultants should use interventions that are
evidenced-based or empirical whenever
possible
Implementation Stage
The Action Stage
Phase One
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Consultant helps consultee understand
range of options in choosing an
intervention
Consultant facilitates a decision-making
process
Chosen intervention(s) would ideally fit
the skills, expectations, and preferences
of workers/clients
Guidelines for Selecting
Intervention
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Use positive interventions first
Avoid complex and intrusive interventions
Incorporate skill-building in daily routine
Promote efficient interventions that require
the least time and effort
Select empirically supported interventions
Choose intervention that best fits the
consultee
Types of Interventions
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Individual
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Dyadic and Triadic
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Academic
Behavioral
Case consultation
Third-party peacemaking
Groups and Teams
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Team building
Nominal group technique
Quality circles
Work teams
Types of Interventions
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Between Groups
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Intergroup team building
Organizational mirroring
Entire Organization
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Total quality management
Action research
Parallel learning structures (Collateral
organization)
Strategic planning
Phase Two
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Formulating a plan involves step-by-step
method for accomplishing goals and
objectives
Good plans shape successful consultation
outcomes
Force field analysis (cf. Lewin, 1951) involves
identifying driving and restraining forces
Plans fail when they are too large, when
previous stages and phases incorporate
errors, and when system-wide dynamics are
underestimated
Phase Three
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Plan implementation requires sufficient
energy to enact interventions
Tactics or strategies may be employed to
adapt a plan to the current structure or
situation
Consultants must be available to “fine tune”
and “fire fight” in implementation phase (cf.
“Go live” demands)
Ongoing monitoring and measurement
Maintaining compliance and adherence
Treatment Integrity
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Degree to which intervention was
implemented as intended
Functional outcome analysis can
determine cost-benefit ratio for
interventions
Social validity or significance
Treatment acceptability and utility
Outcome or effect size
Phase Four
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Evaluating the plan facilitates recycling or
concluding
Evaluate the process (implementation) and
the outcome
Degree of goal achievement will be
determined (e.g., goal attainment scaling)
Standardized outcome assessments and
consumer satisfaction surveys are used
Disengagement Stage
Termination
Phase One
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Evaluating the overall consultation process
(e.g., reviewing an annual report)
Difficult to develop evaluation criteria or
conduct research concerning consultation
Formative evaluations are conducted as
consultation unfolds
Summative evaluation is completed at the
end
Evaluation may be quantitative or qualitative
with conventional methodologies or
specialized procedures
Phase Two
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Planning postconsultation involves
determination of the need for follow-up
contacts
Ideally change will be internalized or
institutionalized, requiring little or no
dependence on consultant
Phase Three
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Consultant reduces involvement: less
frequent visits, fading to consultee
control
Follow-ups may be formal or informal,
scheduled or determined on “as
needed” basis
Phase Four
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Termination is formal end to the project
Termination should occur when
outcomes are most beneficial and
consumer satisfaction is highest
Abrupt termination for whatever reason
can produce harmful effects
Team prepares for termination and
departure of consultant
Ethics, Professional & Legal
Issues
Ethics
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Code of conduct arising from underlying
values and professional standards
Mandatory ethics relate to laws, regulations
and minimal standards
Aspirational or virtue ethics relate to personal
values, morals, and norms
Ethical codes provide guidelines for discussing
and resolving ethical questions
Ethics
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Generally, members are bound to adhere to
the ethical codes of their professional group
(ACA, APA, NASP, ASTD)
There is no specific code of ethics for
consultants
The ACA code provides direction; “clients”
can refer to “consultees,” whether they are
individuals, groups, or organizations
Value Conflicts
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Differences in worldview
Differences in views of organizations
Differences in views of clients
Basic Ethical Principles
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Competence
Protecting the welfare of clients
Maintaining confidentiality of disclosures
Responsibility for public statements
Social and moral responsibility
Relationships with other professionals
Consultant Competence
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Active membership in professional
organization
Possession of license, certification or other
credential
Participate in continuing education
Secure consultation and supervision as
needed
Relevant training and experience
Adequate personal adjustment
Dual Relationships
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Sexual, romantic, social, and business
entanglements
Conflict in counseling and consultant
roles
Conflict in supervision and consultant
roles
Consultee Freedom of Choice
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Consultee decides what to do with consultant
recommendations
Consultant should not cultivate dependency
Egalitarian relationships without misuse of
power
Open, honest and direct communication
(minimum of strategy and indirect influence)
Other Ethical Issues
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Confidentiality
Informed consent
Multicultural sensitivity and competence
Evidence-based approaches or outcome
effectiveness
Internet and remote consultation
Malpractice Issues
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Misrepresenting training and skills
Improper assessment or treatment
techniques
Improper means to collect or distribute fees
Inappropriate public statements
Breach of contract
Failure to obtain informed consent
Failure to maintain adequate records
Providing poor advice, service, or product