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Library of Congress Cataloging-in-Publication Data
Kettner, Peter M.
[Achieving excellence in the management of human service organizations]
Excellence in human service organization management / Peter M. Kettner, Arizona State University, Professor Emeritus. —Second edition. pages cm
Includes index.
Revised edition of the author's Achieving excellence in the management of human service organizations, published by Allyn and Bacon in 2002.
ISBN-13: 978-0-205-08815-7
ISBN-10: 0-205-08815-5
1. Human services—Management. I. Title.
HV41.K46 2013 361.0068—dc23 2013008177
ISBN-10: 0-205-08815-5
ISBN-13: 978-0-205-08815-7
Preface xviii
Learning Objectives and Outcomes in this Text xxi
1. Developing a Theory and Philosophy of Management 1
Understanding the Manager’s Role 1
Defining Management and Administration 2
Creating a Positive Work Environment 3
Establishing Criteria for Organizational Excellence 3
Excellence as Defined by Accreditation Standards 4
The Opinions of Managers 5
Lessons Learned from Studies of Organizational Excellence 6
The Usefulness of Early Management Theory 6
Scientific Management 8
Bureaucratic Theory 10
Human Relations Theory 12
Theory X and Theory Y 14
Management by Objectives 17
Systems Theory 20
Contingency Theory 23
The Issue of Quality 26
The Issue of Diversity 27
Evidence-Based Practice and Evidence-Based Management 30
A Framework for Organizational Excellence 31
Toward an Integrated Theoretical Framework for Human Services Management 31
The Importance of System Integrity 31 Selecting the Organizational and Human Variables to Be Considered 32
The Manager as Integrator 34
Management Roles and Responsibilities 35
Summary 37
2. Understanding the organization from a Systems Perspective 39
What Is a Systems Perspective? 39
Understanding the External Environment 41
Economic and Political Factors 43
Clients and Consumers 44
Social and Community Expectations 47
Technological Factors 48
Understanding the Internal Environment 49
Organizational Goals 50
Financial Resources 52
Human Resources 54
Organizational Operations 57
Technology 58
System Integrity and the Fit of Internal Environment to External Environment 59
Summary 60
3. Using Structure to facilitate and Support Achievement of the Agency’s Mission 62
The Importance of Structure 62 The Focus of Work 63
The Locus of Responsibility 64
Supervision 64
Lines of Communication 65 Extent of Participation 66 Impact on Accomplishment of Organizational Goals 66
Structural Alternatives 67
The Formal Organizational Chart 67
Departmentalization by Program 68
Departmentalization by Function 68
Departmentalization by Process 69
Departmentalization by Market 70
Departmentalization by Consumer/Client 70
Departmentalization by Geographic Area 71
The Informal Organizational Chart: Introducing Flexibility into the Organizational Structure 72
Matrix Organizations 72 The Linking Pin 74
The Project Team 74
The Collegial Model 77
Mixed-Matrix Options 78
Working with Both Formal and Informal
Structures 79
The Role of the Board of Directors 79
General Responsibilities of the Board 80
Selection of Board Members 80
Creating a Board Matrix 81
Developing a Constitution and Bylaws 82
Board/Executive Relationships 83
Summary 84
4. Job Analysis and Job Design 85
What Is Job Analysis? 85
Job Analysis as Both a Process and a Product 86
Conducting a Job Analysis 87
What Is a Job? 87
The Elements of Job Analysis 87
Methods of Collecting Job Analysis Information 94
Job Analysis Interviewing 94
Job Analysis Questionnaires 95
Observation 97
Diaries and Logs 98
Job Analysis as Central to the Human Resources System 98
Job Specifications 99
Knowledge and Skill 100
Qualifications 100
The Job Description 100
Parts of the Job Description 101
The Job Announcement 104
What Is Job and Work Design? 104
When Can Job Design and Redesign Be Effective? 105
What Can Work Design and Redesign Accomplish? 107
Job- and Work-Design Strategies 108
Job Enlargement 108
Job Enrichment 108
Job Rotation 109
Creating Teams 110
Varying Working Conditions 110
Use of Technology 112
Reconceptualizing the Human Service
Organization 113
Summary 114
5. Maximizing organizational Performance through Human Resources Planning 116
Selecting, Hiring, and Retaining the Optimum Mix of Staff 116
Human Resources Law 118
Race, Color, or National Origin 118
Affirmative Action 119
Sex/Gender 119
Veterans’ Status 120
Age 120
Disabilities 120
The Letter of the Law versus the Spirit of the Law 122
Valuing, Respecting, and Maximizing the Benefits of Diversity 122
Encouraging Full Participation 123
Conscientious Attention to Issues Surrounding Sexual Harassment 124
Human Resources Planning 124
Achieving Excellence through Human Resources Planning 125
Step 1: Project Personnel Needs 125
Step 2: Plan for Achieving the Desired Personnel Profile 129
Step 3: Implement Changes Necessary to Achieve the Plan’s Goals and Objectives 134
Step 4: Monitor and Evaluate the Effects of Changes 137
Summary 139
6. Strengthening the organization through Excellent Recruitment, Selection, and Hiring Practices 141
The Importance of Sound Recruitment Practices 141
Steps Involved in the Recruitment, Screening, and Hiring Process 142
Ongoing Activities 144
Pre-Search Activities 145
Communication with Applicants 151
Preliminary Screening 155
Secondary Screening 157
Hiring 162
Summary 163
7. Maximizing Employee Potential through Staff Training and Development 165 Making a Positive Transition into Employment 165
Establishing Training, Development, and Education Policy 166
Orientation 167
Orientation Strategies and Techniques 168 Training 170
Developing a Comprehensive Staff Training and Development Plan 171
The In-Service Training Curriculum 173
Steps Involved in Developing an In-Service Training Curriculum 176
Step 1. Identifying Training Needs 176
Step 2. Developing Training Courses or Modules, Including Objectives, Course Content, Teaching Method, and Course Evaluation Design 178
Step 3. Monitoring and Evaluating the Overall Training Program 183
The Career Development Plan 185
Summary 187
8. Promoting Excellence through WellDesigned Motivation and Reward Systems 189
Understanding Employee Motivation 189
Theories of Motivation 190
Motivating by Meeting Personal Needs 190
Motivating by Enhancing the Quality of Work Assignments 193
Motivating by Providing Access to Achievement and Rewards 194
Motivating through Fairness and Equity 195
Designing Effective Reward Systems 196
Incorporating Intrinsic Rewards into the Reward System 197
Allocating Extrinsic Rewards and Employee Benefits 198
Compensation and Financial Incentives 198
Determining the Basic Salary Structure 198
Merit Increases 199
COLA, Lump-Sum Salary Increases, and Bonuses 201
Paid Time Off 203
Insurance and Retirement Benefits 204
Employee Service Benefits 207
Alternative Work Arrangements 209
Job Security and Internal Mobility 210
Recognition 211
The Cafeteria Plan 212
Motivation, Rewards, and Internal Consistency 213
Summary 214
9. Supervision, Performance Appraisal, Rewards, and Termination 216
Encouraging Optimum Employee Performance 216
Supervision 217
Policy on Supervision and Performance Appraisal 218
The Corrective Action Process 223
The Hiring/Orientation Interviews 223
The “We’ve Got a Problem” Interview 224
The “You’ve Got a Problem” Interview 225
The Probationary Interview 226
The Termination Interview 227
Appraisal Techniques 227
Designing the Appraisal System 228
Appraisal Instruments 229
Tying Performance Appraisal to Rewards 240
Terminating Employees: Voluntary and Involuntary Terminations 242
Types of Termination 242
The Voluntary Termination Process 245
The Involuntary Termination Process 245 Summary 247
10. Using Data and Information to Achieve Excellence 249
The Importance of Information 249
The Quality of Information 250 Types of Data and Information Needed in Organizations 250
External Data and Information Considerations 251
External Data Needs Summary 251
Internal Data and Information Considerations 251
Internal Data Needs Summary 252
Developing Integrated Information Systems 252
Steps to Developing an Integrated Management Information System 253
Step 1: Identify Input, Throughput, Output, and Outcome Elements 255
Step 2: Identify the Questions to Be Answered by the Management Information System 260
Identifying the Information Needs of External Constituencies 260
Identifying the Information Needs of Internal Constituencies 264
Step 3: Identify Data Elements Needed to Answer the Questions 266
Elements Used in Monitoring, Evaluating, and Reporting on Clients and Programs 267
Step 4: Develop the Tables, Charts, and Graphs That Will Display Data Needed for Reports 270
xvi
Step 5: Design Data Collection Procedures and Instruments 273
Step 6: Design the Data Entry, Processing, and Reporting System 277
Step 7: Run the System, Compile Sample Data, and Debug the System 278
Using Data and Information to Ensure Organizational Consistency and Integrity 278
Summary 279
11. Managing Resources to Support Excellence 280
Budgeting Issues in Human Services 280 Perspectives on the Meaning of a Budget 281
Revenue Sources 281
Government-Funded Programs 282 Grants and Contracts 283
Requests for Proposals 285
Client F-ees 285
Charitable Giving 287
Other Strategies to Increase Resources 288
The Budget Cycle 289 Fiscal Years 290
Resource Allocation 291
Line-Item Budgeting 291
Functional Budgeting 292
Program Budgeting 302
Managing Resources to Support Excellence 303 Summary 304
12. Monitoring and Evaluating organizational Efforts and Accomplishments 306
The Components of Excellence: A Working Hypothesis 306
Early Research on Organizational Effectiveness 307 Variables Useful in Understanding Organizational Effectiveness 309
Measuring the Effectiveness of Human Service Organizations 309
Identifying Outcome or End-Result Variables 310
Strategic and Long-Range Planning 310
Program Planning 311
Assessing Managers’ Perceptions of Causal Variables: Organizational Systems and Subsystems 312
Assessing Staff Perceptions of Intervening Variables: Opinions on Systems and Processes 315
Annual Staff Survey 315
Interpreting Staff Perceptions 318
Leadership 318
Summary 321
References 323
Index 347
Preface
Organizations are made up of many components. Gestalt psychology is probably best known for helping us to recognize that in all entities the whole is greater than the sum of its parts. Nowhere is this more important to recognize than in the organizations we encounter everyday—especially our place of work. Why is it that some people so thoroughly enjoy their work that they hardly notice the time, while others dread going to work and can’t wait for the end of the day? A number of organizations, as cited in Chapter 1, survey employees nationwide to find the best places to work. There is convincing evidence that positive work environments can be created, and it’s not just a matter of who pays the highest salaries and offers the best benefit packages. A lot of a workplace’s environment has to do with the ways in which staff members are engaged in contributing to the organization’s success.
In this book, we attempt to break down the organization into its most significant components, study and analyze them individually, and then put them all back together in ways that enable management and staff together to run the organization with maximum efficiency, effectiveness, quality, and productivity. The book has been somewhat reordered from the first edition to ensure that it follows a chronology: from overall theory and philosophy to structure to human resources issues to data collection and finance and finally to overall organizational evaluation. Each component is covered in a chapter so that, by the time a student has finished the book, he or she should have a good sense of how all the pieces fit into the running of a well-oiled “machine.”
The first three chapters examine the overall organization in terms of organizational theory, the organization as a system, and structural options. From many years of teaching, I am well aware that theory is not usually at the top of the “most favorites” of a student’s reading list, but I would like to make a plea here that they do their very best to absorb this content. So much of what makes organizations successful is grounded in over a hundred years of conceptualizing and developing various elements and components, and a student of organizational life really cheats himself or herself by assuming that it is all old and no longer relevant.
Chapters 4 through 9 explore the many ways in which organizational resources can be used to make sure that jobs are designed appropriately, that the assembling of a staff is done legally and professionally, and that the training and evaluation processes prepare, nurture, and support staff in achieving their maximum potential while contributing toward achievement of organizational goals.
Chapters 10 through 12 focus on the technical aspects of data collection, budgeting, and organizational evaluation, to ensure that there are adequate records so that the organization can track its progress toward achievement of mission, goals, and objectives, and that there is adequate feedback from staff on their perceptions of strengths and weaknesses.
The book is written for students at the bachelor’s and master’s levels. In most human service organizations these days, these are the degrees that are considered to be minimum qualifications for management positions. In response to many reviewers’ suggestions,
many examples have been added, usually with questions at the end to help students get the main points of the example and to help them understand the content of the chapter. Assignments have been outlined in an instructor’s manual that, if completed, will leave the student at the end of the course with a complete policy and procedures manual that they can take with them for reference purposes onto the job. Ultimately, it is the purpose of all content covered here to provide aspiring managers with the foundation needed for getting started in a positive direction as they embark on their management careers. Those who do not plan on careers in management can also benefit by understanding how well-run agencies should operate.
What’s New to the Edition
• Includes new examples to illustrate the significance and relevance of each theory to human services management. (Chapter 1)
• Significant concepts are summarized in a table, which provides an overview of what the text intends to cover. (Chapter 1)
• Many new graphics designed to help the student understand the significance of the external and internal environments. (Chapter 2)
• New section on conflict management. (Chapter 2)
• Several new online government resources (Chapter 5)
• New case examples illustrate ways to use different planning and design strategies to improve organizational performance. (Chapter 5)
• Updates on legal requirements for recruitment and recommendations for use of electronic media in the recruitment and application processes. (Chapter 6)
• Charts and tables have been updated to reflect current practices in employee training and development. (Chapter 7)
• Examples and discussion questions have been added. (Chapter 7)
• Eight new examples illustrate how a manager might use various strategies to increase motivation. (Chapter 8)
• A new case example has been added. (Chapter 9)
• Twelve new tables have been added to this edition to help illustrate the kinds of questions that need to be answered in order to build a complete system. (Chapter 10)
• New tables have been added to help clarify various budgeting concepts. (Chapter 11)
• A new table has been developed that reviews each of the twelve areas of responsibility as proposed in Chapter 1 and suggests questions that might be used to assess management perceptions. (Chapter 12)
• A new section on leadership is included in this chapter. (Chapter 12)
Acknowledgments
Compiling a text like this begins at the point of learning and understanding the early foundations of management thought, and then building on those foundations over the years by grasping and absorbing many new theories, concepts, and practices, some of which build on older theories and some of which present entirely new approaches. Building this kind of a body of knowledge comes from years of interaction with colleagues, students, and professionals. I am grateful to all of them, too many to mention by name, for their challenging and provocative questions and ideas. Nothing has been more gratifying than watching former students go on to successful careers in human services management.
It is also important to note that developing a project like this is the result of many very talented people who work behind the scenes to make sure everything comes together in a way that makes it possible for the ultimate product to achieve the goal of educating and nurturing students in their growth and development toward successful careers, and I would like to acknowledge their contributions. My steady source of support and guidance throughout this effort has come from Carly Czech, Program Manager at Pearson. Nicole Suddeth, Editorial Assistant, provided me with many of the materials, guidelines, and templates. Doug Bell, project manager from PreMediaGlobal, Inc., was able to turn my drafts of chapters into a product that flowed smoothly and integrated all the complex figures and tables. To these people and any others who contributed to this final product, my most sincere thanks and appreciation.
Peter M. Kettner Arizona State University, Professor Emeritus
This text is available in a variety of formats—digital and print. To learn more about our programs, pricing options, and customization, visit www.pearsonhighered.com.
Learning Objectives and Outcomes in this text
Chapter 1 Learning Objectives and Outcomes
• Demonstrate an understanding of the criteria that forms the foundation of successful management of a human service organization
• Support theories of criteria for organizational excellence and leadership with research findings
• Develop an eclectic theoretical framework for the role of the manager of a human service agency
• Support theoretical principles by citing the appropriate theory and the context in which they are seen as relevant to management of a human service agency
• Explain the organizational and human variables that need to be addressed by the human services manager and the ways in which the manager serves as integrator between these two dynamics
Chapter 2 Learning Objectives and Outcomes
• Identify each of the internal subsystems and explain how they need to work together to ensure internal consistency
• Identify factors in an organization’s external or task environment and explain how they affect organizational functioning
• Write a mission statement
• Explain how organizational mission and purpose serve as the standard for organizational consistency and integrity
• Analyze an organization’s subsystems and identify points of actual or potential incompatibility
xxii Chapter 3 Learning Objectives and Outcomes
• Explain why a formal structure is important to the overall functioning of the organization
• Identify and define six options for the formal structure and provide a rationale for a proposed optimum structure
• Identify and define at least four options for an informal structure, select an option for the organization, and provide a rationale for the proposed informal structure
• Explain the functions of a board of directors and propose an ideal format for how the board should work with the executive
• Develop a board matrix for the organization
Chapter 4 Learning Objectives and Outcomes
• Explain the difference between a job analysis, job specifications, a job description, and a job announcement and why each of these documents is important
• Develop a complete job analysis and job description for a designated position
• Given a specific job description, explain how all human resources functions from recruitment to termination can be made to be consistent with the job as presented
• Explain how six job and work design and redesign strategies can be applied to a specific job to address various problems of motivation and productivity
• Given a problem scenario related to a particular job and employee within a human services organization, redesign a job in a way that would address the problem
Chapter 5 Learning Objectives and Outcomes
• Demonstrate ways in which the agency can use diversity in areas of expertise and in demographics to strengthen creativity and productivity
• Given the organization’s purpose, mission, and staff profile, analyze its staff needs and produce an optimal personnel profile in terms of demographics, education, and expertise
• Identify the major protected classes covered by human resources law and discuss the major provisions of laws, executive orders, and regulations that prohibit discrimination
• Present a framework for human resources planning that can lead to initiating changes that will contribute to achieving the organization’s optimal personnel profile
• Explain how four different strategies can be used to change the organization’s personnel profile
Chapter 6 Learning Objectives and Outcomes
• Prepare a plan for recruitment, selection, and hiring for a designated position within a human service organization
• Write a job announcement that is based on the job analysis and complies with human resources law
• Identify at least five target audiences for potential recruits
• Design instruments for preliminary and secondary screening that will ensure that those involved in the hiring process will have all the information needed at each stage
• Plan a structured interview that complies with human resources law
Chapter 7 Learning Objectives and Outcomes
• Prepare a plan for new employee orientation, including an orientation agenda and an orientation checklist
• Create a framework for a comprehensive staff training and development plan for a human service organization
• Create a curriculum framework for an in-service training program for a human service organization
• Develop a format for a career development plan
• Design a training evaluation form that evaluates trainee reaction, trainee learning, and/or trainee performance
Chapter 8 Learning Objectives and Outcomes
• Compare and contrast five different theoretical perspectives on motivation
• Define and explain the differences between intrinsic factors and extrinsic factors, and the ways in which each affects motivation
• Demonstrate how various intrinsic and extrinsic factors can be incorporated into a well-designed reward system of a specific human services agency
• Given a brief description of a human service agency and its services, propose some of the basic elements that should go into the agency’s reward system to encourage high levels of productivity
• Given a scenario with an unmotivated employee, propose a plan that will encourage the employee to perform at the highest level possible, given the situation
Chapter 9
Learning
Objectives and Outcomes
• Identify and explain six (6) policy areas that need to be addressed in the supervisory/employee relationship
• Identify and explain six (6) criteria that should be considered in constructing a performance appraisal system
• Compare and contrast eight (8) different approaches to performance appraisal, and recommend an approach for a given agency, including an explanation of the rationale for selecting it
• Given a performance problem scenario with an employee, role-play the corrective action process
• Identify and define four (4) types of terminations and role-play any one of the four, given a termination scenario with an employee
Chapter 10 Learning Objectives and Outcomes
• Propose the types of data and information needed within the organization for planning, operations, human resources, technical resources, and financial planning purposes
• Explain why the agency needs to consider economic, sociological, political, and technical factors in the environment
• Outline the steps necessary to develop a management information system that integrates both external and internal considerations
• Develop a format for use of data and information designed to illustrate areas where there is need for continuous quality improvement in programs and services
• Develop a format for use of data and information designed to illustrate the strengths and weaknesses of each staff member’s performance
xxvi Chapter
11 Learning
Objectives and Outcomes
• Create a sample line-item budget for the agency
• Demonstrate the ability to identify the costs of several functions or services, using the principles of functional budgeting
• Demonstrate the ability to identify the costs of at least one program, using the principles of program budgeting
• Discuss the pros and cons of the agency’s receiving funds from five different revenue sources
• Produce a fee structure for a service provided by the agency
• Integrate financial and service data to produce a budget and service report as required by a given funding source
Chapter 12 Learning Objectives and Outcomes
• Outline a presentation to the board defending the proposition that it is cost effective to attempt to measure organizational effectiveness
• Assess the management style and the positive and negative impacts that it has had on organizational productivity
• Develop indicators of success for selected departments, programs, and/or units
• Prepare survey questions designed to help the management team understand employee perceptions of organizational systems and processes
• Prepare a format for ongoing data collection that sets up an early warning system to determine if programs and services are meeting expectations
Developing a Theory and Philosophy of Management
Understanding the Manager’s Role
In a column in Newsweek, Robert Samuelson (1999) reflects on the topic “Why I Am Not a Manager.” By way of explanation, he states that managers face two contradictory demands: (1) they are expected to get results and (2) they must motivate their workers. As a result, he says, they get pressure from above and resentment from below. He confesses a grudging admiration for those who are able to do the job well but says he prefers a position in which he has no responsibility for managing anyone or anything.
Given the choice, why would anyone want a management position in an organization? Setting aside the many possible psychological, poweroriented, need-meeting, status-seeking, Maslow-framed explanations, there are many potentially fulfilling and rewarding components to the role of manager or administrator and many potential, tangible accomplishments for the good of the organization, the community, and the population served. There are also many challenges, and it is clear from more than a hundred years of experience that the role of manager is not for everyone, and that simply having the ambition to manage is not enough to do the job successfully.
What, then, does it take to excel as a manager or administrator? Before we get into the substantive content of the manager’s job, let’s briefly examine the expectations of the position. For many activities that we encounter during our lifetimes, there are clear practice routines that, if undertaken systematically and in a disciplined way, will lead to excellence. Golf and tennis are good examples. We can break down the motions necessary for the “perfect” swing or stroke, and if we devote
Chapter Outline
• Understanding the Manager’s Role 1
• Defining Management and Administration 2
• Creating a Positive Work Environment 3
• Establishing Criteria for Organizational Excellence 3
• Excellence as Defined by Accreditation Standards 4
• The Opinions of Managers 5
• Lessons Learned from Studies of Organizational Excellence 6
• The Usefulness of Early Management Theory 6
• The Issue of Quality 26
• The Issue of Diversity 27
• Evidence-Based Practice and Evidence-Based Management 30
• A Framework for Organizational Excellence 31
• Toward an Integrated Theoretical Framework for Human Services Management 31
• The Manager as Integrator 34
• Management Roles and Responsibilities 35
• Summary 37
enough time to practice and feedback, we can work toward a tangible goal. The same might be said of such functions as mastering the use of various types of software, becoming an outstanding therapist, or excelling in the practice of surgery.
The key difference for managers and administrators is that, for them to excel, they must achieve their accomplishments indirectly.
Success for the manager comes through managing people in a way that motivates and enables them to work at their highest levels of productivity and in harmony with one another so that the total organization demonstrates success in terms of efficiency, effectiveness, quality, and productivity. Many managers have expressed the sentiment that it would be so much easier if only they could do a task directly rather than assigning it to a staff member! Getting the staff member to do the task in a positive way and producing a quality piece of work, however, is what the manager’s job is all about. Nobody cares whether or not the manager could do a better job by doing it him- or herself.
Defining Management and Administration
There is a tendency to use the terms management and administration interchangeably, yet there are some subtle differences described in the literature and demonstrated in practice. Sheldon (1966) distinguished the functions in this way:
Administration is the function of industry concerned in the determination of corporate policy, the co-ordination of finance, production, and distribution, the settlement of the compass of the organization, and the ultimate control of the executive.
Management is the function in industry concerned in the execution of policy, within the limits set up by administration, and the employment of the organization for the particular objects set before it. (p. 32)
Weinbach (1994) sums up the role of the human services manager as follows:
Management can be thought of as those specific functions performed by persons within the work setting that are intended to promote productivity and organizational goal attainment. (p. 11)
The critical difference between an administrator and a manager is that the administrator is involved in executive-level, policy-making, and decision-making functions, while the manager is concerned with implementation of policy and decisions designed to achieve a mutually agreed-upon set of goals and objectives, all guided by a mission and a shared vision about the organization’s direction.
administration
Understanding and Mastery: Supervision and human resource management
Critical Thinking Question: How would you conceptualize or articulate the difference between administrators and managers to your colleagues?
It is intended that this book will focus on the functions of the implementer (the manager), the person whose job it is to make the organization run in a productive and harmonious way. Job titles vary and can include supervisor, program manager, director, planner, or other such title, depending on the level of management.
The focus on the role of management is adopted for a number of reasons. First, much is expected from human service organizations today, and organizational effectiveness is highly dependent on good management. Second, a manager’s role and responsibilities can be categorized and broken down into components so that they can be
better understood and practiced. Finally, many organization-related functions overlap the domains of both management and administration, so the body of knowledge and range of skills have wide applicability. In the field of human services there are often positions that require the dual role of manager and administrator.
Creating a Positive Work Environment
Getting staff to perform at high levels has a lot to do with finding out exactly what motivates high performance.
Have you ever held a job that you absolutely loved? A job in which you couldn’t wait to get to work? A job in which you didn’t watch the clock, but if you did happen to notice it, you were constantly amazed at how the time flew by? What about the other end of the scale? Have you ever had a job you hated? A job in which you worked only because you had to, because you needed the money? A job in which you spent the absolute minimum amount of time and energy that was necessary to keep the job?
What do you think makes the difference between those two types of jobs? Is it the salary or the way people are treated? Is it the type of work employees do, or the ways in which employees are rewarded (or not rewarded) for good work?
The pursuit of answers to these questions will form the major theme of this book . These are some of the most important questions in all of management, because if you can create an organization in which people understand the job to be done, are committed to the organization’s mission, are competent to do the jobs to which they are assigned, love their work, and work well together, you will have put your organization in a position in which you can achieve maximum efficiency, effectiveness, quality, and productivity. On the other hand, if the drive to achieve excellence does not come from the collective efforts and motivation of the employees, no amount of close supervision, monitoring, evaluating, or threats will bring about an excellent organization.
Establishing Criteria for Organizational Excellence
In a sense, it might be said that the history of management thought is a story of the search for the correct formula that, when applied to the management of an organization, will ensure maximum performance. Management theorists, then, can be distinguished from one another by understanding their concepts of the “correct formula.”
For the proponents of scientific management theory in the early twentieth century, for example, the formula involved an assembly-line approach to manufacturing in which motion and energy were focused on certain limited tasks. If those who performed and supervised the tasks could perfect the motions and find the one best way, the production lines and, therefore, the organization would have achieved excellence.
For the proponents of human relations management in the 1940s and 1950s, employees needed positive attention and feedback from supervisors and others in the organization. If supervisors understood human behavior and motivation and would take the time to provide feedback and personalize the work environment, employees would perform at their highest levels and the organization would achieve excellence.
Douglas McGregor (1969), the author of the Theory X and Theory Y framework, presented a different argument. People were productive or unproductive, he believed, because of the assumptions management held about them—assumptions that then were
translated into how employees were treated. If managers understood that people were capable of investing themselves and their creative abilities in the job, and if managers saw their responsibilities as getting barriers out of the way and unleashing the potential of a creative and energetic workforce, employees would perform at their highest levels and the organization would achieve excellence.
Consider what you learned about Criteria for Organizational Excellence. Test your understanding with a short Key Topic Quiz: Criteria for Organizational Excellence.
Other management scholars have proposed that the formula for achieving maximum productivity can be understood from the perspective of employee participation in decision making (Likert, 1967), careful planning and establishment of objectives (Drucker, 1954), having a form and structure that is in harmony with organizational purpose (Burns & Stalker, 1961), or establishing quality control standards for organizational processes, products, and services (Deming, 1982).
Excellence as Defined by Accreditation Standards
Accrediting bodies have long dealt with what constitutes a range of performance from minimally acceptable to excellent. The Council on Accreditation (COA) is an organization whose purpose is to establish accreditation standards and evaluate social service agencies in relation to those standards. COA states that its accreditation gives assurance to various constituents that the agency meets rigorous standards and demonstrates that it (1) has effective management, (2) is fiscally sound, (3) designs programs to meet community needs, (4) continually monitors and evaluates service quality, (5) has qualified personnel, and (6) has safe, accessible facilities (Council on Accreditation of Services for Families and Children, Inc., n.d.). These six criteria provide a very general framework for understanding what a professional accrediting body might look for when evaluating an organization and making a judgment about its performance.
The Human Services Board Certified Practitioner (HS-BCP) is a certification created in a partnership between the Center for Credentialing & Education (CCE) and the National Organization for Human Services (NOHS). The HS-BCP Code of Ethics applies to everyone certified as a board certified practitioner. The code provides ethical practice guidelines and standards of conduct. It includes three sections: (1) Section A— Compliance with legal requirements and conduct standards, (2) Section B—Compliance with CCE Organizational Policies and Rules, and (3) Section C—Performance of services and other occupational activities. Each section further defines acceptable behaviors and rules (www.nationalhumanservices.org).
The National Association for Social Workers (NASW) code of ethics is built around six core values: service, social justice, dignity and worth of the person, the importance of human relationships, integrity, and competence. There are six ethical standards relevant to the professional activities of all social workers. These standards concern (1) social workers’ ethical responsibilities to clients, (2) social workers’ ethical responsibilities to colleagues, (3) social workers’ ethical responsibilities in practice settings, (4) social workers’ ethical responsibilities as professionals, (5) social workers’ ethical responsibilities to the social work profession, and (6) social workers’ ethical responsibilities to the broader society. Each section has many sub-sections spelling out in detail what is expected of a practitioner who is bound by this code (www.socialworkers.org/pub/code/code.asp).
The Joint Commission on Accreditation of Health Care Organizations (JCAHO) has over 180,000 U.S. and international standards for accrediting hospitals, clinics,
and other organizations that deliver health-related services (webstore.ansi.org).
The National Committee for Quality Assurance (NCQA) is a private, not-for-profit organization that assesses and reports on the quality of managed health care plans. Since 1991, NCQA has reviewed plans against more than fifty different standards, which fall into one of six categories that lead to an overall accreditation score:
1. Quality Improvement (40 percent)
2. Physician Credentials (20 percent)
3. Preventive Health Services (15 percent)
4. Members’ Rights and Responsibilities (10 percent)
5. Utilization Management (10 percent)
6. Medical Records (5 percent)
Organizations are scored within each of the six dimensions. Standards are used to determine scores. A high score would represent excellence in managed health care. The purpose for all of these codes of ethics and accreditation standards is to insure that individual and organizational behavior is not simply left to the discretion of the individual or organization, but that everyone presenting professional credentials is held to the same standard and can assure clients, communities, and funding sources that they will operate in accordance with the highest standards of professional integrity (www.psninc .net/ncqa-accreditation.html).
Another body concerned with excellence in organizational functioning is the U.S. Department of Commerce. Every year, the president of the United States presents the Malcolm Baldrige National Quality Award to recognize U.S. companies for performance excellence. The point system used in judging applicants for the annual award uses seven criteria, with varying points allocated to each as follows:
Categories Point Values
1. Leadership 120
2. Strategic Planning 85
3. Customer Focus 85
4. Measurement, Analysis, and Knowledge Management 90
5. Workforce Focus 85
6. Process Management 85
7. Results 450
Total Points 1,000
The Baldrige Award is given to both business and nonprofit organizations. The emphasis is on continuously improving the quality of the product or service. Organizational results or outcomes are clearly important factors in selecting excellent organizations (http://www.baldridge.nist.gov/ Business-Criteria.htm).
The Opinions of Managers
Harvey (1998) interviewed fifty-one persons in management positions in human service organizations, thirty-one of whom were at the highest level and the rest at lower levels in very large administration
Understanding and Mastery: Planning and evaluating programs, services, and operational functions
Critical Thinking Question: Why are accrediting bodies important to human service delivery? What have been your experiences with accrediting or regulating organizations?
organizations. She identified eight excellence dimensions, with several subcategories to one of the dimensions, as follows: (1) purpose, (2) serving client needs, (3) commitments to staff, (4) commitments from staff, (5) flexibility and adaptability, (6) internal processes, (7) congruence, and (8) striving.
Lessons Learned from Studies of Organizational Excellence
In summary, there are many different perspectives on the definition of excellence in organizational functioning. Themes that emerge from studies of excellence include (1) establishing a purpose and mission for the organization and ensuring that all systems are consistent with the mission; (2) creating an organizational structure that is consistent with organizational purpose and maximizes flexibility; (3) designing jobs in a way that will permit staff to use their expertise and creativity; (4) demonstrating commitment to high performance by rewarding productive staff; (5) collecting data and information about services that will permit evaluation and continuous program improvement; (6) budgeting and financing the organization in a way that is consistent with the mission; (7) recruiting and retaining the best-qualified and most productive staff; and (8) monitoring, evaluating, and providing feedback about staff performance in a way that leads to continuous improvement and high levels of productivity.
These themes will form the basis of many of the following chapters. The focus of this book is on ways to organize the many dimensions of social service organizations so that a framework for excellence can be created and systematically pursued by those committed to its achievement.
The Usefulness of Early Management Theory
Although literature on the field of business management dates back to the late nineteenth century, the study of human service management and administration is relatively recent. Most of the literature has come from the field of nonprofit management (social work, the arts, education, research, science, religion, philanthropy, and other such activities).
Theory is generally not one of the more popular areas of study for students and practitioners. However, in all of the natural and social sciences as well as in management, it is theory that gives applications and practices their consistency and integrity, and makes it possible to replicate and study a phenomenon. Since there is not a rich history of human services management theory, what we will attempt to do is to briefly examine the history of management thought, and to extract those principles that are useful in creating an eclectic framework for the management of human service organizations. Table 1.1 presents a brief overview of the theories to be discussed and the concepts potentially applicable to human services management.
We will touch only very briefly on the overall framework proposed by each of the management theories, so it is incumbent on the serious management scholar to further explore some of the original writings on his or her own. In the remaining sections in this chapter, we will explore how these basic concepts might be adapted or used to promote excellence in overall organizational functioning. Indicators of excellence include high levels of productivity, high quality of services provided, and optimum achievement of outcomes, all while operating at the lowest possible cost.
table 1.1 a Brief Overview of theories and
Theory
Contributions to a theory of human Services Management
Approximate Dates
Scientific Management Early 1900s
Bureaucratic Theory Early 1900s through the 1940s
Applicable Concepts
Management as a specialized role; the importance of training and preparation for the job; precision in the development of technology; research orientation
Accountability; defining jobs and placing them within a hierarchy; valuing competence and preparation for the job
Human Relations Theory 1930s through the 1950s
Theory X and Theory Y 1960s
Management by Objectives 1950s through the 1970s
Systems Theory 1960s through the 1980s
Contingency Theory 1960s through the 1980s
Total Quality Management 1950s with a reemergence in the 1980s
Recognizing the importance of cultures and subcultures within the organization; the influence of the group on individual performance; understanding the nature of meaningful rewards
The nature of motivation in the workplace; the role of the manager in capturing and stimulating that motivation
Adapting to change; strengthening of selected management practices; enhancement of employee motivation; bringing greater precision to performance appraisal
The input-throughput-output construct; understanding how the logic model is applied; and the ways in which organizations deal with an uncertain environment
Providing alternative structure and design options; focusing on results instead of process as the primary consideration; recognizing the importance of a feeling of competence to workers
Quality is difficult to define and establish in the absence of a uniform technology; system for continuous quality improvement can be designed and implemented
Diversity Management 1970s through the 1990s
Standards of cultural and gender competence should be established in human service agencies; management theories and practices should be evaluated in the light of contemporary concerns about their fit to ethnic and gender issues
Scientific Management
Although extensive conceptualizing and writing about the functions of management did not occur until after 1900, the groundwork for scientific thinking about management was laid in the post–Civil War period. Foremost among those creating and promoting the principles and concepts was Frederick Taylor (1911).
Taylor recognized the need to view the production process as a system and to focus on the elements of planning, organizing, and controlling. From his perspective, the workplace was somewhat chaotic. Management had no clear concept of responsibilities; work standards had not been developed, so there were no agreed-upon expectations. There were no incentives for workers to work up to the limits of their capacities. Managerial decisions were based on hunch and intuition. Virtually no studies were done of overall flow within the workplace, and workers were required to perform tasks for which they had little or no aptitude (George, 1968).
Taylor presented a paper in 1903 to the American Society of Mechanical Engineers entitled “Shop Management,” in which he made the following points:
Wages. The objective of good management was to pay high wages and have low unit production costs.
Research. To achieve this objective management had to apply scientific methods of research and experiment to its overall problem in order to formulate principles and standard processes that would allow for control of the manufacturing operations.
Selection and Placement. Employees had to be scientifically placed on jobs in which materials and working conditions were scientifically selected so that standards could be met.
Training. Employees should be scientifically and precisely trained to improve their skill in performing a job so that the standard of output could be met.
Management/Worker Relationships. An air of close and friendly cooperation would have to be cultivated between management and workers in order to ensure the continuance of this psychological environment that would make possible the application of the other principles he had mentioned (George, 1968, p. 89).
The principles of scientific management that appear to have the most useful applications are: (1) management as a specialized role, (2) training and preparation for the job, (3) precision in the development and application of technology, and (4) a research orientation. These four principles will be discussed in the following paragraphs.
MAnAgEMEnT AS A SPECiALizED ROLE Because of the high levels of expectations of managers of nonprofit agencies today, there can be little doubt that management needs to be seen as a specialized role with its own body of knowledge and skills. It has been clearly demonstrated in other fields that people who are proficient in entry-level technical skills do not necessarily have the aptitude or the knowledge and skills needed to function as managers. Laurence Peter (1977) wrote a revealing treatise on what he referred to as the “Peter Principle.” Briefly summarized, his position was that a person who performs competently at one level often receives a promotion, and if the person again performs competently he or she receives another promotion. This continues until finally the employee reaches a level where he or she is not able to perform competently;
