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
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
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,
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 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
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,
