Directing and CONTROLLING (Paghari-on & Pacificar)

WHAT IS DIRECTING?
"-it is the function of constraining and regulating action by interpreting, explaining and
instructing subordinates about the requirements of a plan or some phases of it. It is a communication by
a supervisor, concerning the performance expected and the authority granted to the subordinate for
such performance." -Davis and Filley

REMEMBER ME!
o Directing is the process of implementing the total plan.
o designed to give the respondent both information and understanding of the work to be
done.
o concerned with the way an executive or supervisor issues instuctions to his
subordinates.
o directing is issuing instructions.

Key Points:
o Compliance should be reasonable.
o It should be complete as to what is to be done.
o It should be clear to the person receiving it.

Steps in Directing involves:

o Setting up the major responsibilities, persons, units,
o and branches
o Placing the jobs, responsibilities, and functions
o properly in an organizational pattern
o Issuing the directions, special assignments, and orders
o Controlling or directing closely by basic policies
o and plans

CONTROLLING

INTRODUCTION TO CONTROLLING PROCESS

Controlling as "The work of constraining, coordinating and regulation action in accordance with
plans for the achievement of specified objectives." - Davis and Filley

THINGS TO REMEMBER!

It is the function of making function action conform to standards that assure satisfactory
accomplishment of the objectives of a plan.

STEPS TO FOLLOW:
o Checking and reporting on performance.
o Taking corrective action.
o Setting standards at strategic points.
o Getting feedback or information about the results of performance

The purpose of control

 -on any deviation, standards are the goals and objectives of the organization/agency as a whole
and are broken down into objectives for individual departments and sections. -Newman in a book
edited by Schatz

CASE IN POINT
-In terms of projected program plans, membership goals, participation levels, amount of income
anticipated from various sources, amount of expenditures anticipated for the several budget items,
extent of active participation of board and committee members, and so forth.

HOW DOES CONTROLLING BEGINS?

By the stated purposes, it begins with the process of checking actual results against such stated
objectives. If the control is to have an effective influence on performance. The administrators should
make sure that the goals are identified with individual responsibility

Ex: budget controls are most effective

When department heads participate in drawing up departmental budgets to conform to
programs and operational plans and are held responsible for expenditures over which they have
authority. Periodic departmental budget reviews are essential.

FF ARE the essential requisites for implementing budgetary control successfully:

o Top Management Support.
o Clearly Defined Organizational
o Structure.
o Inspection
o Efficient Accounting System.
o Reporting of Deviations.
o Motivation
o Realistic Targets/ Setting Deadline
o Participation of All Departments
o Concerned
o Flexibility
o Prior approval of projects
SECTION 7: COORDINATING

It is a big job to achieve the objectives of an agency, and it is for this reason that functions and
tasks to accomplish the goals have to be assigned and divided among the many personnel or workers of
the agency. The management's task is to see to it that all the efforts of all workers performing the job
are coordinated.

Definition:
Coordination is best defined as the process of interrelating the various parts of the work of an
agency so that it functions as a whole. It is a process by which cooperation, agreement, and
understanding are secured to support a common endeavor. It is also a process whereby a
supervisor/executive develops an orderly pattern of a group effort among his subordinates and secures
unity of action in the pursuit of the common purpose. It, therefore, calls for effective leadership to
assure coordination not only of the job or function but also of the personnel's efforts. Coordination
takes place through communication between and among people,linking both organization functions and
the groups of people.

Types of Coordination
According to Davis and Filley, there are two basic types of coordination used to link together
the functions of the organization and the people. They are:

1. Coordination of thought - This has to do with the relationship between mental activities. The
development of standards of thought and action is important since it aids in common understanding of
the action to be taken. Common measures, terminology, specification, or philosophy are all examples of
such basic aids to coordination of thought. Unity of thought is also a prerequisite for a meeting of minds,
hence, it is important in developing and maintaining morale.

[Link] of action - This has to do primarily with establishing a harmonious relationship between
and among physical activities. The proper training and sequence of physical activities are re-established.

Forms of Coordination
In general, there are two forms of coordination:

1. Perpendicular or vertical coordination - This is effected through the competent delegation of

responsibility and the corresponding authority for the performance of every act from the largest to the
smallest. The"scalar principle of organization"
- which extends from top to bottom with the authority coming from the top as well as maintaining
responsibility for seeing that the job is done after it has been delegated- is an example where vertical
coordination is effected. Ideally, this
should be two-way coordination, that is, not only from top to bottom but also from bottom to top.

2. Horizontal coordination or cross-coordination - This refers to supervisors or executives on the same

level coordinating and relating their activities or functions among themselves. This is necessary since the
actions within one's area of responsibility will affect the other part of the agency or vice-versa.

Ways for Effective Coordination

Basically, coordination in an agency can be achieved if there is a cooperative environment.

Cooperation is the key to effective coordination.

Among the ways by which this can be achieved are the following:

1. Clear lines of authority and responsibility

2. Periodic reports
3. Effective communication system through the use of:
a. committees
b. staff meetings/conferences
c. group decision-making techniques

In addition to the above, "modern management leans heavily on anotherconcept", that is,
coordination by reason of the fact that the entire staff understood and accepted the organization's goals
and objectives and results(MBOR)

Criteria of Successful Coordination

Coordination is not an end by itself but should be a tool or a means towards the achievement of
the goal. The following are the criteria for successful coordination:

1. It is not forced by autocratic direction but is fostered by leaders who understand the value of
participative management.

[Link] is timely and extends in a balanced organization and operates horizontally and vertically.
3. Rensis Likert noted in his book "The Human Organization" there are conditions that should be met by
an organization if it is to achieve a satisfactory solution to the coordination of functional problems.

a. It must provide high levels of cooperative behavior between supervisors and subordinates and
especially among peers.

[Link] members should have confidence and trust among themselves.

It must have the organizational structure and the interaction skills required to solve differences and
conflicts and to attain creative solutions.

[Link] must possess the capacity to exert influence and to create motivations and coordination without
traditional forms of line authority.

[Link] decision-making processes and superior-subordinate relationships must be such as to enable a

person to perform his job well and without hazard when he has two or more superiors.

Teamwork
In administration, "leadership and supportive teamwork can make a major difference in the
services offered. Skidmore says that "staff workers working cooperatively work together can bring
results that surpass in quantity and quality the mere addition of the contribution of each. When they do
not work together the results may be negative or diminished.

There are five major processes in teamwork, according to Skidmore. They

are the following:

1. Communication - Sharing of ideas and feelings and involves listening as well as interacting and
reflecting back ideas and involves both verbal and non-verbal components.

2. Compromise - Due to individual differences, it is expected that when two or more people
communicate with each other, the next process is either to accept the plans or work out a compromise.

3. Cooperation - This is a process where two or more people are working together and helping each
other. It involves doing one's own work efficiently and effectively and making a successful contribution
to the agency as a whole. A commitment of time and energy is involved in cooperation. Competition
among the staff members is the enemy of teamwork.

4. Coordination - This requires the involvement of all staff members. Here the "strands of an agency are
intertwined in organization and practice so that the agency's strengths come to the fore and friction and
difficulties are minimized"

5. Consummation - The activities and projects started with others must be completed. A major part of
the teamwork process is bringing service or activities to a conclusion.

Coordination, according to Skidmore, "means that the strands of an agency are intertwined in
organization and practice so that the agency's strengths come to the fore and friction and difficulties are
minimized."
 SECTION 8
COMMUNICATION

All the administrative/management functions in one way or another will have to use
communication if they have to be accomplished effectively. The administrators must communicate their
feedback to the top people. Those on the same level in the organization must likewise be
communicating with each other. The administrator must see to it that all channels of communication
must be well established and properly maintained. There are many forms of communication which the
welfare agency may use and, therefore, there is no valid reason why there can be no communication
among the staff of the agency from the administrator down to the lowest ranking worker.

Definition
Communication has been defined in several ways by many authorities:
Davis and Filley say that "communication is that phase of the managerial process that transmits
ideas from one person to another for use in the performance of management functions.
According to Albers, "communication may be defined as the transfer of meaning from one
person to another through signs, signals, or symbols from mutually understood language system."
Bellows states that "communication is a two-way channel directed to all staff and/or board
members for transmitting ideas, plans, commands, reports and suggestions concerning all appropriate
agency tasks, goals and objectives which are to be met. Communication is, therefore, the vital link that
unites executives, board members, employees and clients of an agency or a program and establishes a
liaison between the agency, the government representatives and the concerned members of the
community.

Skidmore points out that "communication in social work administration is extremely important for
three main reasons, namely:
1. Effectiveness - Communication is basic in the delivery of services in the formulation of sound policies
and in decision-making. Such communication must be two-way and must be a democratic process.
2. Efficiency - Staff members must communicate openly among themselves the procedures, methods,
cases, policies, goals, and efficient techniques for expediting and improving social services as well as
certain procedures which are found to be ineffective.
[Link]-The leaders and staff members should feel connected in order to be supportive of one another
to achieve the agency goals. They should tell one another what they think and why, "Agency morale is
built on the understanding of administrators and staff members, who communicate and help one
another in the delivery of social services."

Essential Components of Communication

From the several definitions just cited, it can be seen that communication as an administrative tool must
be a two-way channel to be effective, otherwise it is just information giving without any feedback.
Geor`ge de Mare says that communication is composed of three essential elements:
1. the source or sender;
2. the message; and
3. the receiver - unless the receiver gets and understands the message, effective communication has
not taken place.

Purposes of Administrative Communication

Communication is sent for some reason or another. Whatever the purpose or reason for
communicating, it is important to be clear about to whom it will be sent, what is to be said, when is it to
be sent and how it will be sent.
According to Trecker, there are six major purposes of administrative communication and they are as
follows:
1. To clarify what is to be done, how, and by whom;
2. To reinforce identity with agency purposes;
3. To transmit problems, suggestions, ideas;
4. To report progress;
5. To promote participation; and
6. To promote social interchange or to provide recognition.

Patterns of Communication
Communication flow in an agency is greatly affected by its organizational structure. A
government or public welfare agency, for example, is a complex organization with its hierarchy and
communication, therefore, is slow and incomplete. On the other hand, a private welfare agency which is
smaller and simpler in its structure will have a faster flow of communication. Whether it is a public or
private agency, there are always two patterns of communication, namely:

1. Formal communication - This means the rational, planned system of procedures and channels by
which information flows from the lines of authority as seen in the organizational chart. This may include
not only downward communication but also upward and cross communication.
2. Informal communication - This means that communication does not follow channels of authority.
Instead, it is channeled by the social contacts among the people in the agency and it is commonly known
as the "grapevine". Surprisingly, the grapevine is fast in its distribution of news but it is inaccurate in
keeping the original facts straight.

Methods for Delivering Communication

There are several ways of delivering communication. Whatever way it may be will depend on the
urgency of the message. Some of the ways are as follows:

1. Telephone - This is the quickest way where feedback is immediate and includes mobile phone
through text.
2. Face to face - This is another quick way if the receiver is available and where feedback is also
immediate.
3. Special messenger - This applies if the message is urgent and the receiver within reach.
4. Meetings - If the message is for large number of people or group such as the staff, board, committee,
etc., this is the quickest way.
5. Reports - This is one way by which the administrator is informed of the progress of the work of the
staff. In private organizations, the report is a means by which the board members are informed by the
executive. The feedback may be slow but a large amount of information is given.
6. Letter - This is usually done where there is a need to send a message outside of one's agency. The
feedback here is slow.
7. Memo - This is used for internal non-urgent communication and usually feedback is usually also slow.
8. E-mail, Facebook, Twitter, etc.
9. Informal conference
10. Newsletters
11. Bulletin boards
12. Suggestion box
13. The grapevine
 SECTION 9- BUDGETING AND FINANCING

BUDGET- is a financial plan whether for an agency or a program.

BUDGETING- is one of areas of financial administration with which an administrator must be concerned if he is run the
organization efficiently.

The main areas in financial administration are:

1. Securing of funds or income

2. Using the funds in accordance with the objectives of the organization or budgeting and;
3. Maintaining appropriate records of financial transactions or accounting and also auditing

ACCOUNTING- is the art of recording, classifying, and summarizing in a significant manner and in terms of money
transactions or events

RECORDING- include making entries; classifying and summarizing accounting data in a form of enhancing information.

AUDITING- is the state of making an audit or an examination.

Skidmore’s format of budgeting:

1. Line- item budgeting- this is the most used format. It indicates how the money is to be spent, but it
does not depict what the agency does.

2. Program Budgeting- goals and objectives are a significant part and include services, offered by the
agency. An example of program budgeting is the Program, Planning and Budgeting System (PPBS).

3. Functional budgeting- this system encompasses programs services but emphasizes the supporting
administrative services that are needed for operating and agency.

4. Zero- based budgeting(ZBB)- this is done particularly in government agencies.

COST-BENEFIT ANALYSIS- is thus a tool for the administrator confronted with the need to make choices among viable
competing programs decide to achieve certain objectives.

THE BUDGET- MAKING PROCESS: According to Skidmore, the process involves the following steps;

1. Setting the specific needs and goals of agency. The goals and objectives ought to be observable and
measurable.
2. Collecting and studying basic information.
3. Looking at alternatives and different ways of using the money that may be available during the year.
4. Deciding on priorities for the agency.
5. Finalizing decisions regarding the budget.
6. Providing adequate interpretation and public relations
FINANCING- may be defined as the allocation of an organization/ agency’s liquid assets to assure their most productive
use. Funds required by government agencies come from the taxes of the people.

1. Fees for services

2. Membership dues
3. Investment earnings
4. Use of capital resources
5. Sale of goods and publications;
6. Bequests; private foundations
7. Tax funds or government grants
8. Grants or contracts for services
9. Donor contributions

FINANCIAL RECORDS- is an ongoing record of what has the agency has spent on what and how will it is staying within its
budget. The agency’s bookkeeper or accountant enters into this ongoing record or ledger book all receipts, cancelled
checks, and other necessary documents or papers showing what have been spent. All social workers who are working on
a program must periodically check with the bookkeeper or accountant to see how the money for the program is being
sent.

FINANCIAL CONTROL- a set of procedures for purchases is followed in addition to keeping a ledger book on expenses.
The usual practice is for the worker to fill out a purchase order in several copies (quadruplicate). One copy or the
supervisor of the program or the person who approves the expenditures, one for the bookkeeper, one for the merchant
from whom the social worker will buy, and the last copy is for the worker.

It is also a common practice for financial control to have more than one person to handle income and disburse
money. Oftentimes two out of three signatories, usually a staff and member of the board, sign checks and deposit slips.

The staff and even the volunteers should be given the right to see the budget and the financial statements of the
agency. With this practice, they will take real responsibility in accounting for and controlling the finances, thereby
enhancing their commitment to the program.
 SECTION 10: RECORDING AND REPORTING

RECORDING is a process of an account in written or other permanent form serving as authentic evidence of a fact or
event. Recording is used for many different purposes.

For example, case Recording may be used for administrative purposes, for teaching, and for research.

According to Gordon Hamilton. "the chief function of the record is to show the nature of the case situation, what the
client is doing about his problem and how the worker carries the responsibility of offering help or treatment”

According Jill Kagle, the primary purpose for recording is accountability. Practitioners discharge an important legal and
ethical responsibility to their agencies, chents, communities and profession by documenting, explaining and evaluating
their services.

Kagleadds, "Information from records may be used not only by the practitioners, supervisor, consultant and other
professionals in the agency but also by the courts, other community agencies, oversight and funding organization,
managed case networks and accrediting groups as well as the client and the client’s family, attorney and employer.

"Recording is much more than a practice skill. It involves a series of important professional decisions at all levels of the
organization.

These types which have continued to have a strong influence on the field are new approaches to record keeping.
According to Kagle, they are as follows:

1. Tape recording -This is used to supplement and not to replace the need to keep other records. "Audiotape
and videotape are useful in educating students and supervising family therapy and other process-oriented
approaches to practice."

[Link]-oriented recording-"Problems and identified services are planned and delivered, problems are
resolved."
Kaglesays that progress notes follow the "SOAP“ format:

•S for subjective information

•O for objective information
•A for assessment, and
•P for plans.

3. Time series recording -The documentation of repeated measures of the specific behaviors, attitudes, or
interactions that are the focus of social work intervention.

Type of recording is used the important matter to consider is to of the content to information pertinent to the
delivery of services, which include the following: who the client is, what the client needs, what services
delivered, and how the services affect the client and the need.
Reporting as a process of management is broadly interpreted as a process communication. It is not only a two-way flow
of information upward and downward but also outward, across, and around.

Report means "to make or give an account of, often formally." Reports are based on accurate records, research, and
investigation.

The key purposes of reporting are:

1. For upward and outward purposes, to report the progress, future needs and plans, and account for one's
performance and justification of program.
2. For downward purposes, reports are made to inform the workers about policies, programs,

CLASSIFICATION OF REPORTS

The most common types of reports according to Lesikar are the following:

[Link] matter reports -finance, personnel, program, project, research

a. Client service reports-those working with clients in any capacity must make reports to their
supervisors regarding each client or client group.

b. Program, project, or research reports -a periodic (daily, weekly, client group. and/or monthly) report
to the head concerning progress towards the goal should be made.

c. Personnel reports -the progress or lack of progress being made by the personnel should be reported

d. Financial reports -a periodic budget report by program, project or research directors and by the
agency's finance executive should be made.

2. Time interval reports -Many subject matter reports are submitted on a present time interval such as daily,
weekly, monthly, quarterly,

3. Interim and miscellaneous reports -Memoranda are used within an agency to inform staff and executive of
activities and as reminders. The miscellaneous reports include:

A .Progress reports -This covers how activities are progressing.

b. Improvement reports -This may be made by program and/or project directors concerning their
programs or employees.

b. Recommendation reports -This is usually prepared by a committee

PREPARING AN AGENCY REPORT

According to Gallagher," there are basically 10 steps involved in prepare a report. They are:
[Link] the problem
[Link] the scope of the problem
[Link] the methods for obtaining relevant information.
 [Link] the information.
[Link] the information
6. Forming the conclusion(s)
7. Organizing the report -Keep in mind who the readers are. It may be arranged as follows:
A. Summary
•Purpose and scope
•Conclusion
•Recommendation

b. Introduction
C. Body
D. Appendix

8. Preparing the first draft.

9. Editing the first draft.
10. Publishing the report.

CHARACTERISTICS OF AN EFFECTIVE WRITTEN REPORT

The report is meant for one's supervisor or supervisee, or for someone outside of one's agency, an effective
written report must have certain characteristics. It should be:

1. Clear
2 Pertinent
3. Priefbut complete
4. Current
5. Accurate
6. Informative
7. Comparative
8. Properly classified
9. Attractive in format
10. Objective
11. Presented on schedule/time
12. Dated and signed
 SECTION 11- PUBLIC RELATIONS

Organized public relations practice is the continuing effort to effect a harmonious adjustment between an institution and
its public. Experience has taught that this adjustment requires, among other things, a two-way exchange of opinions and
information, which can result in mutual understanding and mutual interest. This free-flowing interchange of ideas and
information requires planned effective communication. In this process the practitioner serves, in turn, the role of catalyst,
counselor, and communicator.

Public relations, as an organized program, includes:

1. Facilitating and evaluating a free flow of opinions, attitudes, ideas, and reactions from all persons, however far
removed or remotely affected, concerned with the acts and policies of an organization.

2. Bringing these attitudes, opinions, ideas, and reactions to bear on the policies and programs of an organization
makes it possible for the organizations to chart a course that will serve the mutual interests of all concerned.

3. Explaining and dramatizing the chosen course to all those who may be affected and whose support is essential
to the success of the organization served by the practitioner.

Public relations is the management function which evaluates public attitudes, identifies the policies and
procedures of an individual or an organization with the public interest and executes a program of action to earn
public understanding and acceptance.

Public relations is defined as the activities and techniques used by organizations and individuals to establish
favorable attitude and responses in their behalf on the part of the general public or of special groups.

Public relations consists of 90 percent doing the right thing and 10 percent telling about it. "Good conduct
coupled with good reporting" is another. Many writers hold that public relations is simply the practical
application of the Golden Rule.

The work of welfare, health, and religious agencies is society's response to de consequences of its social
disorganization. Social welfare work is the affirmative answer to the question: "Am I my brother's keeper?" The
humanitarian urge to give aid and comfort to those needing it is deep within us all. Social work has now matured
into a professional calling. Caught up in the turmoil and tension of today's divided world, it is in the midst of
difficult problems and on the threshold of great opportunities.

The salient principles of successful public relations, according to Elizabeth Haglund as quoted by Skidmore, are
the following:

[Link] where and what your goals are. What are your targets?

[Link] who you want to reach. Who are your publics?

3. Evaluate resources, such as money, facts, manpower and skills available.

[Link] how your benefits dovetail with those you reach. Give before you get.

[Link] specific techniques of public relations in regard to preparation and participation regarding
advertising, publicity and brochures. Ask the questions, who, what, where, why and how much.
 For example, brevity is important. Ordinarily one to two pages for newspapers is ample and probably half
a page for radio and TV is optional.

[Link] absolutely honest.

[Link] people. Show appreciation.

FUNCTIONS

Public relations is a function of management. It is more than just press relations, and the public relations
officer is often responsible to the board of directors.

The function of public relations is to promote public understanding and acceptance of an agency and its
services. The purpose is to ensure that the "image" or impression which the public carry of the agency is a
favorable one, so that ultimately there will be greater acceptance of the services of the agency.

QUALITIES OF A PUBLIC RELATIONS OFFCIER

The qualities of a good public relations officer include:

 Integrity
 A sense of timing and good journalistic ability
 Good knowledge of media such as television, exhibitions, press, etc.
 Ability to get along well with all sorts of people.

DUTIES OF A PUBLIC RELATIONS OFFICER

The duties of a public relations officer may comprise the following:

1. Providing information about the agency, its programs and services, inquiries on matters affecting the agency,
its policies etc.

2. Dealing with all relations with the press and other public relations organizations.

3. Organization of visits to other agencies and exhibitions.

4. Responsibility for house journal, internal agency newsletter or journal.

Public Image

It is important that the agency should decide, as an important matter of policy, what type of public image it
should project. To this end, all agency policies should reflect this overall policy of agency image.

A basic public relations policy can be put forward to ensure that the public is influenced to react to the agency in
the desired way. There are a number of publics, e.g., stockholders, clientele, employees (potential and present),
suppliers, and the government.

The various "publics" can be influenced by good relations to regard the organization as:

1. a good organization to work for, or invest in; and

2. an organization, whose services can be given with confidence and reliability.

 It is also important to increase morale both inside and outside the company. If employees are proud of the
organization, its achievements and services to the community, employees must be aided in their daily work. This
can, for example, help social workers become more confident in their service to clients.

Effective public relations can also be of help in the promotion of new service programs. A public relations
promotes a company and its services to a wider range of public. There is a problem drawn in trying to measure
the effectiveness of public relations as its results may not be too evident or capable of measurement.

The Executive as Public Relations Officer

Agencies are not self-contained units but are linked to their environment, and an executive holds a
position which places him in a particular relationship to the outside world, whether this can be conceived of as
the agency's immediate setting or the local community.

On a variety of occasions, the executive is the agency's official representative, as a member of the
coordinating committee, for example or in formal contracts with the executives of other agencies. But in addition
to performing the specific task on hand, he is also giving expression to a relationship between his own agency and
those with whom he is carrying out its business, On such occasions, he not only represents the agency, but to all
intents and purposes he is the agency, and on him falls ultimate responsibility for creating its "public image"

No agency functions in isolation. It is at the center of a series of concentre circles, representing the
elements in the community with which it must maintain a live relationship if it is to do its job.

The Executive as Public Relations Officer

First, it must establish its identity and its functions in relation to other organizations.

Second, it must establish its identity in relation to clients actual and potential.

Third, an agency's identity needs to be established in the community.

Public Relations and the Media

There are various ways which a competent social work administrator can utilize to interpret their
agencies to the public. They include television, radio, newspapers, brochures, books and personal contacts
among many others available currently with the advent of technology.
 SECTION 12
EVALUATION AND RESEARCH

All social institutions or subsystems, whether medical, educational, religious, economic, political,
are required to provide "proof" of their legitimacy and effectiveness in order to justify society's
continued support. Both the demand for and the acceptable "proof" will depend largely upon the nature
of the relationship between the social institution and the public.

It is not difficult to account for the increasing pressures upon public service and community
workers to evaluate their activities. The current desire to judge the worthwhileness of such programs is
but one aspect of modern society's belief that many of its social problems can be met most effectively
through planned action based upon existing knowledge, including the design of even better solutions to
step with advancing knowledge. The commitment of the modern world to planned social change is
overwhelmingly apparent in the national and international scenes.

Underlying this increasing need for evaluation of public service programs are a number of highly
significant trends in the nature of social problems, in the structure and functioning of the various fields
of public service, and in the needs and expectations of the public.

Fundamental changes are taking place in each of these areas, resulting in a strong demand for
evaluative research to determine the extent to which current programs are meeting the challenge of a
rapidly changing world.

Definition

The following are statements that reflect three different definitions of evaluation:

1. Evaluation is the systematic process of collecting and analyzing data in order to determine whether
and to what degree objectives have been or are being achieved.

2. Evaluation is the systematic process of collecting and analyzing data in order to make a decision.

3. Evaluation is a process which involves examining a training program in the light of values or standards,
for the purpose of making certain decisions about the efficiency, effectiveness or impact of the program,

Thus, the function of evaluation is to provide feedback from results to effect organizational
decisions. Evaluation is the activity that links program operations to planning and programming, and its
findings can be used to modify current operations and to plan future programs and policies.

Since the provision of effective services is the central reason for the existence of human service
agencies, it is necessary that some attempts be made to determine the effectiveness of these services.
Evaluation, therefore, becomes a central tool in the decision-making process of an agency.

Reasons for Evaluation

Evaluation may be undertaken for a number of different reasons. It may be undertaken for
management and administrative purposes, assessment of the appropriateness of program shifts,
identification of ways to improve the delivery of interventions, and to meet the requirements of funding
groups that have fiscal responsibility for allocation of program resources. It may be undertaken for
planning and policy purposes, to help decide on either expansion or curtailment, and to reach decisions
on whether to advocate one program or another. Finally, it may be undertaken to test a particular social
science hypothesis or a professional practice principle. The particular program studied in this case may
be mainly a matter of convenience. For all these purposes, the key is to plan and implement an
evaluation that is as objective as possible, that is, to provide a firm assessment - an assessment where
the results would be unchanged if done by another group or if replicated by the same evaluators.

In political life, judgments have always been made of public policy. As such, planners,
administrators, and program staff are continually confronted by choices about scope and components of
their program and the population to be served. Systematic, data-based evaluations, however, are a
relatively recent development, coinciding with the growth and refinement of social research methods.
The tradition of undertaking systematic evaluations, therefore, is short in an overall historical
perspective, but long in the light of the history of applied social research.

In discussing the reasons for evaluation, it is important to remember that evaluation is a

continuous process - it goes on all the time in all parts of the organization.

The key reasons for evaluation are as follows:

1. Evaluation is essential to ascertain the extent to which the objectives of the agency are being
achieved.
2. Critical evaluation is an objective and systematic means of improving a service.
3. Evaluation insures the flexibility essential to the continuous re- orientation of a service to the
changing needs of people in a changing social setting.
4. Evaluation is a form of social accountability required by all funding sources and the taxpayer or
contributor at large.

Evaluating a Human Service Program

Before discussing the types of evaluation used in a human service program, a distinction should
be made between such a program and a human service project.

A human service program is a subdivision of the agency which has administrative direction to
accomplish a prescribed set of objectives through the conduct of specified activities. For instance, in a
welfare agency, there would probably be a child welfare program and a material aid (food) program A
project is the implementation level of a program - the level where resources are used to produce an end
product that directly contributes to the objectives of the program. For example, a project in a child
welfare program might be a study of the use of the paraprofessionals in child welfare.

Evaluation Research

There are of opinion as to the precise boundaries of the field of evaluation research. From one
perspective, any information obtained by any means on either the conduct or outcome of interventions,
treatments, or social change programs is considered to be evaluation. This definition is so broad.
however, that it does not usefully describe the current boundaries of the field Under such a broad
definition, one could include the following application of "common sense" judgments: It has been
observed that large numbers of school children do not bring food for lunch. School lunch programs have
been initiated to provide food for the children to eat at school. The latter fact can become "a common
sense evaluation," leading to the conclusion that the program is effective improving the nutritional
status of the children involved. The problem, however, is that many such "common sense evaluations"
can lead to faulty conclusions. If the parents of the children are desperate for food, and their families
have inadequate diets, knowledge that their children are receiving a meal in school may result in a
redistribution of food at home. The outcome is that the school lunch program becomes a substitute for
what children would have received at home rather than a supplement to their normal diet.

Another type of judgment often referred to as evaluation consists of assessments of whether

certain activities, treatments, and interventions are in conformity with generally accepted professional
standards. Evaluations conducted, the current standards in the field in question being applied to the
program as an "evaluation". As an example, an educational program may be judged on the basis of the
ratio of students to teachers, since current standards in the educational profession may dictate that an
adequate educational program must have a given student to teacher ratio.

Increasingly, project managers, staff, and others who have to make decisions on whether to
start or continue human service programs have become dissatisfied with "common sense", or clinical
evaluations.

Types of Evaluation

Evaluation covers several specific types of activities. It is useful to distinguish among four important
classes of evaluation research: research for program planning, program monitoring, impact assessment,
and research on project efficiency. A comprehensive evaluation of a program would involve at least
monitoring, impact assessment, and efficiency calculations, and in the case of new programs and major
modifications of longstanding programs, should also include research for planning.

Essentially, there are four sets of questions that one is concerned with in doing evaluations,
corresponding to the four types of evaluation activities:

1. Program planning questions

a. What is the extent and distribution of the target population?
b. Is the program designed in conformity with its intended goals, and are chances of successful
implementation maximized?
2. Program monitoring questions
a. Is the program reaching the persons, households, or other target units to which it is addressed?
b. Is the program providing the resources, services or other benefits that were intended in the project
design?
3. Impact assessment questions
a. Is the program effective in achieving its intended goals?
b. Can the results of the program be explained by some alternative process that does not include the
program?
c. Does the program have some effects that were not intended?
4. Economic efficiency questions
a. What are the costs to deliver services and benefits to program participants?
b. Is the program an efficient use of resources compared with alternative uses of the resources?

Introduction to Supervision
The functions of administration discussed in this unit will not be without introducing one more vital
function in any organization: supervision, which is the act of overseeing the work of another in order to
improve its quality and spur activity.
 UNIT 2: SECTION 1- SUPERVISION

Supervision – is a dynamic enabling process by which individual workers, who have a direct responsibility for carrying out
some of the agency program plans, are helped by the designated staff member.

Supervision : Charlotte Towle

o An administrative process in the conduct of which staff development is a major concern. In this
process, the supervisor has three functions: administrative, teaching and helping.

Alfred Kadushin

o An agency administrative staff member to whom the authority is delegated to direct,

coordinate, enhance and evaluate on- the job performance of the supervisees for whose work
he is held accountable.

The Supervisory Relationship

o a relationship of two or more people working together not to meet each other's personal needs,
but to administer effective agency services to clients
o an interdependent relationship, with both parties having corresponding responsibilities.
o a professional, not a social relationship. The main purpose of the relationship is to help workers
learn how to give services effectively.

Origin
In the past, supervision has always been a significant factor in the accomplishment of tasks in
social work since it serves essential and significant purposes in response to the unique qualities of the
profession.

A basic tenet of the charity organization movement in the United States was the training of
agency personnel, which can be remembered when reviewing the history of supervision. The
caseworkers were the first to want to recognize the value of staff development and the essential role of
the supervisor from the time of its origin.

Social work educators we're feeling the impact of john dewey's ideas about learning. The old
educational learning theories by rote we're changing two ideas of learning by doing.

As social work practice incorporated new ideas and techniques, so, too, did supervision. In their
efforts to leave the worker free to develop in relation to his emotional readiness, supervisors often
failed to hold students administratively accountable. This was the period of "passive supervision," when
workers floundered from lack of administrative decision-making and direct teaching.

In the 1960s and '70s it became clear that a supervisor could not and should not take on the role
of general therapist to the worker. The Marriage between administration and teaching had always been
an uneasy one. One who saw the job as largely teaching "put up" with minimum necessary
administrative aspects. From 1953 onwards more and more social workers in Britain became involved in
student supervision. Supervisor groups were formed and supervisors and tutors worked out the student
 supervisor's role and responsibilities. Since administration cannot be divorced entirely from casework
services, teaching and enabling functions were also incorporated into the role of a student supervisor.

OBJECTIVES

o The ultimate objective of supervision is to implement agency purposes and plans, and to
continually deepen the quality of the service through which the agency expresses its purpose.

o The immediate aim emerging from and to be kept continuously related to this basic overall
objective is that through sensitive guidance and practical help geared to the known
requirements of jobs and needs of workers holding them, their efforts become progressively
more and more effective.

ASSUMPTIONS

1. Supervision aims towards the agency’s control over services and practice.

a. Supervision always involves intellectual teaching

b. All supervision has psychological component which includes emotional support, power or use
of authority and self-actualization.

2. Recognizes that supervision is essentially a function of administrative leadership which is

aimed at:

a. accomplishment of the administrative goals of the agency rather than therapeutic for
supervisees.

b. fusion of administrative and teaching activities in one dynamic process.

c. judicious use of administrative power and authority.

3. Stresses the supervisory process as a learning process when:

a. There is acceptance of the learner

b. There is an orderly process of integration of materials from simple to complex

c. Giving of specific knowledge to ease anxiety

d. Requires basic knowledge in the social work methods through formal graduate training in
social work.

The 3 domains of Social Work Supervision:

1. Administrative
2. Educational
3. Supportive
 Section 2 Role and Functions

The supervisor is in mid-position in a social agency or in a department whose main function is to provide a social work
service.

The social work supervisor is a member of an agency team all members of which are employed to accomplish the
agency's purposes and functions. The supervisor carries out responsibilities within an allotted segment of the agency.

Supervisors are usually given responsibility for a certain number of workers and/or students. It is in relation to these
workers or students that they have the responsibility of seeing to it that the work of the agency gets done and done
well, that services are provided to clients, that workers and students are enabled to improve their skills to the limits of
their ability at any given stage in their development. Their responsibilities lead to the conclusion that these can only be
accomplished through a combination of administration, teaching, and helping functions enhanced throughout by clear
communication.

Thus, the supervisors carry out their middle management role, responsible to and helping those above and below them
in the hierarchy of their agency, utilizing their clients' needs and problems to help administration function effectively in
order to meet the said needs and address problems, using their knowledge and skill in social work practice. Agency
functioning is improved through teaching, stimulating, and enabling staff to carry out their responsibilities most
effectively. The demands are in social work knowledge and ability, administrative ability, teaching ability, the ability to
communicate clearly, the ability to form a variety of relationships, patience, enthusiasm and, above all, the ability to
keep one's head when all around them are losing theirs and blaming them for it.

Administrative Functions

The supervisor exercises his administrative functions by:

1. holding the workers to account for a certain quality and quantity of production;

2. seeing to it that service to client is adequately rendered with agency regulations and procedures properly
carried out; and

3. enabling the worker to follow procedures and regulations. (The supervisor has to be clear in his
communication to him.)

The administrative functions of a supervisor, as defined by Kadushin, include "planning and assigning work;
organizing, coordinating, and facilitating manpower and agency resources available to complete the work: reviewing
work performance to ensure that it is adequately done, quantitatively, and qualitatively, in accordance with agency
procedures; placing the worker; acting as a vertical and lateral channel of communication and as an administrative
buffer; helping in the formulation of agency policy: and facilitating intra-agency coordination.

Teaching Functions

Supervisors are concerned with helping the workers and students assigned to them to learn what they need to
know so that they can do their assignments effectively. They share their knowledge, stimulates thinking, lead out with
new ideas, hold workers to grapple with new ideas, encourage conscious thinking, give workers the opportunity to
discuss their work and appraise it to arrive at decisions and to learn helping skills. The supervisor has the responsibility
of teaching the workers content regarding people, problems, process and developing self-awareness of personnel with
regard to aspects of functioning that are clearly job related.
 Regularly scheduled individual or group supervisory conference is the primary methodology utilized for
teaching in supervision. The content is the supervisee's performance. Pre-planning and preparation are extremely
necessary and both the supervisor and the supervisee engage in the critical analysis of the work that was submitted by
the supervisee in their supervisory conference.

Carrying out Teaching Functions

Teaching functions are carried out through the following:

1. Planning - The supervisor has to plan work experience for a supervisee which will give him the opportunity to
learn and to progress as a worker.

2. Providing a climate for learning - The supervisor teaches sensitivity to the needs of the worker at both the
intellectual and feeling level which will enable the worker to integrate feeling and intellectual functioning in the
practice of social work.

Hereunder are some points for effective teaching:

1. Start with a familiar and move to the unfamiliar.

2. Start with the simple and move on to the complex.

3. Learning should be done in an orderly progression.

4. Repetition reinforces learning.

5. Learning by doing increases motivation and provides opportunities for the correction of misunderstood
principles or theories.

6. Recognition of good work stimulates further learning.

Alfred Kadushin identified the following conditions which are necessary to insure effective learning in the context of a
positive relationship.

People learn best if:

1. they are highly motivated to learn.

2. they can devote most of their energies to learning.
[Link] is attended by positive satisfaction.
[Link] learners are actively involved in the learning process.
5. the content to be learned is meaningfully presented.
[Link] uniqueness of the learner is considered.

Helping Functions

The helping function of the supervisor is done by:

1. supporting and sustaining the worker through stressful situations.

2. providing a positive climate for learning.
3. managing the supervisory relationship in a helping way.
4. making sure of what he knows about people and their behavior in working with others.
5. helping workers to identify and modify feelings and other obstacles which are impeding their progress.
 6. helping the supervisee deal with job-related stress.
7. develop attitudes and feeling in the workers which are conducive to job performance.

Section 3 Types of Supervision

Social agencies may experience problems in effective supervision. As social work struggled to become more
recognized as a profession, it devoted much energy to establishing and maintaining agency standards and to organizing
and transmitting knowledge and skills. Among these is supervision that can take any of the following various forms.

1. Tutorial Model - It consists of a supervisor and a supervisee in a one- to-one relationship. It is probably the most
useful model for workers who are inexperienced and who like the security of a relatively close monitoring of their
performance.

This is to guide the supervisees in their initial and inexperienced translation of theory into practice. Problems
and other difficulties encountered by the supervisee during the course of work are discussed during individual
supervision. Supervisory conferences are usually scheduled on a regular and frequent basis, e.g. one hour each week.

[Link] Supervision - There is a designated supervisor and a group of supervisees. This model is practiced by agencies
which lack the necessary number of trained supervisors to handle the supervision. The advantage of group supervision
lies in the fact that members of the group learn from one another as well as derive mutual support in the course of
discussion.

For group supervision to be effective, it is done only with a homogeneous group where the members share
similar level or facility of communication. The group meets regularly with the supervisor with a predetermined agenda.
Cases are discussed both to provide direct help to the worker involved and to serve as a springboard for the discussions.

3. Case Consultation - There is a designated consultant and the worker schedules the contacts as needed. The worker is
primarily responsible for the focus of the meeting. Consultations are case focused.

The worker is responsible for decisions about the case, and the consultation is always non-restricting, that is, it
must be clear to both parties that the worker is not bound by the opinions of the consultant unless he considers them
useful.

4. Peer Group Supervision - There is no designated supervisor, and all the members of the group participate as equals.
Consequently, among the requirements for the group's success is that the members are mature and experienced
enough to make vital contributions to case discussions. They must also share common areas of competence.

A peer group meets regularly and the agenda for the meeting is determined by mutual agreement. The group
leader moderates the discussion. The case discussion is left to the individual members who use the group as a sounding
board for the ideas and as a way to enlarge their understanding of a case and extend the number of opinions to be
considered in any situation. Members are not under any obligation to act in accord with the ideas proposed in group
discussions of their cases.

5. Tandem Supervision - This developed out of the peer-group model. In this case, two group members decide to
function apart from the group. Neither is designated the supervisor. Both are experienced workers who respect the
ability and opinions of the other.
 As a tandem, they meet informally whenever either one has a case for consideration. Decisions are the
responsibility of the person to whom the case is assigned, but as the tandem work together for a while, both members
become familiar with each other's cases and the decision tends to become more collaborative. At times members could
cover each other's cases.

[Link] Team - This model consists of varied members within the agency structure. They meet on a regular basis, with the
agenda proposed by the members in advance. Any member has the liberty to add a case to the agenda for discussion.

It is the task of the team to arrive at the discussions about a case through the group process during the meeting.
The decision in every case, regardless of which member is responsible for implementing it, is the team's.