For members of the sandwich generation who areworking outsid.docx

For members of the sandwich generation who are
working outside the home, flexible work schedules
can help alleviate the stresses associated with both
caregiving responsibilities and work responsibilities.
The Family and Medical Leave Act, adopted in
1993, guarantees family caregivers some unpaid
leave. In addition, some large corporations provide
time off for caregiving.
Assessing and Intervening
in Family Systems
Families are characterized by multiple ongoing
interactions. When social workers intervene with
families, there is much to observe and understand.
The dimensions of family interaction that will be dis-
cussed here include communication, family norms,
and problems commonly faced by families. In addi-
tion, two prominent family-assessment instruments
will be described: the ecomap and the genogram.
Verbal and Nonverbal Communication
Communication involves transmitting information
from one person to another, using a common system
of symbols, signs, or behaviors. Verbal communica-
tion involves the use of words and will be addressed
first.
The first phase of verbal communication involves
the translation of thoughts into words. The informa-
tion sender must know the correct words and how to
put them together. Only then will the information
have the chance of being effectively received. The

sender may be vague or inaccurate in forming the
message, and interruptions and distractions may
detract from the communication process.
The information receiver then must be receptive
to the information. That is, he or she must be paying
attention both to the sender and to the sender’s
words. The receiver must understand what the spe-
cific words mean. Inaccuracies or problems at any
point in this process can stop the information from
getting across to the receiver. At any point, distor-
tions may interfere.
Verbal communication patterns inside the family
include who talks a lot and who talks only rarely.
They involve who talks to whom and who defers to
whom. They also reflect the subtle and not so subtle
qualities involved in family members’ relationships.
The sender also transmits nonverbal messages
along with the verbal messages. These include facial
expressions, body posture, emotions displayed, and
many other subtle aspects of communication. Some-
where between verbal and nonverbal aspects of com-
munication are voice inflection, intonation, and
loudness. All this gives the receiver additional infor-
mation about the intent and specific meaning of the
message that’s being sent. Sometimes the receiver
will attribute more value to the nonverbal aspects
of the message than to the verbal.
For example, a 17-year-old son asks his father,
“Dad, can I have the car next Saturday night?”
Dad, who’s in the middle of writing up his tax re-
turns (which are due in two days), replies “No.”

Harry interprets this to mean that his father is an
authoritarian tyrant who does not trust him with
the family car. Harry stomps off in a huff. However,
what Dad was really thinking was that he and Mom
need the car this Saturday because they’re taking
their best friends, the Jamesons, out for their 20th
wedding anniversary. Dad was also thinking that
perhaps the Jamesons wouldn’t mind driving. Or
maybe he and Harry could work something out to
share the car. At any rate, Dad really meant that he
was much too involved with the tax forms to talk
about it and would rather discuss it during dinner.
This is a good example of ineffective communica-
tion. The information was vague and incomplete,
and neither person clarified his thoughts or gave
feedback to the other. There are endless variations
to the types of ineffective communication that can take
place in families. Social workers can often help to
clarify, untangle, and reconstruct communication
patterns.
One especially important aspect of assessing mes-
sages is whether they are congruent or incongruent.
Communication is incongruent when two or more
messages contradict each other’s meaning. In other
words, the messages are confusing. Contradictory
messages within families disturb effective family
functioning.
Nonverbal messages can sometimes contradict
verbal messages. For example, a recently widowed
woman says, “I’m sorry Frank passed away,” with
a big grin on her face. The information expressed by
the words indicates that she is sad. However, her
accompanying physical expression shows that she is

happy. Her words are considered socially appropri-
ate for the situation. However, in this particular
case, she seems relieved to get rid of “the old buz-
zard” and happy to be the beneficiary of a large life
insurance policy.
556 Understanding Human Behavior and the Social Environment
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The double message reflected by the widow’s ver-
bal and nonverbal behavior provides a relatively
simple, clear-cut illustration of potential problem
communication within families. However, congru-
ence is certainly not the only important aspect of
nonverbal communication. All of the principles of
nonverbal communication discussed in Chapter 11
can be applied to communication within families.
Family Norms
Family norms are the rules that specify what is con-
sidered proper behavior within the family group.
Many times the most powerful rules are those that
are not clearly and verbally stated. Rather, these are
implicit rules or repeated family transactions that all
family members understand but never discuss. It’s

important for families to establish norms that allow
both the entire family and each individual member
to function effectively and productively.
Every family differs in its individual set of norms
or rules. For example, the Myers family believes the
husband’s role is to earn enough money to support
his wife and three children. Mr. Myers works as a
bus driver for the city he lives in, and makes about
$50,000 a year. He works 40 hours a week, and then
is free to lie on the couch or pursue his hobbies of
hunting and fishing. His wife is expected to stay at
home, raise the children, and perform all the house-
hold tasks. She also home-schools the three school-
age children. The Myers attend a fundamentalist
church that urges the wife to play a supportive role
to her husband. Mrs. Myers is unaware that she puts
in more than 100 hours per week performing all her
teaching and domestic tasks. The children are ex-
pected to concentrate on their studies, and are not
asked to help out around the house. As a result,
Mrs. Myers is becoming physically and emotionally
exhausted, looks haggard, and her blood pressure is
elevated.
The Woodbeck family has very different norms.
Mr. and Mrs. Woodbeck value earning a lot of
money so that the family can take exotic vacations
and live a life of luxury. Mr. Woodbeck is an attor-
ney, and Mrs. Woodbeck is a physician. They have a
live-in housekeeper, Donna Maloney, who performs
most of the domestic tasks. The Woodbecks send
their two teenage children to a private high school
and have urged them to aspire to attend prestigious
colleges and eventually become high-paid profes-
sionals. Mr. and Mrs. Woodbeck cherish the values

that the school is helping to instill in their children,
as well as the socialization components of the
school. Mr. and Mrs. Woodbeck have few hobbies,
as both of them work an average of 70-plus hours
per week. Their free time is spent primarily on fam-
ily activities.
Social workers need to help families identify and
understand that inappropriate, ineffective norms
can be changed. For example, it simply is not in
Mrs. Myers’s best interest to be putting in more
than 100 hours a week on home-schooling and do-
mestic tasks. If a social worker became involved
(perhaps after a referral from Mrs. Myers’s physi-
cian, who is concerned about her blood pressure),
that social worker could help Mrs. Myers (and prob-
ably eventually Mr. Myers) to examine the family
norms that are adversely affecting her. Once such
norms are identified, the social worker could help
them clarify alternative solutions and help them as-
sess which is the best solution for them.
Family System Assessment: The Ecomap
An ecomap is a paper-and-pencil assessment tool
that practitioners use to assess specific troubles
and plan interventions for clients. The ecomap is
a drawing of the client/family in its social environ-
ment. An ecomap is usually drawn jointly by the
social worker and the client. It helps both the
worker and the client achieve a holistic or ecologi-
cal view of the client’s family life and the nature of
the family’s relationships with groups, associations,
organizations, other families, and individuals. It has
been used in a variety of situations, including mar-
riage and family counseling, and adoption and

foster-care home studies. The ecomap has also been
used to supplement traditional social histories and
case records. It is a shorthand method for recording
basic social information. The technique helps users
(clients and practitioners) gain insight into clients’
problems and better sort out how to make construc-
tive changes. The technique provides a “snapshot
view” of important interactions at a particular point
in time. The primary developer of the technique is
Ann Hartman (1978).
A typical ecomap consists of a family diagram
surrounded by a set of circles and lines used to de-
scribe the family within an environmental context.
The ecomap user can create her or his own abbrevia-
tions and symbols (see Figure 12.2).
To draw an ecomap, a circle (representing the cli-
ent’s family) is placed in the center of a large, blank
sheet of paper (see Figure 12.3). The composition of
Sociological Aspects of Young and Middle Adulthood 557
the family is indicated within the family circle. A

number of other circles are drawn in the area sur-
rounding the family circle. These represent the other
systems (that is, the groups, other families, indivi-
duals, and organizations) with which the family or-
dinarily interacts.
Different kinds of lines are drawn to describe the
nature of the relationships that the members of the
client family have with the other systems. The direc-
tional flow of energy (indicating giving and/or re-
ceiving of resources and communication between
the client family members and the significant sys-
tems) is expressed by the use of arrows. A case
example of the use of an ecomap follows.
Barb and Mike Haynes are referred to the Adult
Services Unit of the Greene County Human Services
Department by Dean Medical Clinic. The clinic has
been treating Mike’s mother, Ruth Haynes, for Alz-
heimer’s disease since she was diagnosed with the
disorder four years ago. For the past three years
she has been living with Barb and Mike. She now
requires round-the-clock care, because during the
evening hours she has trouble sleeping, wanders
around the house, and starts screaming when she
40 Female, 40 years old
Male, 38 years old
Person, sex, and age unknown
Deceased female, died at age 62
A stressful, conflict-laden
relationship

A tenuous, uncertain relationship
A positive relationship or
resource (the thicker the line, the
stronger or more positive the
relationship or resource)
The direction of the giving and
receiving exchange in a
relationship or resource (in
some relationships, the client
may primarily receive or give)
38
62
FIGURE 12.2 Commonly Used Symbols in an Ecomap
Client
family
Social
environment
An ecomap is an assessment tool for depicting the relationships
and interactions between a client family and its social
environment. The largest circle in the center depicts the client
family. The surrounding circles represent the significant
groups, organizations, other families, and individuals that make
up the family's social environment.
FIGURE 12.3 Setting Up an Ecomap
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becomes lost and confused. Dean Medical Clinic
has referred Barb and Mike Haynes to the Adult
Services Unit to explore alternative caregiving
arrangements.
Barb and Mike Haynes meet with Maria Garcia,
Adult Services Worker. They indicate that they feel
a moral obligation to continue caring for Ruth in
their home, because Ruth spent most of her adult
years caring for Mike and his brother and sister
when they were children. Barb and Mike also indi-
cate that they have a 2-year-old child, Erin, at home.
This is a second marriage for both Barb and Mike,
and they are paying for Mike’s son, Brian, to attend
the state university. With such expenses, both believe
they need to continue to work. Mike’s oldest sister,
Mary Kruger, is a single parent who has two children
in high school. Mary Kruger has a visual disability
but has been able to be the primary caregiver for
Ruth and Erin during the daylight hours when Mike
and Barb are at work. Recently, Mary informed Mike
and Barb that caring for Ruth is becoming too diffi-
cult and that some kind of alternative care is needed.
Ms. Garcia suggests that adult day care for Ruth may
be a useful resource.
Mike adds that it is emotionally devastating to see
his mother slowly deteriorate. He indicates he is in a
double bind; he feels an obligation to care for his
mother, but doing so is causing major disruptions in
his family life. The stress has resulted in marital dis-
cord with Barb, and he adds that both he and Barb
have become increasingly short in temper and

patience with Erin.
At this point, Ms. Garcia suggests it may be help-
ful to graphically diagram their present dilemma.
Together, the Hayneses and Ms. Garcia draw the
ecomap shown in Figure 12.4. While drawing the
map, Mike inquires whether Ruth’s medical condi-
tion might soon stabilize. Ms. Garcia indicates that
Ruth may occasionally appear to stabilize, but the
long-term prognosis is gradual deterioration in men-
tal functioning and in physical capabilities. The eco-
map helps Mike and Barb see that even though they
are working full-time during the day and spending
the remainder of their waking hours caring for
Erin and Ruth, they are becoming too emotionally
and physically exhausted to continue doing so.
During the past three years, they have ceased social-
izing with friends. Now they seldom have any time to
spend even with Brian. Feeling helpless and hopeless,
they inquire if some other care arrangement is avail-
able besides a nursing home. They indicate that Ruth
has said on numerous occasions, “I’d rather die now
than be placed in a nursing home.” Ms. Garcia tells
them of some high-quality adult group homes in the
area and gives them the addresses.
After visiting a few of the care facilities, Barb and
Mike ask Ruth to stay for a few days at one they
particularly like. At first Ruth is opposed to going
for a “visit.” But after being there a few days, she
adjusts fairly well and soon concludes (erroneously,
but no one objects) that it is a home she bought and
that the people on the staff are her “domestic
employees.” Ruth’s adjustment eases the guilt that
Barb and Mike feel in placing Ruth in a care facility,

and this results in substantial improvements in their
marital relationship and in their interactions with
Erin, Brian, and their friends.
A major value of an ecomap is that it facilitates
both the worker’s and the client’s view of the client’s
family from a systems and an ecological perspective.
Sometimes, as happened in the case of the Hayneses,
the drawing of the ecomap helps clients and practi-
tioners gain greater insight into the social dynamics
of a problematic situation.
Family System Assessment:
The Genogram
A genogram is a graphic way of investigating the
origins of a client’s problem by diagramming the
family over at least three generations. The client
and the worker usually construct the family geno-
gram jointly. The genogram is essentially a family
tree. Murray Bowen is the primary developer of
this technique (Kerr & Bowen, 1988). The genogram
is a useful tool for the worker and family members
to examine problematic emotional and behavioral
patterns in an intergenerational context. Emotional
and behavioral patterns in families tend to repeat
themselves; what happens in one generation will of-
ten occur in the next. Genograms help family mem-
bers to identify and understand family relationship
patterns.
Figure 12.5 shows some of the commonly used
symbols. Together, the symbols provide a visual re-
presentation of at least three generations of a family,
including names, ages, genders, marital status, sibling
positions, and so on. When relevant, additional items
of information may be included, such as emotional

difficulties, behavioral problems, religious affilia-
tion, ethnic origins, geographic locations, occupations,
socioeconomic status, and significant life events.
Daryl
Highlight
The following case example illustrates the use of a
genogram.
Chris Witt makes an appointment with Kyle
Nolan, a social worker in private practice. Chris is
distraught. He indicates that his wife, Karen, and
two children are currently at Sister House, a shelter
for battered women. Chris states he and his wife had
a “scuffle” two days ago, and she bruised her face.
Yesterday, when he was at work, she left home with
the children and went to Sister House. He adds that
she has contacted an attorney and is now seeking a
divorce.

Mr. Nolan inquires as to the specifics of the
“scuffle.” Chris says he came home after having a
few beers. His dinner was cold, and he “got on”
Karen for not cleaning up the house. He adds that
Karen then started mouthing off, and he slapped her
to shut her up. Mr. Nolan inquires whether such
Deceased husband’s
pension plan
(sufficient for Ruth’s
financial needs)
Ruth’s friends
(no longer
contact Ruth)
Richard—Ruth’s
other son
(no longer has
contact with
Ruth)
Metro Transit
(Mike has been
a bus driver for
13 years)
Porta Bella
Restaurant
(Barb has been

a waitress for
9 years)
Dean Medical
Clinic
(treats Ruth for
Alzheimer’s disease)
State
university
(Brian is majoring
in computer science
and living in
a residence
hall)
Mary—
Mike’s sister
(primary caregiver
during the
day for Erin
and Ruth) Friends
(Barb and Mike
have mutual friends,
but now are usually
too busy to
socialize with

them)
Erin
2
Barb
38
Jim
44
Mike
42
Ruth
62
Brian
19
Divorced Divorced
Married
4 years
M
ar
y
is
e
xh
au
st

ed
in
p
ro
vi
d
in
g
c
ar
e
Liz
37
Pat
44
Barb’s
parents
(retired and
moved to Florida;
Barb seldom sees
them)
St. James Church
(Barb attends but
Mike does not)

FIGURE 12.4 Sample Ecomap: Barb and Mike Haynes
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incidents had occurred in the past. Chris indicates,
“A few times,” and adds that getting physical with
Karen is the only way for him to “keep her in line.”
He says he works all day long in his small business
as a concrete contractor, while his wife sits at home

watching soap operas. He feels she is not doing
her fair share and the house usually looks like a
disaster.
Mr. Nolan asks Chris if he feels that getting phys-
ical with his wife is justifiable. He responds, “Sure,”
and adds that his dad frequently told him, “Spare
the rod, and spoil both the wife and the kids.”
Mr. Nolan asks Chris if his dad was abusive to
him when he was a child. Chris indicates that he
was and adds that to this day he detests his dad for
abusing him and his mother.
Mr. Nolan then suggests that together they draw a
family tree, focusing on three areas: episodes of heavy
drinking, episodes of physical abuse, and traditional
versus modern gender stereotypes. Mr. Nolan ex-
plains that a traditional gender stereotype includes
the husband as the primary decision maker, the wife
as submissive to him, and the wife as primarily re-
sponsible for domestic tasks. The modern gender ste-
reotype involves an egalitarian relationship between
husband and wife. After an initial reluctance (Chris
expresses confusion as to how such a tree would help
get his wife back), Chris agrees. The resulting geno-
gram is presented in Figure 12.6.
The genogram helps Chris to see that he and his
wife are products of family systems that have strik-
ingly different values and customs. In his family, the
males tend to drink heavily, have a traditional view
of marriage, and tend to use physical force in inter-
actions with their spouses and children. Upon ques-
tioning, Chris mentions that he has at times struck
his own children. Mr. Nolan asks Chris how he feels
about repeating the same patterns of abuse with his

wife and children that he despised his father for
using. Tears come to his eyes, and he says one word,
“Guilty.”
Mr. Nolan and Chris discuss what Chris might do
to change his family interactions and how he might
best approach his wife to request that she and the
children return. Chris agrees to attend AA (Alco-
holics Anonymous) meetings and a therapy group
for batterers. After a month of attending these meet-
ings, Chris contacts his wife and asks her to return.
Karen agrees to return if Chris stops drinking (most
of the abuse occurred when he was intoxicated) and
if he agrees to continue to attend group therapy and
AA meetings. Chris readily agrees. Karen’s parents
express their disapproval of her returning.
For the first few months, Chris Witt is on his best
behavior, and there is considerable harmony in the
21 21-year-old male
Deceased male (died at age 67)
Deceased female (died at
age 32)
33-year-old identified female
client
27-year-old identified male
client
23-year-old female
Couple separated (/) in 1981,

divorced (//) in 1983
Unmarried couple living
together since 1982, with a
4-year-old son
Married couple with an
adopted daughter
Married couple (married
in 1982)
Married couple with two
children: an 8-year-old daughter
and a 3-year-old son
Married couple, wife pregnant
m 82
8 3
33
67
23
82
4
s 81; d 83
32

27
FIGURE 12.5 Commonly Used Genogram Symbols
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Witt family. Then one day Chris has to fire one of
his employees. Feeling bad, he stops afterward at a
tavern and drinks until he is intoxicated. When he
finally arrives home, he starts to verbally and physi-
cally abuse Karen and the children. This is the final

straw for Karen. She takes the children to her par-
ents’ house, where they stay for several days until
they are able to find and move into an apartment.
She also files for divorce and follows through in
obtaining one.
In many ways, this is not a success case (in reality,
many cases are not). The genogram, however, was
useful in helping Chris realize that he had acquired,
and was acting out, certain dysfunctional family pat-
terns. Unfortunately, he was not yet fully ready to
make lasting changes. Perhaps sometime in the fu-
ture he will be more committed to making changes.
At the present time, he has returned to drinking
heavily.
The ecomap and the genogram have a number of
similarities. With both techniques, users gain insight
into family dynamics. Some of the symbols used in
the two approaches are identical. There are also dif-
ferences. The ecomap focuses attention on a family’s
interactions with groups, resources, organizations,
associations, other families, and other individuals.
52
47 57 59
Loren Rebecca
30 26
58
m?

54 55
Richard Marge Mildred
77
Emma LeRoy
Traditional view
of marriage;
used to drink
heavily
Traditional
view of
marriage
Nondrinker;
modern view of
marriage
Social drinker;
modern view of
marriage
Episodes of
heavy drinking;
modern view of
marriage

Episodes of
heavy drinking;
incidents of spouse
abuse; traditional
view of
marriage
2832 25
ChrisDan
31
Linda
13
Janet
5
m 89
m ?m 61
s 90, d 91
Loretta
3
Marvin
Gail Bill Karen

FIGURE 12.6 Sample Genogram: The Chris and Karen Witt
Family
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The genogram focuses attention on intergenerational
family patterns, particularly those that are problem-
atic or dysfunctional.
Family Problems and Social Work Roles

Thorman (1982) points out that although each fam-
ily is unique, conflicts and problems within families
tend to cluster in four major categories: (1) marital
problems between the husband and wife; (2) difficul-
ties between parents and children; (3) personal prob-
lems of individual family members; and (4) stresses
imposed on the family by the external environment.
Family problems do not necessarily fall neatly
into one or another of these categories. Frequently,
families experience more than one category of prob-
lems. Nor are these problem categories mutually
exclusive. Many times one problem will be closely
related to another. Consider, for instance, the wife
and mother of a family who is a department store
manager and the primary breadwinner for her fam-
ily. The store at which she has been working for the
past 11 years suddenly goes out of business. Despite
massive efforts, she is unable to find another job
with similar responsibilities and salary. This can be
considered a family problem caused by stresses in the
environment. However, this is also a personal prob-
lem for the wife and mother. Her sense of self-worth is
seriously diminished by her job loss and inability to
find another position. She becomes cranky, short-
tempered, and difficult to live with. The environmen-
tal stress she is experiencing causes her to have diffi-
culties relating to both her children and spouse. The
entire family system becomes disturbed.
A family therapy perspective sees any problem
within the family as a family group problem, not
as a problem on the part of any one individual mem-
ber (Okun & Rappaport, 1980). Social workers,
therefore, need to assess the many dimensions of
the problem and the effects on all family members.

The first category of problems typically experi-
enced by families is marital problems between the hus-
band and wife. Although problems between spouses
affect all family members, intervention may target a
subsystem of the family—in this case, the marital sub-
system. In other words, a social worker may work
with the couple alone instead of the entire family to
solve a specific problem. When the marital pair gets
along better, the entire family will be positively
affected. A marital problem case example follows.
Gianna and Mark Di Franco were married in
1998. Both had been previously divorced. Gianna
had two children from a prior marriage, and Mark
had four. Gianna was a financial planner who owned
her own company. Mark was vice president of a
much larger company. Both earned about the same
amount. On the night before they were married,
Mark presented Gianna with a prenuptial agreement.
It stated that the assets each brought into the mar-
riage would be kept separate, and would be the prop-
erty of the person bringing it into the marriage if a
divorce occurred. The agreement also stated that
each spouse would pay an equal share of the family
expenses. Mark said he would not marry Gianna un-
less she signed the agreement. Gianna did not want to
call off the wedding, so she signed the agreement.
After three years of marriage, Gianna had two ma-
jor concerns. First, when Mark became angry with
her, he would refuse to talk to her—often for as long
as two weeks. Gianna often did not know “what she
did wrong.” Mark, after pouting for a while, would
eventually start talking again. When she asked why

he’d stopped communicating, he’d always respond,
“If you can’t figure it out, I’m not going to tell you.”
Gianna’s second concern was financial. Mark be-
came president of his company and received a big in-
crease in salary. Gianna, on the other hand, saw her
earnings sliced nearly in half as the stock market drop
in the early 2000s resulted in much less business for
her company. She asked Mark several times to pay
more of the family expenses. He always pulled out
the prenuptial agreement and said he wanted to pay
his extra money into trust funds for his four children.
The financial situation and the communication
problem became such major issues for Gianna that
she went to see a family social worker. The social
worker indicated that progress on these issues could
only be made if Mark came in for joint counseling.
Mark at first refused to go. Gianna had to give him
an ultimatum: “Either go with me for counseling, or
I’m filing for divorce.”
Mark relented and went for counseling with
Gianna. At first, he refused to change the prenuptial
agreement, but eventually he realized that if he didn’t
pay more of the household expenses, and if he didn’t
start communicating with Gianna about his con-
cerns, she was going to file for divorce. He thus
agreed to pay more of the family expenses. However,
the communication issue was more of a hurdle for
him. He was raised in a family in which he learned
the pattern of not communicating from his father,
who also would stop speaking for a week or two to
his wife when he was angry with her. Gianna adopted

the strategy of making a counseling appointment for
Mark and her whenever Mark stopped talking to her
for a day or two.
Richard B. Stuart (1983) developed a Couple’s
Pre-Counseling Inventory, which is used to assess a
couple’s problems. Each member of the couple is
asked to fill out the questionnaire separately. Later,
answers can be shared during counseling, and mis-
conceptions each has about how the other person
feels can be clarified. Areas that are evaluated include
happiness with the relationship; caring behaviors
liked, and perceptions of caring behaviors liked, by
the partner; communication; how conflict is man-
aged; how moods and other aspects of personal life
are managed; sexual interaction; how children are
managed; willingness to make changes; marital his-
tory; and specific goals each person wants to pursue.
Such an instrument provides an excellent mecha-
nism for assessment because misconceptions between
partners can be clearly pinpointed. For instance, un-
der the topic of sexual interaction, members of the

couple are asked to respond to a variety of statements,
indicating their levels of satisfaction with the issue
involved. The range is from 5, which means “very
satisfied,” to 1, which means “very dissatisfied.”
One statement concerns “the length of our foreplay.”
If one partner is very satisfied and the other very
dissatisfied, this is clearly an area that needs to
be addressed.
The second major type of family problem in-
volves relationships between parents and children,
including parents’ difficulties controlling their chil-
dren and, especially as children reach adolescence,
communication problems.
There are many perspectives on child manage-
ment and parent-child communication techniques.
Two major approaches are the application of learn-
ing theory and Parent Effectiveness Training (PET),
developed by Thomas Gordon (1970). Practitioners
can help parents improve their control of children
by assessing the individual family situations and
teaching parents some basic behavior modification
techniques. Behavior modification involves the ap-
plication of learning theory principles to real-life
situations. Practitioners can also teach the use of
PET techniques. (The application of learning theory
principles to positive parenting was discussed in
Chapter 4, and PET was described in Chapter 8.)
Personal problems of individual family members
make up the third category of problems typically
experienced by families.
For example, John and Tara Altman brought
their 12-year-old-son, Terrell, into treatment because

for two years he had shown decreasing interest in
doing his schoolwork. His grades also slowly fell
from a B average to one D (in physical education)
and the rest Fs. The school system was considering
recommending that Terrell repeat the seventh grade.
John and Tara asked the social worker to “inspire”
Terrell to become refocused on his schoolwork. The
social worker asked Terrell why his grades had slid.
He replied that his mom and dad used to help him
with his schoolwork, but they had stopped showing
much interest in him. In fact, it seemed that his par-
ents had stopped talking to one another in the past
two and a half years.
At this point, the social worker decided to meet at
the next session with just John and Tara to explore
what was happening between them. At that session,
Tara revealed she had discovered two and a half
years earlier that John had had a brief affair with
one of her best friends shortly after they were mar-
ried, and she was unable to forgive him. At first, she
was furious with John, but now she had become so
depressed that she was on Prozac. She had given up
talking to John, and they had not been intimate since
her discovery. John acknowledged that he had had
the affair, and said he was trying to do everything
in his power to restore their former relationship.
John added that he had thrown himself into his
work as an electrician in order to escape his wife’s
wrath. He was also concerned that Tara was drinking
too much. Tara said alcohol helped her escape the
pain of knowing that John had had an affair. And
she was seriously thinking about divorcing John
once Terrell graduated from high school.
The social worker helped John and Tara see that

Terrell’s lack of interest in school was related to his
parents’ showing little interest in him; it was also his
way of adapting to the animosity between John and
Tara. The social worker helped Tara see that she
needed to either divorce John now or let go of focus-
ing on the pain she felt about the affair. After con-
siderable reflection, Tara said she wanted to find a
way to let go. The social worker helped her learn to
tell herself “Stop” whenever she began to think
about the affair, and to then think instead of positive
attributes about John and her family. This process of
learning to let go took Tara about three months to
fully implement.
During this period, both Tara and John focused
much more of their attention, in positive ways, on
Terrell. He began refocusing on his schoolwork, his
grades began to improve, and he also became more
contented.
The Altman family provides a good illustration of a

family-owned problem. All three family members were
hurting emotionally. Terrell was the identified client,
but all three family members needed to make changes
in order for the family to function more effectively.
The fourth category of problems frequently found
in families includes problems caused by factors
outside the family. These problems may include
inadequate income, unemployment, poor housing,
inadequate access to means of transportation and
places for recreation, and lack of job opportunities.
Also included in the multitude of potential problems
are poor health, inadequate schools, and dangerous
neighborhoods.
To begin addressing these problems, social workers
need effective brokering skills. That is, they need to
know what services are available, and how to make a
connection between families in need and these services.
Many times, appropriate services will be unavail-
able or nonexistent. Social workers will need to advo-
cate, support, or even help to develop appropriate
resources for their clients. Services that do not exist
will need to be developed. Unresponsive agency ad-
ministrations will need to be confronted. Legal assis-
tance may be needed. There are no easy solutions to
solving such nationwide problems as poverty or poor
health care. This is an ongoing process, and political
involvement may be necessary. Such environmental
stresses pose serious problems for families, and social
work practitioners cannot ignore them.
Social Work
with Organizations
As defined in Chapter 1, organizations are “(1) social

entities that (2) are goal-directed, (3) are designed as
deliberately structured and coordinated activity sys-
tems, and (4) are linked to the external environment”
(Daft, 2007, p. 10). Social entities involve groups of
people, all having their own strengths, needs, ideas,
and quirks. Organizations are goal-directed in that
they exist to accomplish some purpose or meet
some need. As an activity system, an organization is
made up of a coordinated series of units accomplish-
ing different tasks yet working together to achieve
some common end. Finally, organizations are in con-
stant interaction with other people, decision makers,
agencies, neighborhoods, and communities in the
external social environment as they strive to achieve
goals.
It is imperative that social workers have an exten-
sive knowledge of organizations. As Chapter 1 indi-
cates, working with organizations is one of the
systems in which social workers are expected to have
expertise. Highlight 12.12 expands on the importance
of social workers’ being skilled in understanding and
analyzing organizations. Several theories of organiza-
tional behavior are presented in this section. These
different theories provide a variety of perspectives
for viewing and analyzing organizations.
The Autocratic Model
The autocratic model has been in existence for thou-
sands of years. During the Industrial Revolution, it
was the predominent model for how an organization
should function. This model depends on power. Those
who are in power act autocratically. The message to
employees is, “You do this—or else”; an employee
who does not follow orders is penalized, often severely.

Anautocratic model uses one-way communication—
from the top to the workers. Management believes
that it knows what is best. The employee’s obliga-
tion is to follow orders. Employees have to be per-
suaded, directed, and pushed into performance, and
this is management’s task. Management does the
thinking, and the workers obey the directives. Under
autocratic conditions, the workers’ role is obedience to
management.
The autocratic model does work in some settings.
Most military organizations throughout the world
are formulated on this model. The model was also
used successfully during the Industrial Revolution,
for example, in building great railroad systems and
in operating giant steel mills.
The autocratic model has a number of disadvan-
tages. Workers are often in the best position to iden-
tify shortcomings in the structure and technology of
the organizational system, but one-way communica-
tion prevents feedback to management. The model
also fails to generate much of a commitment among
the workers to accomplish organizational goals. Fi-
nally, the model fails to motivate workers to put forth
an effort to further develop their skills (skills that
often would be highly beneficial to the employer).
The Custodial Model
Many decades ago, when the autocratic model was
the predominant model of organizational behavior,
some progressive managers began to study their

employees. They found that the autocratic model of-
ten resulted in the employees’ feeling insecure about
their continued employment. Employees also had
feelings of aggression toward management. Because
the employees could not express their discontent di-
rectly, they expressed it indirectly. Some vented their
anger on their families and neighbors, and the entire
community suffered. Others sabotaged production.
Davis and Newstrom (1989) described sabotage in a
wood-processing plant:
Managers treated workers crudely, sometimes even
to the pointofphysical abuse. Since employees could
not strike back directly for fear of losing their jobs,
they found another way to do it. They symbolically
fedtheirsupervisortoalog-shreddingmachine!They
did this by purposely destroying good sheets of ve-
neer, which made the supervisor look bad when
monthly efficiency reports were prepared. (p. 31)
In the 1890s and 1900s, some progressive employ-
ers thought that if these feelings could be alleviated,
employees might feel more like working, which would

increase productivity. To satisfy the employees’ secu-
rity needs, a number of companies began to provide
welfare programs such as pension programs, child-
care centers, health insurance, and life insurance.
The custodial approach leads to employee depen-
dence on the organization. According to Davis and
Newstrom (1989), “If employees have ten years of
seniority under the union contract and a good pen-
sion program, they cannot afford to quit even if the
grass looks greener somewhere else!” (p. 31).
Employees working under a custodial model tend
to focus on their economic rewards and benefits.
They are happier and more content than under the
autocratic model, but they do not have a high com-
mitment to helping the organization accomplish its
goals. They tend to give passive cooperation to their
employer. The model’s most evident flaw is that
most employees are producing substantially below
their capacities. They are not motivated to advance
to higher capacities. Most such employees do not
HIGHLIGHT 12.12
Analyzing a Human Services Organization
It is essential that a social worker understand and analyze not
only the agency or organization that she or he works for but
also the other agencies and organizations that she or he inter-
acts with. Some questions that are useful in analyzing an
agency or organization are the following:
1. What is the mission statement of the organization?
2. What are the major problems of the organization’s

clients?
3. What services does the organization provide?
4. How are client needs determined?
5. What percentage of clients are people of color,
women, gays or lesbians, older adults, or members of
other at-risk populations?
6. What was the total cost of services of this organization
in the past year?
7. How much money is spent on each program?
8. What are the organization’s funding sources?
9. How much money and what percentage of funds does
the organization receive from each source?
10. What types of clients does the organization refuse?
11. What other organizations provide the same services in
the community?
12. What is the organizational structure? For example,
does the organization have a formal chain of
command?
13. Is there an informal decision-making process and
structure at the organization? (That is, are there peo-
ple who exert more influence than would be expected
from their formal positions in the bureaucracy of the
organization?)
14. How much input do the direct service providers at the
organization have on major policy decisions?
15. Does the organization have a board that oversees its
operations? If so, what are the backgrounds of the

board members?
16. Do employees at every level feel valued?
17. What is the morale among employees?
18. What are the major unmet needs of the organization?
19. Does the organization have a handbook of personnel
policies and procedures?
20. What is the public image of the organization in the
community?
21. What has been the rate of turnover in recent years
among the staff at the organization? What were
departing staff members’ major reasons for leaving?
22. Does the organization have a process for evaluating
the outcomes of its services? If so, what is the process,
and what are the outcome results?
feel fulfilled or motivated at their place of work. In
summary, contented employees (which the custodial

model is designed to ensure) are not necessarily the
most productive.
The Scientific Management Model
One of the earliest and most important schools of
thought on the management of functions and
tasks in the workplace was based on the work of
Frederick Taylor (1947). Taylor was a mechanical
engineer, an American industrialist, and an educa-
tor. He focused primarily on management techni-
ques that would lead to increased productivity. He
asserted that many organizational problems in the
workplace involved misunderstandings between man-
agers and workers. Managers erroneously thought
that workers were lazy and unemotional, and they
mistakenly believed they understood workers’ jobs.
Workers mistakenly thought that managers cared
most about exploiting them.
To solve these problems, Taylor developed the sci-
entific management model, which focused on the need
for managers to conduct a scientific analysis of the
workplace. One of the first steps was to conduct a
careful study of how each job could best be accom-
plished. An excellent way to do this, according to
Taylor, was to identify the best worker at each job
and then carefully study how he or she did the work.
The goal of this analysis was to discover the optimal
way of doing the job—in Taylor’s words, the “one
best way.” Once this best way was identified, tools
could be modified to better complete the work, work-
ers’ abilities and interests could be fitted to particular
job assignments, and the level of production that the
average worker could sustain could be gauged.
Once the level of production for the average

worker was determined, Taylor indicated that the
next step was to provide incentives to increase pro-
ductivity. His favorite strategy was the piece-rate
wage, in which workers were paid for each unit they
produced. The goals were to produce more units, re-
duce unit cost, increase organizational productivity
and profitability, and provide incentives for workers
to produce more.
Taylor’s work has been criticized as having a
“technicist” bias, because it tends to treat workers
as little more than cogs on a wheel. No two workers
are exactly alike, so the “one best way” of doing a job
is often unique to the person doing it. In fact, forcing
the same work approach on different workers may
actually decrease both productivity and worker
satisfaction. In addition, Taylor’s approach has lim-
ited application to human services providers. Because
each client is unique, each situation has to be individ-
ualized, and therefore it is difficult (if not impossible)
to specify the “one best way” to provide a service.
The Human Relations Model
In 1927, the Hawthorne Works of the Western Elec-
tric Company in Chicago began a series of experi-
ments designed to discover ways to increase worker
satisfaction and worker productivity (Roethlisberger
& Dickson, 1939). Hawthorne Works manufactured
telephones on an assembly line. Workers needed no
special skills, and they performed simple, repetitive
tasks. The workers were not unionized, and manage-
ment sought to find ways to increase productivity. If
job satisfaction could be increased, employees would
work more efficiently, and productivity would then
increase.

The company tested the effects on productivity of
a number of factors: rest breaks, better lighting,
changes in the number of work hours, changes in
the wages paid, improved food facilities, and so on.
The results were surprising. Productivity increased,
as expected, with improved working conditions; but
it also increased when working conditions worsened.
This latter finding was unexpected and led to an
additional study.
The investigators discovered that participation in
these experiments was extremely attractive to the
workers, who felt they had been selected by manage-
ment for their individual abilities. As a result, they
worked harder, even when working conditions be-
came less favorable. In addition, the workers’ mo-
rale and general attitude toward work improved,
because they felt they were receiving special atten-
tion. Participating in a study enabled them to work
in smaller groups and become involved in making
decisions. Working in smaller groups allowed them
to develop a stronger sense of solidarity with their
fellow workers. Being involved in decision making
decreased their feelings of meaninglessness and
powerlessness about their work.
In sociological and psychological research, the re-
sults of this study have become known as the
Hawthorne effect. In essence, when people know
they are participants in a study, this awareness may
lead them to behave differently and substantially in-
fluence the results.
The results of this study, and of other similar
studies, led some researchers to conclude that the

key variables affecting productivity are social fac-
tors. Etzioni (1964) summarized some of the basic
tenets of the human relations approach:
• The level of production is set by social norms, not
by physiological capacities.
• Noneconomic rewards and sanctions significantly
affect the behavior of the workers and largely
limit the effect of economic incentive plans.
• Workers do not act or react as individuals but as
members of groups.
• The role of leadership is important in understand-
ing social factors in organizations, and this leader-
ship may be either formal or informal.
Numerous studies have provided evidence to sup-
port these tenets (Netting, Kettner, & McMurtry,
1993). Workers who are capable of greater produc-

tivity often will not excel because they are unwilling
to exceed the “average” level set by the norms of the
group, even if this means earning less. These studies
have also found that attempts by management to
influence workers’ behavior are often more success-
ful if targeted at the group as a whole, rather than at
individuals. Finally, the studies have documented
the importance of informal leadership in influencing
workers’ behavior in ways that can either amplify or
negate formal leadership directives. This model as-
serts that managers who succeed in increasing pro-
ductivity are most likely responsive to the workers’
social needs.
One criticism of the human relations model is
(surprisingly) that it tends to manipulate, dehuman-
ize, oppress, and exploit workers. The model leads
to the conclusion that management can increase pro-
ductivity by helping workers become content, rather
than by increasing economic rewards for higher pro-
ductivity. The human relations model allows for
concentrated power and decision making at the
top. It is not intended to empower employees in
the decision-making process or to assist them in ac-
quiring genuine participation in the running of the
organization. The practice of dealing with people on
the basis of their perceived social relationships
within the workplace may also be a factor in perpet-
uating the “good old boys” network; this network
has disadvantaged women and people of color over
the years. Another criticism of the human relations
approach is that a happy workforce is not necessar-
ily a productive workforce, because the norms for
worker production may be set well below the work-
ers’ levels of capability.

Theory X and Theory Y
Douglas McGregor (1960) developed two theories
of management. He theorized that management
thinking and behavior are based on two different
sets of assumptions, which he labeled Theory X
and Theory Y.
Theory X managers view employees as being inca-
pable of much growth. Employees are perceived as
having an inherent dislike for work and attempting
to evade work whenever possible. Therefore, X-type
managers believe they must control, direct, force, or
threaten employees to make them work. Employees
are also viewed as having relatively little ambition,
wishing to avoid responsibilities, and preferring to
be directed. Theory X managers therefore spell out
job responsibilities carefully, set work goals without
employee input, use external rewards (such as money)
to push employees to work, and punish those who
deviate from established rules.
Because Theory X managers reduce responsibili-
ties to a level at which few mistakes can be made,
work usually becomes so structured that it is monot-
onous and distasteful. These Theory X assumptions,
of course, are inconsistent with what behavioral
scientists assert are effective principles for directing,
influencing, and motivating people. Theory X man-
agers are, in essence, adhering to an autocratic
model of organizational behavior.
In contrast, Theory Y managers view employees
as wanting to grow and develop by exerting physical
and mental effort to accomplish work objectives to
which they are committed. These managers believe
that the promise of internal rewards, such as self-

respect and personal improvement, are stronger
motivators than external rewards (money) and pun-
ishment. They also believe that under proper condi-
tions, employees will not only accept responsibility
but seek it. Most employees are assumed to have
considerable ingenuity, creativity, and imagination
for problem solving. Therefore, they are given con-
siderable responsibility to test the limits of their ca-
pabilities. Mistakes and errors are viewed as
necessary phases of the learning process, and work
is structured so that employees have a sense of
accomplishment and growth.
Employees who work for Y-type managers are
generally more creative and productive, experience
greater work satisfaction, and are more highly moti-
vated than employees who work for X-type man-
agers. Under both management styles, expectations
often become self-fulfilling prophecies.
The Collegial Model
A useful extension of Theory Y is the collegial

model, which emphasizes the team concept. Employ-
ees work together closely and feel a commitment to
achieving a common purpose. Some organizations—
such as university departments, research laborato-
ries, and most human services organizations—have
a goal of creating a collegial atmosphere to facilitate
achieving their purposes. (Sadly, many such organi-
zations are unsuccessful in creating such an
atmosphere.)
Creating a collegial atmosphere is highly depen-
dent on management’s building a feeling of partner-
ship with employees. When such a partnership
develops, employees feel needed and useful. Man-
agers are then viewed as joint contributors rather
than as bosses. Management is the coach that builds
a better team. Davis and Newstrom (1989) described
some of the approaches to developing a team
concept:
The feeling of partnerships can be built in many
ways. Some organizations have abolished the use
of reserved parking spaces for executives, so every
employee has an equal chance of finding one close
to the workplace. Some firms have tried to elimi-
nate the use of terms like “bosses” and “subordi-
nates,” feeling that those terms simply create
perceptions of psychological distance between
managers and nonmanagers. Other employers
have removed time clocks, set up “fun committees,”
sponsored company canoe trips, or required man-
agers to spend a week or two annually working in
field or factory locations. All of these approaches
are designed to build a spirit of mutuality, in which
every person makes contributions and appreciates
those of others. (p. 34)

If the sense of partnership is developed, employ-
ees produce quality work and seek to cooperate with
coworkers, not because management directs them to
do so, but because they feel an internal obligation to
produce high-quality work. The collegial approach
thus leads to a sense of self-discipline. In this envi-
ronment, employees are more apt to have a sense of
fulfillment, to feel self-actualized, and to produce
higher-quality work.
Theory Z
William Ouchi described the Japanese style of man-
agement in his 1981 best-seller Theory Z. In the late
1970s and early 1980s, attention in the U.S. business
world became focused on the Japanese approach to
management, as markets long dominated by U.S.
firms (such as the automobile industry) were taken
over by Japanese industries. Japanese industrial
organizations had rapidly overcome their earlier
reputation for poor-quality work and were setting
worldwide standards for quality and durability.
Theory Z asserted that the theoretical principles
underlying Japanese management went beyond The-
ory Y. According to Theory Z, a business organiza-
tion in Japan is more than the profitability-oriented
entity that it is in the United States. It is a way of
life. It provides lifetime employment. It is enmeshed
with the nation’s political, social, and economic net-
work. Furthermore, its influence spills over into
many other organizations, such as nursery schools,
elementary and secondary schools, and universities.
The basic philosophy of Theory Z is that involved

and committed workers are the key to increased pro-
ductivity. Ideas and suggestions about how to im-
prove the organization are routinely solicited, and
implemented where feasible. One strategy for ac-
complishing this is the quality circle, where employ-
ees and management routinely meet to brainstorm
about ways to improve productivity and quality.
In contrast to American organizations, Japanese
organizations tend not to have written objectives or
organizational charts. Most work is done in teams,
and decisions are made by a consensus. The teams
tend to function without a designated leader. Cooper-
ation within units, and between units, is emphasized.
Loyalty to the organization is also emphasized, as is
organizational loyalty to the employee.
Experiments designed to transplant Japanese-
style management to the United States have re-
sulted in mixed success. In most cases, American
organizations have concluded that Theory Z proba-
bly works quite well in a homogeneous culture that
has Japan’s societal values, but some components
do not fit well with the more heterogeneous and
individualistic character of the United States. In ad-
dition, some firms in volatile industries (such as
electronics) have difficulty balancing their desire to
provide lifetime employment with the need to ad-
just their workforces to meet rapidly changing mar-
ket demands.
Management by Objectives
Fundamental to the core of an organization is its
purpose—that is, the commonly shared understand-
ing of the reason for its existence.

Management theorist Peter Drucker (1954) pro-
posed a strategy for making organizational goals
and objectives the central construct around which
organizational life is designed to function. In other
words, instead of focusing on employee needs and
wants, or on organizational structure, as the ways
to increase efficiency and productivity, Drucker pro-
posed beginning with the desired outcome and work-
ing backward. The strategy is first to identify the
organizational objectives or goals and then to adapt
the organizational tasks, resources, and structure to
meet those objectives. This management by objec-
tives (MBO) approach is designed to focus the orga-
nization’s efforts on meeting these objectives.
Success is determined, then, by the degree to which
stated objectives are reached.
This approach can be applied to the organization
as a whole, as well as to internal divisions or depart-
ments. When the MBO approach is applied to inter-
nal divisions, the objectives set for each division
should be consistent with and supportive of the over-

all organizational objectives.
In many areas, including human services, the
MBO approach can also be applied to the cases ser-
viced by each employee. Goals are set with each cli-
ent, tasks to meet these goals are then determined,
and deadlines are set for the completion of these
tasks. The degree of success of each case is then de-
termined at a later date (often when a case is closed)
by the extent to which stated goals were achieved.
An adaptation of the MBO approach, called stra-
tegic planning and budgeting (SPB), became popular
in the 1990s and is still widely used. The process
involves first specifying the overall vision or mission
of an organization, then identifying a variety of
more specific objectives or plans for achieving that
vision, and, finally, adapting the resources to meet
the specific high-priority objectives or plans. Organi-
zations often hire outside consultants to assist in
conducting the SPB process.
One major advantage of the MBO approach for an
organization or its divisions is that it produces clear
statements (made available to all employees) about
the objectives and the tasks that are expected to be
accomplished in specified time periods. This type of
activity tends to improve cooperation and collabora-
tion. The MBO approach is also useful because it pro-
vides a guide for allocating resources and a focus for
monitoring and evaluating organizational efforts.
An additional benefit of the MBO approach is
that it creates diversity in the workplace. Prior to
this approach, those responsible for hiring failed to

employ women and people of color in significant
numbers. As affirmative action programs were de-
veloped within organizations, the MBO approach
was widely used to set specific hiring goals and ob-
jectives. The result has been significant changes in
recruitment approaches that have enabled more
women and minorities to secure employment.
Total Quality Management
The theorist most closely associated with developing
the concept of total quality management (TQM) is
W. Edwards Deming (1986). Deming was a statisti-
cian who formed many of his theories during World
War II, when he instructed industries on how to use
statistical methods to improve the quality of military
production. Following World War II, Deming taught
the Japanese his theories of quality control and
continuous improvement, and he is now recognized,
along with J. Juran (1989) and others, as having
laid the groundwork for Japan’s industrial and
economic boom.
Omachonu and Ross (1994) define total quality
management as “the integration of all functions and
processes within an organization in order to achieve
continuous improvement of the quality of goods and
services. The goal is customer satisfaction” (p. 1).
TQM is based on a number of ideas. It means think-
ing about quality in terms of all functions of the
enterprise and as a start-to-finish process that inte-
grates interrelated functions at all levels. It is a
systems approach that considers every interaction
between the various elements of an organization.
TQM asserts that the management of many busi-
nesses and organizations makes the mistake of blam-

ing what goes wrong in an organization on
individuals rather than on the system. TQM, rather,
believes in the “85/15 Rule,” which asserts that
85 percent of the problems can be corrected by
changing systems (structures, rules, practices, expec-
tations, and traditions that are largely determined by
management) and less than 15 percent of the prob-
lems can be solved by individual workers. When
problems arise, TQM asserts, management should
look for causes in the system and work to remove
them before casting blame on workers.
TQM further maintains that customer satisfac-
tion is the main purpose of the organization. There-
fore, quality includes continuously improving all
the organization’s processes that lead to customer
satisfaction. The customer is seen as part of the
design and production process, as the customer’s
needs must be continually monitored.
In recent years, numerous organizations have

adopted a TQM approach to improve their goods
and services. One of the reasons that quality is being
emphasized more is because consumers are increas-
ingly shunning mass-produced, poorly made, dispos-
able production. Companies are realizing that to
remain competitive in global markets, quality of
products and services is essential. Ford’s motto,
“Quality Is Job One,” symbolizes this emphasis.
There are a variety of approaches to TQM, largely
because numerous theoreticians (business gurus) have
advanced somewhat diverse approaches. Hower
(1994, p. 10) gives the following summary of the key
principles of TQM:
• Employees asking their external and internal cus-
tomers what they need, and providing more of it
• Instilling pride into every employee
• Concentrating on information and data (a com-
mon language) to solve problems, instead of con-
centrating on opinions and egos
• Developing leaders, not managers, and knowing
the difference
• Improving every process (everyone is in a pro-
cess), checking this improvement at predetermined
times, then improving it again if necessary
• Helping every employee enjoy his or her work
while the organization continues to become more
productive
• Providing a forum or open atmosphere so that

employees at all levels feel free to voice their opi-
nions when they think they have good ideas
• Receiving a continuous increase in those sugges-
tions, and accepting and implementing the best ones
• Utilizing the teamwork concept, because teams
often make better decisions than individuals
• Empowering these teams to implement their re-
commended solutions and learn from their failures
• Reducing the number of layers of authority to en-
hance this empowerment
• Recognizing complaints as opportunities for
improvement
These principles give the reader an idea of the
“flavor” of TQM.
Summary Comments About Models
of Organizational Behavior
Any of these models can be successfully applied in
some situations. Which model to apply to obtain the
highest productivity depends on the tasks to be com-
pleted and on employee needs and expectations. For
example, the autocratic model will probably work well
in military operations, where quick decisions are
needed to respond to rapidly changing crises and
where military personnel expect autocratic leadership.
However, this model does not generally work well in
human services organizations, in which employees are
expecting the Theory Y style of managers.

Value Orientations
in Organizational
Decision Making
In theory, the task of making decisions about an or-
ganization’s objectives and goals would follow a ra-
tional process. This process would include identifying
the problems, specifying resource limitations, weigh-
ing the advantages and disadvantages of proposed
solutions, and selecting the resolution strategy with
the fewest risks and the greatest chance of success. In
practice, however, subjective influences (particularly
value orientations) can impede the rational process.
Most people tend to believe that decisions are made
primarily on the basis of objective facts and figures.
However, values and assumptions form the bases of
most decisions, and facts and figures are used only in
relation to these values and assumptions. Consider the
following list of questions. What do they indicate
about how we make our most important decisions?
• Should abortions be permitted or prohibited dur-
ing the first weeks following conception?
• Should homosexuality be viewed as a natural ex-
pression of sexuality?
• When does harsh discipline of a child become
child abuse?
• Should the primary objective of imprisonment be
rehabilitation or retribution?
Answers to these questions are usually not based on
data uncovered after careful research; they are based
on individual beliefs about the value of life, personal

freedom, and protective social standards. Even every-
day decisions are based largely on values.
Practically every decision is also based on certain
assumptions. Without assumptions, nothing can be
proved. Assumptions are made in every research
study to test any hypothesis. For example, in a mar-
ket research survey, analysts assume that the instru-
ments they use (such as a questionnaire) will be valid
and reliable. It cannot even be proved the sun will
rise in the east tomorrow without assuming that its
history provides that proof.
Every decision maker in an organization brings
not only his or her objective knowledge and exper-
tise to the decision-making process, but also his or
her value orientations. Value orientation means an
individual’s own ideas about what is desirable and
worthwhile. Most values are acquired through prior
learning experiences in interactions with family,
friends, educators, organizations such as a church,

and anyone else who has made an impression on a
person’s thinking.
Philosopher Edward Spranger (1928) believed
that most people eventually come to rely on one of
six possible value orientations. Although it is possi-
ble for a person to hold values in all six orientations,
each person tends to lean more heavily toward one
type in the decision-making process. The six value
orientations are as follows:
• Theoretical. A person with a theoretical orienta-
tion strives toward a rational, systematic ordering
of knowledge. Personal preference does not count
as much as being able to classify, compare, contrast,
and interrelate various pieces of information. The
theoretical person places value on simply knowing
what exists—and why.
• Economic. An economic orientation places pri-
mary value on the utility of things, and practical
uses of knowledge are given foremost attention.
Proposed plans of action are assessed in terms of
their costs and benefits. If the costs outweigh the
benefits, the economically oriented person is not
likely to support the plan.
• Aesthetic. An aesthetic orientation is grounded in
an appreciation of artistic values, and personal
preferences for form, harmony, and beauty are in-
fluential in making decisions. Because the experi-
ence of single events is considered an important
end in itself, reactions to aesthetic qualities will
frequently be expressed.
• Social. A social orientation is an empathetic one

that values other people as ends in themselves.
Concern for the welfare of people pervades the
behavior of the socially oriented decision maker,
and primary consideration is given to the quality
of human relationships.
• Political. A political orientation involves a con-
cern for identifying where power lies. Conflict
and competition are seen as normal elements of
group activity. Decisions and their outcomes are
assessed in terms of how much power is obtained,
and by whom, because influence over others is a
valued goal.
• Religious. A person with a religious orientation is
directed by a desire to relate to the universe in some
meaningful way. Personal beliefs about an “abso-
lute good” or a “higher order” are employed to de-
termine the value of things, and decisions and their
outcomes are placed into the context of such beliefs.
Liberal, Conservative, and
Developmental Perspectives
on Human Service
Organizations
Three diverse views that have major impacts on hu-
man services organizations are the liberal, conserva-
tive, and developmental perspectives. Politicians and
decision makers often make their decisions on hu-
man service issues in terms of whether they adhere
to a liberal or a conservative philosophy. The Re-
publican Party is considered to be relatively conser-
vative, and the Democratic Party is considered to be
relatively liberal. This discussion will focus on liber-
alism and conservatism in their pure forms. In real-

ity, many people espouse a mixture of both views.
For example, some Democrats are primarily conser-
vative in ideology and some Republicans are primar-
ily liberal in ideology.
Note that the three dimensions described in
the following sections—conservative, liberal, and
developmental—are portrayed in a purist fashion,
implying that proponents rigidly adhere to the pre-
scribed views. As with Democrats and Republicans,
in real life, most people reflect a unique combination
of these views.
Conservative Perspective
Conservatives (a term derived from the verb to
conserve) tend to resist change. They emphasize
Ethical Question 12.8
When you make major decisions,
which of these value orientations do
you tend to use?
EP 2.1.2

tradition and believe rapid change usually results in
more negative than positive consequences. In eco-
nomic matters, conservatives feel that the govern-
ment should not interfere with the workings of the
marketplace. They encourage the government to
support (for example, through tax incentives) rather
than regulate business and industry. A free market
economy is thought to be the best way to ensure
prosperity and fulfillment of individual needs. Con-
servatives embrace the old adage, “That government
governs best which governs least.” They believe that
most government activities constitute threats to indi-
vidual liberty and to the smooth functioning of the
free market.
Conservatives generally view individuals as being
autonomous—that is, as being self-governing. Re-
gardless of what a person’s situation is, or what prob-
lems he or she has, each person is thought to be
responsible for his or her own behavior. People are
thought to choose whatever they are doing, and they
therefore are viewed as being responsible for what-
ever gains or losses result from their choices. Con-
servatives view people as having free will, and thus
as able to choose to engage in behaviors such as
hard work that help them get ahead, or activities
such as excessive leisure that contribute to failing
(or being poor). Poverty and other problems are
seen as being the result of laziness, irresponsibility,
or lack of self-control. Conservatives believe that so-
cial welfare programs force hardworking, productive
citizens to pay for the consequences of the irrespon-
sible behavior of recipients of social welfare services.

Conservatives generally advocate the residual
approach to social welfare programs (Wilensky &
Lebeaux, 1965). The residual view holds that social
welfare services should be provided only when an
individual’s needs are not properly met through
other societal institutions, primarily the family and
the market economy. Social services and financial
aid should not be provided until all other measures
or efforts have failed and the individual’s or family’s
resources are fully used up. In addition, this view as-
serts that funds and services should be provided on a
short-term basis (primarily during emergencies) and
should be withdrawn when the individual or the fam-
ily again becomes capable of being self-sufficient.
The residual view has been characterized as
“charity for unfortunates.” Funds and services are
ETHICAL DILEMMA
Are the Poor to Blame for Being Poor?
The residual view of social welfare holds that
people are poor as a result of their own mal-
functioning. The following are illustrations
of this view:
• Some are lazy.
• Some make bad decisions, such as buying
too many useless items on credit cards.
• Some have more children than they can support.
• Some are unable to work because they are addicted to

alcohol or other drugs.
• Some have a very low IQ.
• Some teenagers have children before they can finish their
education, thus affecting job opportunities.
Since the poor are perceived as being to blame for
their predicament, the residual view asserts that funds and
social services to help them should be only minimally
provided.
In contrast, the institutional view of social welfare holds
that people are poor as a result of causes largely beyond their
control. The following are illustrations of this view:
• Some are unemployed, or underemployed, because of a
lack of employment opportunities.
• Racial discrimination and sexism prevent some people of
color and some women from reaching their full economic
potential.
• Economic recessions lead some to lose their jobs.
• Outsourcing of jobs to other countries results in some
people in this country losing their jobs.
• Natural disasters, such as earthquakes, hurricanes, wild-
fires, and tornadoes, result in some people losing their
homes and personal possessions.
• Low-quality school systems prevent some people from
fulfilling their economic potential.
• Some lose most of their financial resources as a result of

scams and corporate fraud.
With this institutional view, the poor are not perceived as being
to blame for their predicament. They are viewed as being
entitled
to long-term assistance from society. Also, efforts should be
made to improve economic opportunities for the poor.
Which view do you hold?
EP 2.1.2
not seen as a right (something that one is entitled to)
but as a gift, and the receiver has certain obligations;
for example, in order to receive financial aid, recipi-
ents may be required to perform certain low-grade
work assignments. Under the residual view, there is
usually a stigma attached to receiving services or
funds.
Conservatives believe that dependency is a result
of personal failure, and they also believe it is natural

for inequality to exist among humans. They assert
that the family, religious organizations, and gainful
employment should be the primary defenses against
dependency. Social welfare, they believe, should be
only a temporary function that is used sparingly. Pro-
longed social welfare assistance, they believe, will lead
recipients to become permanently dependent.
Conservatives believe charity is a moral virtue
and that the “fortunate” are obligated to help the
“less fortunate” become productive, contributing cit-
izens. If government funds are provided for health
and social welfare services, conservatives advocate
that such funding should go to private organizations,
which are thought to be more effective and efficient
than public agencies in providing services. Conserva-
tives tend to believe that the federal government is
not a solution to social problems but is part of the
problem. They assert that federally funded social wel-
fare programs tend to make recipients dependent on
the government, rather than assisting recipients to
become self-sufficient and productive.
Conservatives revere the traditional nuclear family
and try to devise policies to preserve it. They see the
family as a source of strength for individuals, and as
the primary unit of society. Accordingly, they oppose
abortion, sex education in schools, rights for homo-
sexuals, public funding of day-care centers, birth con-
trol counseling for minors, and other measures that
might undermine parental authority or support alter-
native family forms such as single parenthood.
Liberal Perspective
In contrast, liberals believe that change is generally
good as it brings progress; moderate change is best.

They view society as needing regulation to ensure
fair competition between various interests. In partic-
ular, the market economy is viewed as needing reg-
ulation to ensure fairness. Government programs,
including social welfare programs, are viewed as
necessary to help meet basic human needs. Liberals
advocate government action to remedy social defi-
ciencies and to improve human welfare. Liberals
believe that government regulation and intervention
are often necessary to safeguard human rights, to
control the excesses of capitalism, and to provide
equal chances for success. They emphasize egalitari-
anism and the rights of minorities.
Liberals generally adhere to an institutional view
of social welfare. This view holds that social welfare
programs are “accepted as a proper legitimate func-
tion of modern industrial society in helping indivi-
duals achieve self-fulfillment” (Wilensky & Lebeaux,
1965, p. 139). Under this view, there is no stigma
attached to receiving funds or services; recipients
are viewed as entitled to such help. Associated with
this view is the belief that an individual’s difficulties
are due to causes largely beyond his or her control
(for example, a person may be unemployed because
of a lack of employment opportunities). With this
view, when difficulties arise, causes are sought in
the environment (society) and efforts are focused
on improving the social institutions within which
the individual functions.
Liberals assert that because society has become so
fragmented and complex, and because traditional in-
stitutions (such as the family) have been unable to
meet human needs, few individuals can now func-

tion without the help of social services (including
such services as work training, job location services,
child care, health care, and counseling). Liberals be-
lieve that problems are often due to causes beyond
the individual’s control. Causes are generally sought
in the person’s environment. For example, a child
with a learning disability is thought to be at risk
only if that child is not receiving appropriate educa-
tional services to accommodate his or her disability.
In such a situation, liberals would seek to develop
educational services to meet the child’s learning
needs.
Liberals view the family as an evolving institu-
tion, and therefore they are willing to support pro-
grams that assist emerging family forms—such as
single-parent families and same-sex marriages.
Developmental Perspective
Liberals for years have criticized the residual ap-
proach to social welfare as being incongruent with
society’s obligation to provide long-term assistance
to those who have long-term health, welfare, social,
and recreational needs. Conservatives, on the other
hand, have been highly critical of the institutional
approach as they claim it creates a welfare state in
which many recipients simply become dependent on

the government to meet their health, welfare, social,
and recreational needs—without seeking to work
and without contributing in other ways to the well-
being of society. It is clear that conservatives will
attempt to stop the creation of any major social pro-
gram that moves the country in the direction of be-
ing a welfare society. They have the necessary
legislative votes to stop the enactment of programs
that are “marketed” to society as being consistent
with the institutional approach.
Is there a view of social welfare that can garner
the support of both liberals and conservatives?
Midgley (1995) contends that the developmental
view (or perspective) offers an alternative approach
that appears to appeal to liberals, conservatives, and
to the general public. Midgley defines this approach
as a “process of planned social change designed to
promote the well-being of the population as a whole
in conjunction with a dynamic process of economic
development” (p. 25).
This perspective has appeal to liberals because it
supports the development and expansion of needed
social welfare programs. The perspective has appeal
to conservatives because it asserts that the develop-
ment of certain social welfare programs will have a
positive impact on the economy. The general public
also would be apt to support the developmental per-
spective. Many voters oppose welfarism, as they

believe it causes economic problems (for example,
recipients living on the government dole, rather
than contributing to society through working). As-
serting and documenting that certain proposed
social welfare programs will directly benefit the
economy is attractive to voters.
Midgley and Livermore (1997) note that the de-
velopmental approach is, at this point, not very well
defined. The approach has its roots in the promotion
of social programs in developing (third-world) coun-
tries. Advocates for social welfare programs in de-
veloping countries have been successful in getting
certain programs enacted by asserting and docu-
menting that such programs will have a beneficial
impact on the overall economy of the country.
Midgley and Livermore note, “The developmental
perspective’s global relevance began in the Third
World in the years of decolonization after World
War II” (p. 576). The United Nations later used the
developmental approach in its efforts to promote the
growth of social programs in developing countries,
asserting that such programs had the promise of im-
proving the overall economies of these countries.
What are the characteristics of the developmental
approach? It advocates social interventions that con-
tribute positively to economic development, thus
promoting harmony between economic and social
institutions. The approach regards economic progress
as a vital component of social progress, and it pro-
motes the active role of government in economic
A Peace Corps volunteer teaches a group of Costa Rican boys.

Pa
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it
and social planning (in direct opposition to the resid-
ual approach). Finally, the developmental approach
focuses on integrating economic and social develop-
ment for the benefit of all members of society.
The developmental approach can be used in ad-
vocating for the expansion of a wide range of social
welfare programs. It can be argued that any social
program that assists a person in becoming employ-
able contributes to the economic well-being of a so-
ciety. It can also be argued that any social program

that assists a person in making significant contribu-
tions to his or her family, or to his or her community,
contributes to the economic well-being of a society,
as functional families and functional communities
are good for businesses. Members of functional
families tend to be better employees, and businesses
desire to locate in communities that are prospering
and that have low rates of crime and other social
problems.
A few examples will illustrate how the develop-
mental approach can be used to advocate for the ex-
pansion of social welfare programs. It can be argued
that job training, quality child-care, and adequate
health insurance will all benefit the economy because
they will help unemployed single parents obtain em-
ployment. All of these programs will facilitate the
parents’ being able to work. It can be argued that pro-
viding mentoring programs and other social services
will help at-risk children stay in school and eventually
contributing to society as adults by obtaining employ-
ment and contributing to their families and to the
communities in which they live. It can be argued
that rehabilitative programs in the criminal justice
system will help correctional clients become con-
tributing members of society. It can be argued that
alcohol and drug treatment programs, nutritional
programs, eating disorder intervention programs,
stress management programs, and grief management
programs will help people with issues in these areas to
handle them better, thereby increasing the likelihood
that they will become contributors to the economy
and to the well-being of society.
Chapter Summary
The following summarizes this chapter’s content in

terms of the learning objectives presented at the be-
ginning of the chapter.
A. Describe the following lifestyles and family
forms that young adults may enter into:
marriage, cohabitation, single life, parenthood,
and the life of a childless couple.
In young adulthood, people choose a personal life-
style. Choosing a personal lifestyle partly involves
making career decisions. Young adults may also enter
into a variety of family living arrangements, includ-
ing marriage, cohabitation, single life, parenthood,
and childless couples.
B. Describe three major sociological theories
about human behavior: functionalism, conflict
theory, and interactionism. These are macro-
system theories.
Three macro-system theories in sociology—
functionalism, conflict theory, and interactionism—
offer contrasting explanations of human behavior.
Functionalism views society and other social systems
as composed of interdependent and interrelated
parts. Conflict theory is more radical, viewing soci-
ety as a struggle for scarce resources among indivi-
duals and social groups. Interactionist theory views
human behavior as resulting from the interaction of
a person’s unique, distinctive personality and the
groups he or she participates in.
C. Discuss three social problems that young and
middle-aged adults may encounter: poverty,
empty-shell marriages, and divorce. One-

parent families, blended families, and mothers
working outside the home will also be
discussed.
Those most vulnerable to being poor include
one-parent families, children, older adults, large fami-
lies, people of color, the homeless, those without a high
school education, and those living in urban slums.
Three types of empty-shell marriages are devita-
lized relationships, conflict-habituated relationships,
and passive-congenial relationships. About one of
two marriages ends in divorce. Although a divorce
is traumatic for everyone in the family, it appears
that children become better adjusted when raised in
a one-parent family in which they have a good rela-
tionship with that parent than in a two-parent family
filled with discontent and tension.
Becoming more common in our society are one-
parent families, blended families, and mothers working
outside the home. Poverty affects one-parent families
significantly more than it does two-parent families. The
formation of a blended family requires substantial

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