Class 2
Basic Theories, Perspectives,
Concepts
SOCW 6371
Community and Administrative Practice
UTA School of Social Work
Dr. Dick Schoech
Suggest print Handouts, 3 per slide with grayscale setting
Copyright 2009. No Part of This Presentation May Be Used or Reproduced Without the Written Permission of Dr. Schoech
Overview of Class 2
 Theories
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Covered (See coursepack for review)
Systems (review), Planned change (review)
Contingency theory, TQM/continuous improvement
Organizational culture, Community power (review)
Theories of health promotion
Additional theories??
 Values/perspectives
http://www.cancer.gov/PDF/481f5d53-63df-41bc-bfaf-5aa48ee1da4d/TAAG3.pdf
(covered in coursepack)
– Evidence based/informed practice (EBP), win/win, strengths,
empowerment
Basic Terms
 Change
agent: Person(s) carrying out the
action/change
 Client or target system: The person(s)
benefiting from the action/change
 Action system: All those involved in the
action/change process
 Stakeholders: Key players in the action/change
process or those impacted by the condition or
action/change
Learning Objectives of Class
Be able to:
 Understand
principles of social work values
and how they influence CAP
 Understand principles of various
perspectives and how they influence CAP
 Understand basic concepts of several
theories and how they influence CAP
Values of Social Work: a review
 Core
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social work values are:
Service: all seek to improve humankind
Social and economic justice, human rights
Dignity & worth of person
Importance of human relationships
Integrity and competence in practice CSWE EPAS p6
Diversity: understand, affirm, respect differences
Democratic participation
– Review:
http://www2.uta.edu/cussn/courses/3306/
Use of Theory
A theory is a set of assumptions or principles that have
been repeatedly tested to explain or predict facts or
phenomena . Theories:
 Provide
a conceptual framework
 Provide a common vocabulary
 Guide actions
 Assist comprehension or judgment
 Challenge practice wisdom
 Provide framework to evaluate interventions
Contingency Theory
Or
It all depends on the situation
(e.g., based on the contingencies of this situation,
research/expertise suggests that this is the better
way to proceed)
Contingency Theory Basics
 Contingency=relationship
between 2+ phenomena; if one
exists, then conclusions can be drawn about the other
 Management
depends on the major contingencies (so you
must specify the contingencies).
 With
contingency theory, one tries to specify the
conditions under which something will more likely occur
 Example:
if a job is highly routine, then an innovative and
unstructured person will not be a good employee
Contingencies for HSOs
 Internal (from
– Goals
– People
– Tasks
– Technology
– Structure
inside the agency)
 External (from the
– Sociocultural
– Political forces
– Economic forces
– Technological forces
environment)
Contingency view of an agency
Environment
Political
forces and
institutions
Inputs of resources,
policy, theories,
values, etc.
Sociocultural
forces and
Institutions
Technological
forces and
Institutions
Technology
Tasks
Purpose/
goals
Structure
People/
manager
Outputs of services
provided, behaviors
changed, goals met,
rules/ethics
followed, etc.
Economic
forces and
Institutions
Internal Variable: Goals
 Economic-profit
vs. social/change

Well vs. ill defined (sober vs. QOL)

Few coordinated vs. multiple conflicting

High vs. low accountability

High vs. low effectiveness

High vs. low efficiency
Internal Variable: People
Very organized or unionized vs. not organized or
unionized
 Young vs. elderly
 High skills vs. low skills (dexterity, interpersonal,
reasoning)
 High vs. low needs for affiliation, power, achievementMcClelland
 High vs. low level of training/education
 Identity to a profession vs. identity to the organization
 Coherent values and culture vs. divergent values and
culture
 High payment for work vs. high use of volunteers

Internal Variable: Structure

Large vs. small

One vs. many locations--networked

Centralized vs. decentralized authority & power

Participatory management vs. no involvement of staff

Individual vs. team approach to work/problem solving

Well defined vs. informal rules/procedures

Many vs. few communication channels

Much interaction vs. little interaction between staff

Single vs. dual professional/administrative hierarchy
Internal Variable: Task
 Work
 New
with people vs. work with things
each time vs. repetitive
 Highly
 Well
structured vs. ill structured
defined vs. ill defined
Internal Variable: Technology

Complex vs. simple machinery used

High vs. low use of formalized knowledge and procedures

Use vs. do not use computers

Have vs. do not have a basic information system

High vs. low use of web technology

High vs. low use of technology to support management

High vs. low use of technology to support workers

High vs. low use of technology to interact with clients
External Variable: Sociocultural
 Sympathetic
public (disabilities) vs.
unsympathetic public (ex cons)
 Voluntary
 Client
client vs. involuntary client
has choice/input vs. no choice/input
External Variables: Economic
 Expanding
resources vs. contracting resources
 Resources
from another agency or government
vs. resources from general public (fund raiser)
 Client
pays vs. funding source pays
External Variable: Political
 High
regulations vs. low regulations
 Influenced
by elections vs. not influenced
by elections
 Services
politically charged vs. indifferent
public (planned parenthood)
External variables: technological
 Pressure
to automate (telehealth) vs. pressure
to not take money from services
 Technology
stable
changing rapidly vs. technology
Application: Contingency Theory
Given that
purpose of organization is service to clients
 people served are involuntary, vulnerable & reluctant to speak out
 people employed are young, altruistic, with BSWs
 task is to provide case management for the elderly
 service technology is complex, hard to quantify & support
 public has mixed feelings about mission & procedures [external
sociocultural]
 resources are from taxes & contracting [external economic force]
 agency has many regulations to follow [external political
influences]
then it makes sense that, or research shows that a bureaucratic
structures accomplishes missions better than an team structure

Total Quality Management (TQM)
also called
Continuous Quality Improvement
(CQI)
or
quality assurance (QA)
TQM — Definition
 TQM
is a philosophy of management based
upon the concepts of continuous quality
improvement of services.
 TQM
combines principles of the quantitative
and human relations schools of management.
TQM principles relevant to HSOs
(1 of 3)
 The
system (not person) is responsible for 80-90% of
performance
 Customers
defines quality (customers make good choices
but cannot design systems)
 Manager
continuously optimizes system on quality, not
efficiency or accountability
 Manager
focuses on long term improvement in agency
processes not objectives, quotas, slogans, targets, etc.
TQM principles relevant to HSOs
 Drive
out fear in the workplace
 Break
down barriers between departments
 Improve
using people closest to the change/action/work
 Encourage
 Profound
 Manager
(2 of 3)
pride in workmanship, prevent vs. correct
knowledge comes from outside system
like orchestra conductor--does not play but
insures all in tune, playing well, playing same music,
supporting each other
TQM principles relevant to HSOs
 Staff
(3 of 3)
do their best, but may be doing the wrong
thing
 Managers support not direct workers
 Managers do not rank workers based on
individual performance but on contribution to
optimizing agency goals (because 80-90% of
one’s performance is due to system)
 Use group vs. individual evaluations
 Use short term problem solving teams
Organizational Culture
Just as individuals are highly
influenced by their culture,
organizations develop cultures which
highly influence employees and their
actions. Sometimes culture is defined
by what is called a practice model
(CPS), e.g., family centered practice or
practice within systems of care.
Organizational Culture Basics
Rooted
in cultural anthropology
Cultures and subcultures exist in
organizations
Cultures are ways to perceive, think,
and feel in an organization
Culture guides behavior and is
informally passed down to new
employees, e.g., in break room
Org Culture: Definition
Culture consists of:
History, language, artifacts
Traditions, stories, values, attitudes,
beliefs, and myths
Behaviors, modeling, and norms
Rituals, rites, ceremonies, customs
The vision statement expresses the formal
culture, not the informal culture
Function of Organizational Culture
Provides
a sense of identity
Helps members make sense of
work and workplace
Controls and shapes behavior
Reinforces the values of the org
Insures ethical conduct
Relevance
 Culture
must be strong to avoid chaos

Culture must fit the environment

Culture is difficult to change

Should be expressed in the mission statement

Culture must be able to adapt and evolve

Example=CPS=high stress--but saving lives,
straight talking, etc.

Other examples?
Can change culture by
 Being
aware of the culture
 Changing
socialization of new employees
 Having
employees buy into a new set of
values and philosophies
 Changing
 Providing
symbols, rituals, artifacts, etc.
win/win and face saving options
to resisters of change
Planned Change Theory
Change is more likely to be
successful if it is planned using a
formal, structured processes
Change Theory Basics

Change of any client, from individual to community, follows a
similar process
– 3 step process=unfreeze, change, refreeze (Kurt Lewin-http://www.mansis.com/freeze.htm)
– Precontemplation, contemplation, preparation, action, maintenance
(Prochaska & DiClemente--http://www.cancer.gov/PDF/481f5d53-63df41bc-bfaf-5aa48ee1da4d/TAAG3.pdf)
– 8 step generic SOCW change process (next slide)



Completing/documenting all change steps increases success
Many strategies, skills, and tools are needed along the way
Implementing change is not intuitive but learned
Change Process (change more successful if process followed)
1.
2.
3.
4.
5.
6.
7.
8.
Engagement/sensing/establishing relationships
Clarifying overall direction & agreements
Assessment (strengths, barriers, needs)
Prioritizing needs and capacities
Intervention planning—design by building on
strengths to address needs
Implementation and goal attainment
Feedback, monitoring, and evaluation
Disengagement, termination, follow-up
Change more successful if (1 of 3)

One formally goes through more of the 8 stages

A powerful, guiding coalition has top level support

A change vision is created and communicated
 Those
impacted are involved

Those impacted feel ownership (it is their change)

Resistance assumed & tackled when first appears

The process empowers everyone rather than gives
power to some
Change more successful if: (2 of 3)

Continuous improvement methods are employed

Trial balloons/hypothetical speculation are used

Someone is responsible to push the change
 Change
is modular & modules are independent

Change supporters are rewarded (behavior mod)

Those who oppose the change are given face saving
options (win/win)
Change more successful if: (3 of 3)
Change is consistent with values of those impacted
 The change and change process is documented

– Get it in writing and develop a formal plan

Two way communication channels are open
– No surprises or hidden agendas
Change is formalized in policies, procedures, training
 Natural systems are available to support and
reinforce the change (strengths perspective)

Systems Theory
Everything is a system and
understanding how the rules by
which all systems operate help
understand systems and optimize
them
Systems Theory — Definitions
 Systems
are elements in interaction
 Systems thinking vs. traditional thinking
Characteristic
Overall view
Key processes
Type of analysis
Focus of investigation
State during investigation
Basic assumption
Problem resolution
Operation of parts
Traditional thinking
Reductionistic, focus is on the parts
Analysis
Deduction
Attributes of objects
Static
Cause and effect
A static solution
Optimal
Systems thinking
Holistic, focus is on the whole
Synthesis
Induction
Interdependence of objects
Dynamic
Multiple, probabilistic causality
An adaptive system or modeling
Suboptimal
Systems Types: Open Vs. Closed
 An
open system interacts with its environment
 A closed system receives no inputs from its
environment & entropy or decay sets in
 Systems have levels of being open or closed
 A variety of inputs is required to help a system
to remain open
 Suggestion: Keep human services as open as
possible until openness becomes a problem
Systems Concepts: Hierarchy
 Systems
are nested in a hierarchy, that is,
systems consist of subsystems and systems
operate within environments
 Example: human service agencies (systems)
often have a management hierarchy
(subsystem) and a professional hierarchy
(subsystem)
 Suggestion: Have one hierarchy & flatten it as
much as possible while still accomplishing
mission
Systems Concepts: Boundaries
 Boundaries
= interface between a system and
its subsystems or a system and its environment.
 Friction occurs at the boundaries of a system,
e.g., Where rubber hits the road, when planes
take off and land, between an agency and its
stakeholders.
 By examining the boundaries of a system, we
can often isolate the friction and its causes.
 Suggestion: Develop many boundary spanning
roles and activities
Systems Concepts: Inputs, etc.
 All
systems have inputs, processes, and
output.
 Suggestion:
By identifying and mapping the
cycles of inputs, processes and outputs, learn a
lot about how it behaves and what changes are
needed.
Systems Concepts: Goal Seeking

Systems tend to be goal seeking, that is, they move in the
direction of goal achievement.

Systems without well defined goals often go in many different
directions.

The primary goal of a system is survival. All goals will be
sacrificed in order for a system to survive.

Agencies often have multiple conflicting goals

Suggestion: Staff should know if and how their work
contributes to the goal of the agency.
Systems Concepts: Cybernetics
 For
a system to work properly, it must have
feedback and control mechanisms.

Cybernetics is the study of feedback & control

Suggestion: Feedback & control mechanisms should
– Capture information about system outputs and outcomes
– Evaluate that information using goal related criteria
– Use evaluative information as additional inputs
Systems Concepts: Equilibrium
 Systems
tend toward a state of non-change called
homeostasis or equilibrium.
 Thus,
we should assume that no system will change
unless it receives new inputs.
 Systems
that are most likely to change are those that
are failing (survival is threatened) and successful (can
risks without threatening survival)
Systems Concepts: Elaboration
 When
systems change, they tend to move in the
direction of differentiation and elaboration.
 Systems
like change only if it allows them to
become larger entities like themselves,
bureaucracies like to grow
 Suggestion:
Communities (which do not tend
to grow) should control agencies
Systems Concepts: Synergy
 Systems
working well experience synergy (also
called nonsummitivity) where the total system
output are greater than the sum of all inputs.
 For
synergy to occur, subsystems must not
maximize, but sacrifice and cooperate for the
good of the overall system, e.g., Teamwork.
 Suggestion:
If synergy is not occurring, then
leadership and system redesign is probably in
order.
Modern Systems Thinking

Innovation is more importation than optimization

It is more important to do the right job than to do the job right

Seeking opportunities is more important than solving problems

Seek sustainable disequilibrium to keep things in “churn”

To discover the unknown, must abandon the successful known

Things more plentiful are more valuable (fax machine)

Wealth follows things that are free (shareware)

Abandon a product/occupation/industry when it is best

Source: Kevin Kelly, Wired Magazine, Sep 97, p. 140+
Law of unintended consequence
 Law=any
change in a system has at least one
unforeseen consequence
– Windfall or serendipity, e.g., exercise improves
physical health & also is as effective as antidepressants in reducing depression
– Perverse effects, e.g., (1) abstinence only education
resulted in more unprotected sex & more variety in
adolescent sex behavior ; (2) empower the individual
and you disempower the group
Ecological Systems Theory

Applies systems to living systems and focuses on people
interacting with their environment

People must stay in ecological balance with their
environment for functional adaptation; Imbalances result
in dysfunctional adaptations

Programs must address the interaction of people in their
physical and sociocultural environments (person in
environment)

Programs must address neighborhoods, institutions, social
networks, and individuals to be successful
http://www.cancer.gov/PDF/481f5d53-63df-41bc-bfaf-5aa48ee1da4d/TAAG3.pdf
Community Power
Theory
Those who have power make
the decisions and those who
make the decisions have
power
Community Power
Power is perceived differently by different groups, e.g.,
phenomena of blind man and elephant
 A power elite exists based on traditions, wealth, etc.
 Those in key positions have power, e.g., mayor, city
council, etc.
 Those controlling key institutions have power, e.g.,
Chamber of Commerce, Police Dept, churches, etc.
 Those who are organized have power (unions,
ACORN)
Theories or Models of Health Promotion (gray triangles)
http://www.cancer.gov/PDF/481f5d53-63df-41bc-bfaf-5aa48ee1da4d/TAAG3.pdf
Change must focus on
attitudes, norms, and
perceived abilities as well
as knowledge (Ajzen &
Fishbein, 1973)
Change focusing
on the individual
alone will not be as
successful as those
involving family,
peers, school/work,
and the community
(NIDA, n.d.).
The Transtheoretical Model-- self-changers cycle
through the five stages: precontemplation,
contemplation, preparation, action, and
maintenance. Identifying and understanding stages
can help predict change success (DiClemente, et.
Source: Peng B. W. & Schoech D. (2008). Grounding online
prevention interventions in theory: Guidelines from a review of
selected theories and research. Journal of Technology in Human
Services, 26/2-4, 376-396.
al.1991).
Other theories
 Admin:
Theory X, Theory Y, and Theory Z
 Behaviorism (examine/control rewards/punishments)
 MBO (Management by Objectives)
 Social exchange, role theory, social learning-behavioral reinforcement
 Collaboration, coordination, networking
 Leadership theories (covered later)
 Power theories (Donald Trump style)
 White Knight theory (Just get the right CEO &
she/he will rescue the agency)
Summary of class
Theory and perspectives challenges our thinking about
practice
 Contingency Theory is very applicable to HSOs but
hard to apply
 TQM focuses our thinking on consumers and quality
 Org culture requires us to examine the beliefs, rituals,
etc. of people as they interact in the workplace
 Systems is an overarching theory
 We will use a performance management perspective

– Measurable performance standards tied to agency mission

Theory like religion is often preached but less often
applied