Book: Management of Human Service Programs
Judith A. Lewis
ACHIEVING AND MAINTAINING ORGANIZATIONAL EXCELLENCE
CHAPTER 12
The purpose of this book has been to provide professionals in human service programs with an introduction to the field of management. Several assumptions underlie this purpose. One is that professionals in service delivery, although for the most part trained as direct practitioners, stand a good chance of moving into managerial positions relatively early in their careers and therefore should have at least a rudimentary exposure to the theory and practice of administration.
The second assumption is that the helping professions, as a result of the first assumption, are responding to the challenge of management facing their members by providing formal training in this method of practice. Some graduate programs in social work, public administration or public affairs, not-for-profit management, and business administration offer specializations in management education for human service workers. This book is intended to contribute to the managerial con- tent of such programs from a human service perspective.
A third assumption is that HSO direct service staff with some management training and knowledge will be more aware of the context, system dynamics, and views of managers and other stakeholders of the organization. Such direct service workers, to the extent that they understand a managerial perspective and can incorporate this into their own worldview, will be more effective in influencing managers to make better decisions or to create or allow change to benefit clients and the community. These workers will also have deeper insight into the heretofore mysterious or inexplicable behavior of the managers in their organizations, which should help them both influence these managers and accept some organizational realities that cannot be changed, such as responding to accountability requirements of funding organizations.
We will now briefly review where we have been, starting with planning as a response to the complex human service environments and needs for service. We will look at how the design of organizations and programs should be based on chosen strategies, and we will consider the importance of other subsystems (human resources, information and evaluation, and financial systems). Finally, the need for constant organizational change and the essential role of leadership in pull- ing things together will be emphasized. Continuing in this vein, we will examine ways in which ongoing growth and renewal can occur at the individual, group, and organizational levels. After discussing the skills and education that human ser- vice managers will need in the years to come and how they can effectively make the transition to management, we will close with some observations on prospects in the future for human service administration.
HUMAN SERVICE MANAGEMENT FUNCTIONS: A SYSTEMS PERSPECTIVE
The most salient elements of the human service managerial process have now been covered in some detail. Together, these elements, or functions, constitute a managerial system. As part of a system, the managerial elements, or subsystems, comprise a set of interrelated and interdependent parts operating synergistically to produce efficient and effective organizational outputs and outcomes. All sub- systems of the managerial process—planning, budgeting, designing, staffing, supervising, evaluating—are critical to the viability of the overall system. Syn- ergy means that the effect of all the parts working together is greater than the
sum of the effects of the subsystems taken independently: in other words, the whole is greater than the sum of its parts. At the same time, however, synergy implies that a system’s strength is diminished by the weaknesses of its parts. Additionally, all the subsystems must be aligned with one another: they must be based on similar design principles and values and must be oriented toward the same goals.
The important implication of the systems approach for human service man- agers is that proficiency in allof the functions of the managerial process is essential for successful managerial performance. We will now take a final look at the human service management model presented in Chapter 1.
MANAGING THE ENVIRONMENT
A human service manager will need to monitor trends in the environment constantly, from the local and state levels to the federal and, sometimes, the global level. Political trends including devolution of formerly federal responsibili- ties, privatization of services, and increased accountability demands are likely to continue. Macroeconomic trends will always be relevant: in good times there may be increased funds for prevention, and in bad times less funding will be avail- able when it is needed most. Social and organizational complexity will, if any- thing, increase, requiring managers to look clearly at wider aspects of society and anticipate change further into the future. Needs assessments, asset mapping, com- munity collaboration, and advocacy will all help the manager and the agency deal with the environment.
PLANNING AND PROGRAM DESIGN
For the human service manager to survive and achieve in today’s human service organizations, he or she must have knowledge and skills in the planning process, including assessment of the environment; the determination of strategy and goals, and their alignment with organizational mission and purpose; and the specification of program objectives, based on program goals, and their formulation in measur- able terms. Strategic planning has emerged as an effective method for integrating the organization’s mission and internal strengths and weaknesses with opportu- nities and threats in the environment. Thoughtful attention must be paid to the consideration and selection of program models and activities (including their possi- ble social, economic, political, and legal consequences and the use of evidence- based practices) designed to meet program objectives and goals and to satisfy the organization’s mission.
ORGANIZATIONAL THEORY
Organizational theories—from the traditional bureaucracy and scientific management approaches, through the human relations insights from the Hawthorne studies, to con- temporary human resources approaches that maximize employee involvement—are all in evidence today. Systems theory and developments such as empowerment theory also offer useful perspectives for human service organizations. Contingency theory
sum of the effects of the subsystems taken independently: in other words, the whole is greater than the sum of its parts. At the same time, however, synergy implies that a system’s strength is diminished by the weaknesses of its parts. Additionally, all the subsystems must be aligned with one another: they must be based on similar design principles and values and must be oriented toward the same goals.
The important implication of the systems approach for human service man- agers is that proficiency in all of the functions of the managerial process is essential for successful managerial performance. We will now take a final look at the human service management model presented in Chapter 1.
MANAGING THE ENVIRONMENT
A human service manager will need to monitor trends in the environment constantly, from the local and state levels to the federal and, sometimes, the global level. Political trends including devolution of formerly federal responsibili- ties, privatization of services, and increased accountability demands are likely to continue. Macroeconomic trends will always be relevant: in good times there may be increased funds for prevention, and in bad times less funding will be avail- able when it is needed most. Social and organizational complexity will, if any- thing, increase, requiring managers to look clearly at wider aspects of society and anticipate change further into the future. Needs assessments, asset mapping, com- munity collaboration, and advocacy will all help the manager and the agency deal with the environment.
PLANNING AND PROGRAM DESIGN
For the human service manager to survive and achieve in today’s human service organizations, he or she must have knowledge and skills in the planning process, including assessment of the environment; the determination of strategy and goals, and their alignment with organizational mission and purpose; and the specification of program objectives, based on program goals, and their formulation in measur- able terms. Strategic planning has emerged as an effective method for integrating the organization’s mission and internal strengths and weaknesses with opportu- nities and threats in the environment. Thoughtful attention must be paid to the consideration and selection of program models and activities (including their possi- ble social, economic, political, and legal consequences and the use of evidence- based practices) designed to meet program objectives and goals and to satisfy the organization’s mission.
ORGANIZATIONAL THEORY
Organizational theories—from the traditional bureaucracy and scientific management approaches, through the human relations insights from the Hawthorne studies, to con- temporary human resources approaches that maximize employee involvement—are all in evidence today. Systems theory and developments such as empowerment theory also offer useful perspectives for human service organizations. Contingency theoryenables organization designers to select the most appropriate theories and models for a particular situation.
ORGANIZATION DESIGN
Organization design, as we pointed out earlier, is both a noun and a verb. As a noun, it describes the two components of an organization’s design: structures, represented by organizational charts, and processes such as decision making and communication that cannot be seen on a chart. As a verb, organization design is the process for determining how the different parts will be organized and work together. Staff task forces can be formed to develop a design that proposes the best structures and processes for an organization at a given time.
HUMAN RESOURCE DEVELOPMENT
SUPERVISION
After the overall organization is designed to fit agency strategies and programs, individual jobs must be designed to fit the model chosen for a particular program. Jobs should be designed to accomplish program purposes and be fulfilling for staff. Then, criteria for jobs must be developed and staff must be hired. New staff mem- bers need to be oriented, and an ongoing program of staff training and develop- ment should be created. Staff should be evaluated annually, using behaviorally based formats. Striving for a diverse agency workforce is important. This will ensure compliance with relevant laws and executive orders and also increase the likelihood that the workforce will be able to respond to clients in culturally appro- priate ways. The use of volunteers and employee assistance programs are other important aspects of human resource management.
Human resources are nurtured through the supervision process. An effective su- pervision relationship begins with the use of appropriate models of motivation and leadership. Contingency theory operates here: no two workers are motivated in the same way, and various styles of leadership may be appropriate depending on the situation. Staff members also need to be rewarded fairly and appropriately. Attention to all of these factors will contribute greatly to the effectiveness of a pro- gram’s services by valuing and fully using staff—the agency’s most important resource.
FINANCIAL MANAGEMENT
After the program model has been identified and the necessary staff selected, budgeting can begin, usually by estimating expenditures. An annual budget is created and may be updated during the year. Specialized techniques such as cutback manage- ment, zero-based budgeting, and cost-effectiveness analysis can at times be useful as aids to decision making. Fund-raising and writing proposals for grants or contracts are key management activities. Part of the accountability process is the preparation of periodic financial reports and the completion of an annual fiscal audit.
INFORMATION SYSTEMS
A well-designed information system can enhance an organization’s effectiveness and responsiveness and raise an employee’s sense of satisfaction and purpose. Man- agers should bear these points in mind to avoid having an information system designed only to meet external accountability and evaluation needs without being fully valued or supported by staff. An IS should be designed with careful attention to information needs (related to program outcomes, for example) and should include significant participation by staff who will be using the system. Such a sys- tem will probably involve the use of computers, the potential applications of which are increasing daily. The system should meet both internal needs (for feed- back, program modification, and employee satisfaction) and external needs related to accountability and program evaluation.
PROGRAM EVALUATION
Evaluations may have several purposes, ranging from aiding in decision making and improving programs to building support and demonstrating accountability. Evaluations may look at processes or outcomes. There is increasing interest in out- come evaluation. Using evaluation findings for program enhancement, involving all significant actors in the evaluation process, and taking multiple approaches in the determination of service effectiveness are key considerations that today’s human service manager must address in the quest for organizational achievement.
Evaluation takes us full circle. We began by assessing the social problems in our environment that human services are intended to address, and then discussed how agencies can respond to these needs through agency planning and program design. We then reviewed aspects of well-designed organizations, including effective human resources and supervision practices and financial and information systems to monitor progress and accomplishments. Ultimately, the implementation of these systems and their results are assessed by evaluation.
LEADERSHIP AND ORGANIZATIONAL CHANGE
Leaders can make essential contributions to organizational effectiveness. In today’s dynamic human service environment, change is a constant, and leaders play key roles as change agents in their organizations. In addition to leaders, other staff, even at the line level, can and should function as change agents. Occasionally consultants can pro- vide valuable outside expertise to aid change processes. Planned change processes can help keep the organization maximally effective and responsive to its environment.
We will now take a final look at the importance of leadership in human service management and then review some specific ways in which individuals, groups, and the organization as a whole can engage in ongoing change and development.
PUTTING IT ALL TOGETHER THROUGH LEADERSHIP
The human service managerial system of interdependent and interacting elements is depicted in model form in Figure 12.1. It should be clear that leadership, at the
center, is the unifying force among all the organizational subsystems. A key challenge for the organization, and particularly for managers/leaders, is to achieve and main- tain alignment among the functions. As we suggested in the previous chapter, top- level leadership is essential, but leadership throughout the organization, by many individuals, is equally essential. Leaders need to make sure that each subsystem is functioning well and that the subsystems are aligned, or functioning in harmony.
Leadership
FIGURE 12.1 | A CONCEPTUAL FRAMEWORK FOR HUMAN SERVICE MANAGEMENT
For example, a well-conceived strategic plan will go nowhere unless there are well-designed programs to implement strategies. Well-designed programs cannot be monitored unless an outcome-based information system is in place to allow tracking of activities and results. If staff members are not trained to implement the service delivery models in use, good results are not likely. If funds are not allocated to high-priority activities, failure and cynicism may result. If teamwork is preached but staff members are rewarded only on the basis of individual performance, team- work will not occur. If effective evaluation systems are not in use, managers and other staff members will not be able to answer questions regarding what has
been accomplished: whether client and community problems have been solved and strategies have been successful. If there is a culture of attention to process rather than to results, or if going through the motions rather than innovating seems to be the norm, the organization will stagnate.
Leaders need to pay constant attention to all the subsystems and to organizational climate and the quality of working life to ensure that success will occur. This requires, first, good management and good management systems. Leadership to articulate orga- nizational purpose, visions, and values and to manage constant change will be needed as well. We will now look at some of the ways that organizational excellence can be achieved and maintained at the individual, group, and organizational levels.
GROWTH AND RENEWAL FOR THE MANAGER
A human service worker intending to enter management should expect to develop skills in the areas outlined in this book. Additionally, some studies have been con- ducted about the particular skills needed on the part of human service managers. For example, Menefee (2009) reports that the social work manager’s role is varied, requiring a multitude of technical and interpersonal skills. Some of the skills found to be important were communicating, supervising staff, boundary spanning, plan- ning, organizing, team building, and advocating.
To be effective in the demanding arena of human services, managers clearly will need a good deal of education, development, and training. In addition to enrolling in a university program offering specialized management education for the human services, a manager can take advantage of workshops, continuing edu- cation, or certification programs locally or nationally. A large city may have capac- ity building organizations offering workshops on not-for-profit management subjects ranging from leadership and strategic planning to financial management and writing grant proposals. Nationally, professional organizations (some listed at the end of this chapter) are valuable resources. The Network for Social Work Man- agers has established the Academy of Certified Social Work Managers to help ensure the competence of social work managers.
Formal leadership development programs (Hernez-Broome & Hughes, 2004; Van Velsor, McCauley, & Ruderman, 2010) are available through specialized training organizations, in-house programs for a particular organization, and con- sortia in which similar organizations pool resources. In the human services field, a large-scale executive development program for county managers has operated in the San Francisco Bay area since 1994 (Austin, Weisner, Schrandt, Glezos-Bell, & Murtaza, 2006). A similar program has operated in Southern California since 2005 (Coloma, Gibson, & Packard, 2011). It should be noted that formal training programs are often considered to be only a minor part of leadership development (McCauley, 2008), with on-the-job experiences, challenges, setbacks, and learning from others seen as more important.
Leadership development can include several components, often including some combination of off-site training/development programs; multisource or 360-degree feedback; the use of instruments filled out by individual participants on their man- agement styles or characteristics; executive coaching; mentoring; assessment cen- ters; action learning such as real-world problem solving, which includes an explicitfocus on what is being learned from the experience; and plans for applications of new knowledge and skills on the job.
Training programs are probably the most common leadership development activity. These often include presentations on leadership models, assessment instru- ments on styles, structured experiential learning, and group discussions. However, structured sessions alone are not adequate for substantive development of a leader. They need to be augmented by other activities.
360-degree feedback involves using standardized management style or behavior instruments that are filled out by the manager and his or her supervisor, subordi- nates, and peers (Richardson, 2010). Instruments used typically let raters describe managerial behaviors observed and provide an assessment of their perceived effec- tiveness. Results are collated by a consultant or training organization and fed back to the manager anonymously. The consultant providing the feedback then helps the manager process the results and decide on action steps to improve skills or adjust styles.
Instruments used in 360-degree feedback may describe a manager’s behaviors (for example, his or her perceived effectiveness in delegating, assigning work, supervising, and working with others) or the manager’s personal styles of interact- ing with others. One common instrument for the latter is the Myers-Briggs Type Indicator (MBTI) (Hirsh &Kummerow, 1998). The MBTI, based on the work of C. G. Jung, measures eight personality preferences on four bipolar scales. Results can be interpreted to identify strengths and preferences in the workplace, suggest- ing preferred work settings and opportunities for development.
Focusing only on identifying strengths, the StrengthsFinder (Buckingham & Clifton, 2001) identifies a manager’s “themes,” ranging from achiever and analyti- cal to self-assurance and strategic. Based on an individual’s profile, strategies can be developed to build on strengths in the work setting.
In any such instrument, profiles show characteristics that tend to work best under particular circumstances. The challenge is not to change to a “better” style but rather to become aware of strengths and cautions in one’s preferred style and perhaps develop other styles, and then to use styles consciously, deliberately trying to meet the needs of a situation.
Other important leadership development activities are coaching and mentoring. Executive coaching is probably the fastest growing leadership development model (McCauley, 2008). Coaching involves a consultant working with a manager to help improve the manager’s effectiveness. In contrast, mentoring involves a senior person in an organization working with a manager as mentee and focuses on career development, support, role modeling, and advising.
A final important component of leadership development is action learning. This involves a group of participants in a leadership development program being given responsibility for addressing assigned organizational problems and develop- ing creative solutions. The process is later debriefed to identify individual and col- lective learning (McCauley, 2008).
In addition to activities such as these, McCauley (2008), after a study of the lit- erature, reports five major categories of developmental events. One, coursework in training programs or advanced degree programs, was mentioned earlier. Others include challenging assignments, the influence of other people including bosses and
role models, experiencing hardships such as downsizing or difficult subordinates, and personal life challenges.
McCauley adds that successful leadership development includes alignment of leadership development objectives with business strategies, top-level executive support, shared responsibility between line managers and HR staff, manager accountability for the development of subordinates, competency models, multiple development methods, and evaluation.
TEAM DEVELOPMENT
The importance of group dynamics has been acknowledged in organizations since at least the Hawthorne studies of the 1920s. More recently, it has become clear that in today’s complex and dynamic organizations, teams are becoming an essen- tial element of ensuring that the work of the organization is getting done. In orga- nizations, many work groups hold meetings and perform activities involving communication and discussion. However, as any member of an organization can attest, not all work groups are teams. According to Johnson and Johnson (2009), in a work group,
interdependence is low and accountability focuses on individual members, not the group as a whole. The product of a working group is the sum of all the work produced by its members. Members do not take responsibility for results other than their own. Members do not engage in tasks that require the combined work of two or more members. In meetings, members share information and make decisions that help each person do his or her job better, but the focus is always on individual performance (p. 527).
In contrast, Johnson and Johnson suggest that a team “is more than the sum of its parts” (p. 528) and that for a team,
there must be a compelling team purpose that is distinctive and specific, and that require the joint efforts of two or more members as well as individual work products. Teams not only meet to share information and perspectives and make decisions, they produce discrete work products through members’ joint efforts and contributions. (p. 528)
Of course, not every work group needs to be a team in this sense: many work units meet to exchange information, solve problems, and make decisions without needing to become a team in the pure sense. However, as organizational environ- ments become more complex and staff members become more interdependent, the extra effort it takes to truly become and operate as a team may pay off in greater organizational effectiveness and efficiency, and perhaps an improved quality of working life for staff.
Teams can be intact work groups that do some amount of shared work (for example, staff in a residential program), interdisciplinary teams in which people from different professions work with common clients (such as in a mental health program), cross-functional teams that meet to coordinate functions across organi- zational boundaries (management teams consisting of different program managers in an agency, for example), problem-solving groups (ad hoc groups to solve partic- ular problems), or permanent teams (for instance, quality improvement groups).
Johnson and Johnson offer several suggestions for forming teams:
- Keep the size of teams small…. 2. Select team members on the basis of their (a) expertise and skills and
(b) potential for developing new expertise and skills, not on the basis of
their position or personality…. 3. Bring together the resources the team will need to function, such as space,
materials, information, time-lines, support personnel, and so forth.
For structuring and nurturing the teams, they suggest the following:
- Present the team with its mission, structure positive interdependence among group members….
- Have frequent and regular meetings that provide opportunities for team members to interact face-to-face and promote each other’s success….
- Pay particular attention to first meetings….
- Establish clear rules of conduct….
- Ensure accountability by directly measuring the progress of the team in
achieving its goals and plot it on a quality chart….
- Show progress….
- Expose the team to new facts and information that helps it redefine and
enrich its understanding of its mission, purpose, and goals…
- Provide training to enhance both taskwork and teamwork skills….
- Have frequent team celebrations and seek opportunities to recognizemembers’ contributions to team success….
- Ensure frequent team-processing sessions. (p. 537)Work groups wanting to move toward becoming teams may benefit from an organization development intervention known as team building (Dyer, 1995). In this context, team building consists of identifying team members, making a com- mitment to the process, gathering data from team members, feeding data back to the team, joint problem solving or visioning, and action planning. Team building is best accomplished in a workshop setting, away from the work site, for a one- to three-day block of time, and usually involves an organization development consultant. Such a workshop, if successful, can provide the foundation for team- work on an ongoing basis in the work setting. Team-building sessions can be used for existing work groups wanting to improve their functioning or a newly formed team.
Any work group or team operates within the context of the larger organiza- tion, which, depending on organizational culture and leadership, can enhance or stifle team behavior. A manager leading a team also functions as a boundary man- ager with other parts of the organization, which may at times involve negotiating on behalf of the team in furtherance of team goals. In an organization that is not supportive of team functioning, this role will, of course, be difficult to carry out, and this lack of support may need to be addressed through one of the organiza- tional change activities discussed in the previous chapter. Fortunately, organiza- tional cultures supportive of team behavior are increasingly seen as not only desirable but also essential to the accomplishment of the work of today’s complex organizations.ENSURING THE ONGOING GROWTH OF THE ORGANIZATION
ORGANIZATIONAL LIFE CYCLES
Theories of organizational life cycles suggest that organizations must be constantly alert to changes in their environments and internal conditions and must adapt effectively to survive and grow. Vinokur-Kaplan and Miller (2004) provide a useful model for describing the life cycle stages of a human service organization. At the start up, or organizational infancy, stage, the organization is entrepreneurial, with little structure, and uses informal managerial processes. The goal here is survival: creating and marketing programs.
In the emerging growth, or organizational youth stage, collective or pre- bureaucratic structures and systems emerge. Things remain mostly informal, with some procedures developed. The goal at this stage is growth, and leaders need to begin to delegate while retaining basic control.
At the next stage, maturity or organizational adulthood, formal and bureau- cratic systems are developed, with clear hierarchies, divisions of labor, rules, proce- dures, and control systems. The organization now focuses on developing internal stability while expanding services. Finally, the organization reaches revival, or organizational maturity. If over-bureaucratization can be avoided, effective struc- tures are developed, with teamwork and departmentation to ensure responsiveness to various client target populations.
As the growing organization moves into the maturity stage, it may risk taking a turn toward an overly bureaucratic stage, in which standardized procedures may sti- fle initiative, creativity, or responsiveness to change. If this happens, the organization enters a stage of decline or stagnation in which the status quo is protected. If this sit- uation is not corrected, the organization may become irrelevant or ineffective, and go out of existence. The important point is that decline and stagnation can be pre- vented by revitalization, which can occur through quick and appropriate responses to environmental changes and a reexamination of the organization’s mission, pro- grams, and operations so that appropriate organizational changes may be made.
The mature organization needs to develop renewal capabilities including organi- zational learning systems, proactive management of the environment such as strategic management and client responsiveness, visionary leadership, and attention to mana- gerial succession (developing lower-level staff as leaders of the future). This strategy will lead to new strategies and programs, with mergers or collaborations with other agencies becoming increasingly common. Employee empowerment and increased involvement with the community are additional activities that can contribute to renewal. In addition to performing environmental intelligence-gathering activities such as strategic planning, the manager also needs to monitor internal organizational conditions such as morale and productivity to be able to adapt effectively
EMPLOYEE ATTITUDE SURVEYS
A popular method for assessing the internal climate of an organization is the employee survey, known as survey feedback (Burke, 2008). This is an organization development intervention with a rich history of usefulness. As is the case with other organization development activities such as team building, such a survey is bestconducted with an experienced consultant’s assistance. It should begin with a serious discussion within the organization, ideally at all levels, about the organiza- tion’s need to learn about its functioning and level of commitment to making change. Top management support will be required (the “sponsors” of the process discussed in the previous chapter), and there will need to be “champions” in the form of staff assigned to fill leadership roles in the design and implementation of the survey. An organization-wide steering committee may be formed to provide overall policy direction and guidance, and a survey team is often responsible for the design of the survey and its implementation.
A qualified organization development consultant can assist an organization in defining goals of a survey, finding or creating an appropriate instrument, adminis- tering the survey, compiling results, and facilitating feedback sessions.
An employee survey may have questions that solicit employees’ opinions on any aspect of an organization’s functioning, including views on the mission, leader- ship behavior, processes such as hiring and promotions, facilities and equipment, supervisory styles, work group climate, and quality of working life factors ranging from pay to the job itself. Surveys are completed anonymously and returned to the consultant for data collation and analysis. Consistent with the action research pro- cess reviewed in the previous chapter, anonymous data are fed back to the organi- zation for discussion and action planning. Data feedback begins with the executive management team, the steering committee, and the survey team. Data are then fed back to all work groups in the organization. Members of a work group normally receive data for the organization as a whole and for their own work group. The use of the survey in identifying opportunities for change is crucial: if no actions fol- low the survey, employees are likely to become disillusioned. Problem solving in the context of a change process should occur, and the survey should ideally be repeated after an appropriate interval—usually, 12 to 18 months—to assess changes. Some organizations conduct surveys on a regular basis to monitor organi- zational conditions.
THE MANAGEMENT AUDIT
Another way to assess how an organization is functioning is the management audit (Allison & Kaye, 2005; Packard, 2000). Traditionally, management audits are conducted by consultants who examine agency documents, observe agency processes, and interview staff. They then prepare a report for management outlin- ing findings and recommendations. This is the “expert” consultation mode described by Yankey and Willen in the previous chapter. An alternative is to have a manage- ment audit done participatively, with staff involved with its design and implementa- tion, much as an employee survey is conducted. The key factors are that the method used and the criteria being assessed need to be seen as valid and appropriate by mem- bers of the organization, so that the findings will be seen as relevant and legitimate.
A management audit format that has been used in human service organizations appears in the Appendix of this text. Such a form may be filled out by any mem- bers of the organization who have knowledge of the factors under consideration. As in the case of a survey, results can be collated by a consultant for feedback to staff. Of course, any staff members that have provided data for a management
audit will expect to see the findings and will expect to see action taken. Problem- solving groups or task forces can be formed to address weak areas in the agency’s management systems. For example, in one agency, a management audit revealed deficiencies in the agency’s evaluation system, which gathered data only on client demographics and units of services. The executive director formed a task force to improve the evaluation system, and the agency implemented recommendations from the task force.
CULTURAL COMPETENCE ASSESSMENT
Another way in which the organization may evaluate its internal operations is a cultural competence assessment (see the National Center for Cultural Competence website at the end of this chapter). This may be implemented using the same proce- dures as those used in a management audit. Usually such an assessment looks at all aspects of cultural competence, from governance and policy to management and service delivery concerns. In one agency, an assessment of cultural competence made explicit what had been obvious but unacknowledged: the agency’s staff mem- bers were almost all white women, and the agency’s client population had become increasingly diverse. Highly committed to being responsive to the community, the agency formed a diversity committee, chaired by the agency executive, to develop strategies for making the agency more diverse and culturally competent.
THE LEARNING ORGANIZATION
The concept of the learning organization was mentioned in Chapter 9, which ended with a broadening of focus from data to the use of knowledge. Although the learn- ing organization has been connected to information systems by Poertner and Rapp (2007), who assert that “a learning organization takes periodic readings on its per- formance and makes adjustments so that performance is improved” (p. 191), our focus here is being broadened beyond client information systems to examine how the organization as a whole can engage in ongoing learning to improve its opera- tion and effectiveness. This is an important principle for managers, whose job it is to help staff and the organization remain intently focused on the organization’s purpose and objectives and on getting and using feedback to improve performance, make adjustments, and reward employees.
The term learning organization was first popularized in Senge’s (2006) The Fifth Discipline. A similar term, organizational learning, has recently become even more common (Austin & Hopkins, 2004). Definitions of these terms and the dis- tinctions between them are still evolving. In the simplest terms, a learning organiza- tion “is an organization that is ‘skilled at creating, acquiring, and transferring knowledge, and at modifying its behavior to reflect new knowledge and insights’” (Garvin, quoted in Austin & Hopkins, 2004, p. 11); and organizational learning is “the process of improving actions through better knowledge and understanding” (Fiol& Lyles, quoted in Austin & Hopkins, 2004, p. 12). More specifically, orga- nizational learning, according to Argyris and Schon (1996), “refers broadly to an organization’s acquisition of understandings, know-how, techniques, and practices of any kind and by whatever means” (p. xxi). They also make a distinction
between single-loop and double-loop learning, with the former involving relatively simple adaptations and changes and the latter requiring an examination of the underlying theory in use that determines why the organization acts as it does. For example, discovering that 275 sign-offs are necessary to approve an innovation and changing this procedure would involve single-loop learning, whereas examin- ing how people in the organization allowed this situation to develop would involve double-loop learning (p. 21).
Regarding organizational performance, Poertner and Rapp (2007, pp. 191–197) assert that this kind of organizational learning requires an organizational culture that supports learning, managers with skills and knowledge about performance man- agement, and an information system to provide data on performance.
According to DiBella and Nevis (1998):
there are three essential criteria of organizational learning: First, new skills, attitudes, values, and behaviors are created or acquired over time…. Second, what is learned becomes the property of some collective unit…. Third, what is learned remains within the organization or group even if individuals leave. (pp. 25–26)
They suggest that organizational learning involves 10 factors or steps. First, information is gathered about conditions outside the work unit, followed by an assessment of the identified gap between current and desired performance. Dis- cussion about how key factors are defined and measured ensues, followed by discus- sion of creative new ideas. The organization must foster a climate of open communication and provide resources necessary for continuous education. Mem- bers must be open to the consideration of new and different ideas and methods, and leaders need to be personally and actively involved in maintaining the learning environment. Finally, a systems perspective (Senge, 2006) is necessary to recognize interdependence among units. Systems thinking and organizational learning are complicated concepts. Senge and his colleagues at the Society for Organizational Learning offer a range of resources and publications through their website, which is included at the end of this chapter.
There have been some applications of organizational learning principles in the human services, with Austin & Hopkins (2004) reporting several.
Learning organization applications are likely to become more common in human service organizations, and managers should become aware of these ideas so that they can make thoughtful choices about attempting to use them and avoid incomplete or inadequate applications of a complex process.
We have now reviewed growth and development concerns and strategies at the individual, group, and organizational levels. One final developmental process remains for our consideration: the transition that a human service worker makes from direct service to management.
TRANSITIONING TO MANAGEMENT
As direct service workers face the challenge of management and the need to broaden their managerial knowledge and skills, they concomitantly become increas- ingly aware of the complexity of their organization and its environment. Ascending the agency hierarchy often reveals issues and dimensions of organizational life
previously obscured at the worker level. The move from service provider to man- ager brings an expanded awareness of the constraints and contingencies facing the organization. The higher the ascent, the broader the view; the broader the view, the greater the responsibility for dealing with the issues relevant to that level of the organization’s hierarchy.
Moving from human service direct practitioner to manager entails a number of challenges. Not only must the neophyte manager learn to master a new technology— the technology of managing human service programs—but the manager-cum-clinician must also direct his or her attention to a new client system—an organizational unit or program. Promotion also means, in most cases, the acquisition of posi- tional authority and responsibilities much greater than those that devolve to the direct practitioner. If the manager is to be effective, he or she must develop skill in the use of newly acquired authority and power. Moreover, the manager must be able to exert expert power; that is, he or she must demonstrate to subordinates mastery of the technologies they employ. In addition, the manager is expected to embrace the agency’s mission and goals and to represent administration in the implementation of policy formulated at the top.
Perlmutter and Crook (2004) note the importance of role changes that a worker promoted to management experiences: the direct service worker focuses on individual clients or client groups, whereas the perspective of the administrator gets broader at each level up the hierarchy. An important implication here is that a manager may have a more difficult time setting priorities, but also he or she has staff members to whom tasks may be delegated.
Another factor that changes with a rise in the hierarchy is the orientation toward time. Whereas a line worker is more concerned with the present, a manager must look further into the future, anticipating strategy implementation and budget expenditures. Many clinicians are trained as facilitators or enablers; administrators are expected to be more decisive in providing leadership and vision.
In a related vein, line workers may be less comfortable with or accustomed to using power to accomplish tasks. As we noted in Chapter 7, there are different types of power, and a wise administrator will become comfortable with and skilled in the use of power to advance the organization’s mission.
A new supervisor will be able to move more easily into a managerial role by being aware of these changes in role expectations and perspectives. Managers mov- ing up in the hierarchy need a broader array of conceptual skills (for analyzing the environment, assessing connections among systems, and so forth) and less knowl- edge in technical areas such as service delivery methods. People skills, of course, remain essential at all levels.
Perlmutter and Crook (2004) offer additional guidelines for those moving up beyond supervision into middle management. Upper management can augment the effectiveness of middle managers with an agency-wide management philosophy of empowerment (Cohen & Austin, 1997; see also the discussion of empowerment in Chapter 11). In an article regarding mental health professionals becoming man- agers that was originally published in 1980 and republished in 1999 because of its continuing relevance, Feldman (1999) discusses the conflicted feelings that human service managers often have about the use of power and related issues of clinician autonomy versus allegiance to the organization. He suggests that managers strive
for the optimum amount of employee participation in decision making, being sensi- tive to both employee and organizational concerns.
Middle managers can also be helped through ongoing formal and informal organizational communication. Perlmutter suggests that monthly meetings with executive management, a suggestion box system to keep upper management in- formed of staff concerns, and management development seminars can all make managers more effective. At the personal level, a new middle manager should take advantage of management development opportunities such as external workshops and training. Formation of a network of peers to allow discussion of problems and offer support can help enhance skills and prevent burnout.
Mentoring, mentioned earlier, and networking (Kelly & Post, 1995) can be immensely helpful for both new and experienced managers. A formal mentoring program must include matching mentors and protégés, creating time for mentoring, evaluating the process, and, most important, sanction by the organization (Kelly & Post, 1995). Networking in an organizational setting, according to Kelly and Post (1995), is “a relationship between one individual and another individual, group, or organization that provides a reciprocal benefit in terms of information, advice, knowledge, or collaboration” (p. 156).
Key elements of either a mentoring or networking program are clarity of goals (such as reducing turnover, improving communications); clear roles for mentors, pro- tégés, and supervisors; and an evaluation design. In the case of a mentor program, mentors need to be carefully selected, ensuring that they are not in the chain of com- mand of their protégé. Mentoring and networking are particularly valuable for man- agers who are women or people of color—still underrepresented in the management ranks (Mor Barak, 2009). These two strategies can be of great value to individual managers and to the organization as a whole, as those managers are able to add more value to the organization through their increasing abilities.
Professional advancement in organizations provides not only challenges but anxieties as well. The better prepared the clinician is to accept these challenges, the more manageable the anxieties. Direct service workers who enter the ranks of man- agement bring with them essential professional values and ethics and important knowledge of the realities of human service work, from which the organization can benefit as these new managers develop managerial skills.
THE NEED FOR MANAGERIAL EXCELLENCE
Given the turbulent environments in which most of today’s human service organi- zations find themselves—environments characterized by competition, ambiguity, and uncertainty—one of the issues revealed to the manager in the move up the managerial tiers is that of organizational survival. Mandates for accountability, demands to do more with less, and shifting political and economic priorities all constitute additional challenges to managers of contemporary human service or- ganizations.
Managerial excellence requires not only technical mastery of the functions of planning, designing, developing human resources, budgeting, supervising, and eval- uating but also the ability to address the social, cultural, and political dimensions of management. This includes knowledge of and attention to the values, beliefs,customs, and traditions of the organization and its environment, including the organization’s client system. Managerial excellence, therefore, requires both techni- cal and sociopolitical acumen.
Managerial excellence involves an expanded conceptualization of the human service enterprise. It involves being able to conceive of the organization—the agency and its various levels and programs—not only as a rational, technical instrument designed to carry out certain functions. Involved as well is the ability to see the human service organization as an evolving, adapting response to social needs, as an institution “infused with values” symbolic of societal aspirations. Managerial excellence thus includes both technical competence and leadership competence.
This capacity is often illustrated by contrasting management and leadership. Management functions include processes from program design to evaluation, and including information systems, financial management, and human resources. Leader- ship focuses on vision, strategy, inspiring and empowering staff, and organizational change. The functions can be contrasted as shown here (Roberts-DeGennaro & Packard, 2002)
Management
- program design
- financial management • information systems
- human resource management • program evaluation
- project management
Leadership
- visioning
- change management
- strategy development
- organization design
- culture management
- community collaboration
Both sets of skills are essential, but education of administrators, including those in the human services, has traditionally focused more on management than on leadership. For that reason alone, leadership warrants increased emphasis today. Furthermore, the challenges facing organizations in the twenty-first century are more complex than those of the past, when management skills were adequate. It is now more important than ever that traditional management thinking not override the need for leadership.
It should be clear by now that effective leadership and management are central to organizational viability. Whereas organizational efficiency is more a function of technical competence, organizational effectiveness is more a function of leadership competence. The combination of both usually translates into mana- gerial excellence. Leadership competence, a more elusive goal, is built on techno- logical expertise but usually depends, in addition, on a variety of other attributes, including personal style and values, acquired knowledge and skills, and on- the-job experience.
Another challenge facing the human service manager is that posed by the phi- losophy, values, and ethics of that person’s profession. For human service man- agers—most of whom share a humanistic, client-oriented philosophy based on such concepts as social justice, self-determination, the right to privacy, and the dig- nity and worth of all individuals—the challenge is to align organizational values and behavior with professional values and ethical dictates. Fortunately, most human service organizations are founded on the same service philosophies andvalues human service providers share. Unfortunately, not all organizations that espouse humanistic, client-centered philosophies and values always translate them into action, in terms of the treatment of either their staff or their clients. It is the obligation of the professional manager to steer organizational behavior in the direction of humanistic values, standards, and goals at all levels of the organization, but most certainly at the line operations level, where the functions of the organization and the needs of its clients converge.
SUMMARY
Organizational excellence in the human services is more than a function of an efficient managerial technology; it is a function of several variables in synergistic interaction. One of those variables is the quality of the managerial leadership of the organization. Another is the nature of the organi- zation itself—not just its structure and the sophis- tication of its direct service technology but also its culture and commitment to service effectiveness.A third variable is the organization’s environment and its legitimization and support of agency values and goals, as well as its provision of mate- rial resources that enable the organization to achieve service effectiveness. Although other vari- ables influence organizational achievement, these are three of the most critical ones.
The administrator, the agency, and the environ- ment constitute an interactive and interdependent
triad. When they share the same values and aspire to the same goals, and when these values and goals center on the true needs of clients, the job of the managerial leader is facilitated and the results are gratifying. Disagreement and conflict over values and goals will create challenges that the administra- tor will need to address.
Managerial competence is a necessary but not sufficient condition for organizational survival and excellence. Without economic, social, and political support from the environment, the manager of a human service program, no matter how knowl- edgeable or skilled, will find it difficult to achieve organizational effectiveness. The human service manager’s job must therefore include attention to these larger issues. In the political and economic climate of 2011 and for the near future, funding and policy challenges are likely to continue to be daunting, but human services administrators should continually advocate for changes in social policy to ensure high-quality services for all in need, particularly those disadvantaged by poverty, racism, or other forms of oppression.
The shift from direct practice to administration by professionals in the human services should be made in full awareness of the challenges and demands associated with the new role. Today’s managerial leaders in the human services needmanagerial leaders in the human services need not only the technical knowledge and skills related to managerial efficiency but also the sociopolitical talents associated with effective leadership. The responsibilities are great, and so are the rewards.
Pioneer social work administrator Mary Parker Follett described the challenge of integrat- ing professional values, ethics, and standards with the expectations of the organization in these words, written in 1925:What I am emphasizing here is that in the profession it is recognized that one’s professional honor demands that one shall make this integration…. When, therefore, I say that members of a profession feel a greater loyalty to their profession than to the company, I do not mean that their loyalty is to one group of persons rather than to another; but that their loyalty is to a body of principles, of ideals; that is, to a special body of knowledge of proved facts
and the standards arising therefrom. What, then, are we loyal to? To the soul of our work. To that which is both in our work and which transcends our work. (cited in Graham, 1995, pp. 272–273)
Human service managers face profound challenges. First, we must do all we can to identify service delivery technologies with proven effectiveness and learn as much as we can about the organizational conditions under which staff can be effective in addressing the social problems and needs that shape our agencies’ purposes. We must advocate for social policies that enable these methods to be effectively deployed, and we must effectively and efficiently operate our programs with managerial skill and leadership élan. We must remain true to our professional values and be responsible stewards of the resources entrusted to our agencies. We must make difficult decisions and always treat our staffs with respect.
We fervently hope that some of today’s students and line workers as well as newly promoted managers will become excellent human service organization managers and leaders of the future. We hope that current managers will continue to enhance their skills and retain the professional commitments and passions that brought them into the human services. We hope that human service management educators will recognize the current and evolving realities of organizational life and continue to provide students with the cutting-edge knowledge and skills they will need to become managers and remain lifelong learners.
The challenges and opportunities ahead will continue to be massive and unprecedented, and it will take great talent, skill, and commitment to respond effectively. Managers will need simultaneously to enhance their own skills and quality of working life as well as those of their staffs and to both maintain and increase the effectiveness and responsive- ness of their agencies. We hope that these skilled managers and leaders can maintain their visions, optimism, and energy under challenging circum- stances, to lead fulfilling lives, and to help their staffs, clients, and communities do so as well.
