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 TABLE OF CONTENTS

I. HUMAN BEHAVIOR AND SOCIAL ENVIRONMENT

a. Philippine Social Realities and Social Work . . . 2

b. Filipino Personality and Social Work . . . . 24
c. Social Work and Social Deviation . . . . 51
d. Social Environment and Social Work . . . . 72
e. Theories and Perspective in understanding the Social
Environment . . . . . . . 75
f. The Family . . . . . . . . 101

g. The Group . . . . . . . . 105

h. The Social Organization . . . . . . 115

i. The Community . . . . . . . 117

j. Social Change and Development Perspectives , , 122

II. SOCIAL WELFARE POLICES, PROGRAMS AND SERVICES

a. Social Work Statistics . . . . . . 140

b. Social Work Research I . . . . . . 147

c. Social Work Research II . . . . . . 157
d. Social Welfare Polices, Programs, and Services . . 168

e. Social Welfare Agency Administration . . . 203

f. Social Welfare Project/Program Development and

Management . . . . . . . 221

III. SOCIAL WORK PRACTICE I AND FIELD INSTRUCTION I

PART I. SOCIAL WORK PRACTICE I

a. Knowledge and Philosophical Foundations
of Social Work . . . . . . . 227
i. Historical Development of Social Work . . 227

ii. Definitions of Social Work . . . . 238

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 iii. Helping Process . . . . . . 241

iv. Philosophical and Values Foundation

of Social Work . . . . . . 242

v. Knowledge Foundation of Social Work . . 245

vi. Social Welfare . . . . . . 247

vii. Social Services . . . . . . 247
b. Social Casework . . . . . . . 249

c. Helping Process in the Philippine Context . . . 261

d. Social Work Helping Process in Working with
Individuals and Families . . . . . . 262
e. Social Work Counseling . . . . . . 275

f. Fields of Social Work . . . . . . 279

g. Roles of Social Workers in Direct Practice . . . 290

h. Emerging Trends in Social Work . . . . 298
i. Social Work Communication and Documentation . . 302

PART II. FIELD INSTRUCTION I

a. Social Work Helping Process (APIET) . . . . 311

b. The Helping Contract . . . . . . 315

IV. SOCIAL WORK PRACTICE II AND FIELD INSTRUCTION II

PART I. SOCIAL WORK PRACTICE II

a. Historical Development of Groupwork . . . . 320
b. Types of Groups . . . . . . . . 331

c. Definition, Purposes, Uses of Social Groupwork . . . 347

d. Knowledge and Philosophical Foundations
of Social Groupwork . . . . . . . 351
e. Phases of Group Development and the
Groupwork Helping Process . . . . . . 361
f. Groupwork Intervention Models and Approaches . . . 370
g. Groupwork Recordings and Supervision . . . . 376

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 PART II. FIELD INSTRUCTION II
a. Phases in Group Development . . . . . . 378

b. The Helping Process in Social Work with Groups . . . 383

V. SOCIAL WORK PRACTICE III AND FIELD INSTRUCTION III

SOCIAL WORK PRACTICE III

a. Historical Development of Social Work in
Working with Communities . . . . . . 411
b. Theoretical Basis of Social Work in Working
with Communities . . . . . . . . 417

c. Phases in Working with Communities . . . . . 419

d. Theories Related to Social Work in Working
with Communities . . . . . . . . 421
e. Models of Social Work in Working with Communities . . 426

f. Tools of Analysis in Community Organization . . . 428

g. The Community Organizer . . . . . . 429

SOCIAL WORK COMMUNITY EDUCATION AND TRAINING

a. Theoretical Bases, Perspectives, Principles and
Context of Community Education and Training . . . 436

b. Training Processes and Training Needs Assessment . . 438

c. Roles and Skills of Trainers in Social Work Community . . 443

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 Human
Behavior and
Social
Environment

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HUMAN BEHAVIOUR AND SOCIAL ENVIRONMENT

A. PHILIPPINE SOCIAL REALITIES AND SOCIAL WORK

SOCIAL REALITIES
Conditions in the macro level that has significant impact in the
lives of the people in the society

It affects a person's total social functioning, and it is important to

understand that people incorporate their social and cultural
environment, cultural patterns influence the manner and the degree of
self-expression and life satisfaction of people.

“The subjective reality that is socially constructed through human

interaction.” -Peter Berger and Thomas Luckmann (The Social
Construction of Reality, 1966)

SOCIAL SITUATION
Emergent configuration of people, culture, specific meanings,
time and space, dynamic processes such as social control, readjustment
and interaction

SOCIAL REALITIES: FRAMEWORK FOR ANALYSIS (SPECSEG)

In the context of local, regional, and global situations, and
their implications to social welfare and social work, analyze in the
Philippines realities in terms:
◼ Social
Includes crucial factors such as access to basic human
needs, social networks, and family support, safety against
crimes and violence.
✓ “What are the relationships among persons/groups
here?”
✓ “Who is being developed? Who is being
manipulated?”

◼ Political
Refers to the leadership and governance, decision-making
and policy development. This dimension is usually with power
and and dominance, as well as service delivery and community
participation in development.
✓ “How is power distributed?”
✓ “Who wins? Who loses? Who decides?”

◼ Economic
Refers to the situations including the challenges along
income generation, employment, and livelihood opportunities.

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 These situations usually affect people’s ability to make choices,
acquire assets of value, and manage stress.
✓ “How are resources allocated?”
✓ “Who owns? Who produces? Who consumes?”
✓ “Who gains? Who pays?”

◼ Cultural
Refers to the customary values and belief system held by
the members of the community.
✓ “What are the values exhibited?”

◼ Spiritual
Refers to the belief and faith system of a particular
community. It is the intimacy and connection to a spiritual being
and also serves as a concrete foundation of a community’s
patterns of behaviour. It is also a critical factor in influencing
decision-making, among others.
✓ “Do our religious traditions have anything to say
about situations like this?”
✓ “Have other religious traditions responded?”
✓ “How closely linked is our theology to the existing
situation?”

◼ Environment, and
Mainstreaming and establishing link and contribution of
environment into the socio-economic situation of a particular
community.
✓ “How did this situation develop over time?”

◼ Gender
Integrating the analysis of sex and gender data. This include
making relevant use and analysis of sex-disaggregated figures
and analysis of data on gender-based violence.
✓ “How vulnerable are the women and children?”
✓ “How do vulnerable groups behave in society?”

TYPES AND DIMENSION OF POVERTY; APPROACHES TO MEASURING POVERTY

POVERTY
“It is the total absence of opportunities, accompanied by high
levels of undernourishment, hunger, illiteracy, lack of education, physical
and mental ailments, emotional and social instability, unhappiness,
sorrow & hopelessness for the future.” [United Nations]

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 “Poverty is also characterized by chronic shortage of economic,
social and political participation, relegating individuals to exclusion as
social beings, preventing access to the benefits of economic and social
development and thereby limiting their cultural development.”

NCCDP - Poverty as a condition of deprivation, wherein people are

denied:
• P - Participation in decisionmaking;
• O - Opportunities and access to basic services;
• O - Ownership of assets to allow sustained income; and
• R- Resources to meet basic needs

THE NATURE OF POVERTY

Many experts have grappled with the definition of poverty, but
social scientists generally define poverty in two ways:
1. Absolute Poverty – The condition in which people are
unable to achieve the basic necessities of life, such as food,
clothing and shelter.
2. Relative Poverty – Refers to some socially constructed norm
of well-being in comparison to some proportion of a society thought
to be lacking.

A new definition of poverty has begun to take root among

European social scientists and UN researchers.
Social Exclusion – Implies that along with material
deprivation comes exclusion from some or all of the avenues that
ensure the development of one’s full human potential as well as
one’s ability to participate in economic, social, and political life –
conditions that the economist Amartya Sen calls “substantive
freedoms.” Social exclusion, then, connotes both lack of choice
and lack of power.

ANOTHER KIND OF POVERTY

1. Situational Poverty (Transitory) - Poverty due to some
adversities like earthquakes, floods or a serious illness.
2. Generational Poverty (Chronic) – Poverty is handed over
to individuals and families from generations before them.

CONCEPTS RELATED TO POVERTY

Marginalization – the process whereby something is pushed to the
edge of a group and accorded lesser importance. This is predominantly
a social phenomenon by which a minority or sub-group is excluded, and
their needs or desires ignored.
Social inclusion – the process of improving the terms in which
individuals and groups take part in society – improving ability,

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 opportunity, and dignity of those disadvantaged on the basis of their
identity.
Prejudice – a negative opinion about a person or a group based
in incomplete knowledge.
Stereotype – an over-generalized belief about a particular
category of people. stereotypes are generalized because one assumes
that the stereotypes is true for each individual person is category.
Discrimination – the unjust or prejudicial treatment of different
categories of people or things especially on the grounds of race, age or
sex.

FACTORS THAT CAUSE POVERTY

1. Income inequality – Research shows that when grows
economically, overall poverty reduces. If the national income is not
equally distributed among all communities in the country, there is a risk
that poorer communities will end up poorer, and individuals will feel it
almost.
a. The 20% of the population representing the poorest
segment accounts only for 6% of total income
b. The upper 20% of the population account for almost 50%
of the total national income.
2. Conflict and Unrests – About 33% of communities in absolute
poverty live in places of conflict. Unrests result in massive loss of human
lives, diseases, hunger and violence, destruction of property and
infrastructure, economic investments and quality of labor.
3. Adverse Ecology and Location – Geographical and ecological
location factors such as mountains, swamps, deserts and the like have
also made living conditions unbearable in many places.
4. Natural Disasters – Droughts, floods, hurricanes and other
unexpected natural events cause deaths, illness and loss of income.

Defining a welfare indicator. Most countries make use of a money-

metric based on income or consumption. In the Philippines, the PSA uses
income per capita (12, 082). (FIES, 2022).
Setting a poverty line. The typical scheme in developing countries,
including the Philippines, for setting poverty lines involves the basic
needs approach, which attempts to identify the cost of absolute
minimum food and non-foodrequirements for long-term well-being.

INCOME GROUP DEFINITION

Poor Per capita income less than official
poverty threshold
Low Income (but not poor) Per capita incomes between the
poverty line and twice the poverty line

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Lower Middle Income Per capita incomes between twice
the poverty line and four times the
poverty line
Middle Income Per capita incomes between four
times the poverty line and seven times
the poverty line
Upper Middle Income Per capita incomes between seven
times the poverty line and twelve times
the poverty line
Upper Income (but not rich) Per capita incomes between twelve
times the poverty line and twenty
times the poverty line
Rich Per capita incomes at least equal to
twenty times the poverty line

APPROACHES TO MEASURING POVERTY

1. Monetary Approach - The traditional approach which defines
poverty as the lack of material resources, i.e. income. That is, people
are poor if they do not have money.
2. Capability Approach - Proposed by Amartya Sen. Notes that
material resources are not enough to guarantee well-being since
their presence does not entail their enjoyment. This approach
defines poverty as the lack of opportunities to enjoy the kind of lives
people value. This approach calls this opportunities as “capabilities”
and gets its name from this concept.
3. Social Exclusion - This notes the narrowness of the monetary
approach, but focuses on the processes of marginalization to
specific groups. According to this approach, a person may be
suffering from poverty if he or she is being excluded by other
members of society.
4. Participatory Approaches - This does not bother to ask the expert
what poverty is. Rather, they seek to understand poverty from the
perspective of the poor. They gather testimonies of greatly
deprived people on what poverty is. Based on these testimonies,
they note common themes and propose a broad conception of
poverty which includes many dimensions.

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CONCEPTS OF NEOLIBERALISM AND GLOBALIZATION

NEOLIBERALISM
Neoliberalism is a political and economic philosophy that has
shaped the modern global economy. This presentation aims to explore
the history, origins, key concepts and theories, as well as the pros and
cons of neoliberalism. Neoliberalism is a governing rationality based on
market logic.

CORE TENETS OF NEOLIBERALISM

1. Free markets: Markets should be left to operate without government
intervention.
2. Privatization: Public services and assets should be sold to private
entities.
3. Deregulation: Regulations should be reduced or eliminated to
increase market efficiency.
4. Fiscal Conservatism: Government spending and debt should be
minimized.
5. Individualism: Individuals should take responsibility for their own
success or failure.

BENEFITS OF NEOLIBERALISM
1. Economic growth: Neoliberal policies promote entrepreneurship,
innovation, and competition, which can lead to economic growth.
2. Lower inflation: Neoliberal policies prioritize stable prices through a
focus on sound monetary policy.
3. Greater efficiency: Deregulation and privatization can lead to greater
efficiency and productivity.
4. Increased international trade: Neoliberal policies promote free trade,
which can lead to increased international cooperation and trade.
5. More individual freedom: Neoliberal policies prioritize individual
freedom and choice, allowing people to pursue their own goals and
dreams.

CRITICISMS OF NEOLIBERALISM
1. Inequality: Neoliberal policies can lead to greater income and wealth
inequality, as the benefits of economic growth are not distributed
equally.
2. Environmental degradation: Neoliberal policies can lead to
environmental degradation, as businesses prioritize profit over
environmental concerns.
3. Social welfare cuts: Neoliberal policies can lead to cuts in social
welfare programs, which can harm vulnerable populations.
4. Financial instability: Neoliberal policies prioritize free markets and
deregulation, which can lead to financial instability and crises.
5. Loss of sovereignty: Neoliberal policies prioritize international
cooperation and trade, which can lead to a loss of national sovereignty.

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 GLOBALIZATION
Globalization is the process by which all peoples and communities
come to experience an increasingly common economic, social, and
cultural environment. By definition, the process affects everybody
throughout the world.

CORE TENETS OF GLOBALIZATION

1. Internationalization: Cross-border relations between countries
2. Liberalization: Creating open boarders between countries and
international economic integration
3. Universalization: The spreading of world objects and experiences to all
corners of the world
4. Westernization: Modernization or Americanization that tend to
destroy local and indigenous cultures
5. Deterritorialization: A reconfigurization of geography so that time and
space are not seen in terms of territories
6. Human interconnections and their dynamism

SOCIAL CHANGE
It is the variations over time in a society’s laws, norms, values and
institutional arrangements.(Barker, Robert L., The Social Work Dictionary, 3rd
edition, 1995).
Social change theories are concerned with the macro level issues which
defines the
individual’s situation. These theories can be generally be classified as
functionalist theories and conflict theories.

FUNCTIONALIST THEORIES
Key ideas in functionalist theories are stability, function and roles, and
adaptation. Simply put --
1. The objective of every society is to become stable.
2. Each member or unit of society has a particular function and role
which contributes to its maintenance or stability.
3. Differences may arise from the role performance of each member or
unit in society, as well as the presence of external forces that may affect
the stability of society. Thus adaptation to each other and adaptation to
external forces is important.

GENERAL SYSTEMS THEORY

A system is usually defined as a whole, a unit, composed of people and
their interactions, including their relationships. Each person in the system is
related to at least some others in the system in a more or less stable way within
a particular time and space.

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 Although a system should be viewed as a constantly changing whole,
that is, always in process of movement towards its goals, its parts are assumed
to interact in a
more or less table structure at any particular point in time.
Views the client, the worker and the agency as social systems that
comprise a social system framework.

Assumptions:
1. Human behavior is seen from a multiplicity of factors, internal
and external, operating in a transaction. A systems approach is an
orienting framework rather than a specific theory of human behavior
2. Human systems: A system is a dynamic order of parts and
processes standing in mutual interaction. There are many kinds of
system, animate and inanimate, but social service workers are interested
in those systems that are composed of interacting human beings.
3. Individuals as a system: Individuals are composed of dynamic
parts and processes, each making up a subsystem or domain. Within the
individual, the biophysical and psychological are the principal domains.
In the psychological domain are the cognitive, affective and behavioral
subsystems.
4. Social systems and the social environment: People live out their
lives within the context of social systems and norms and institutions which
are generated through social interactions within these systems. The ever-
changing social environment serves both as a source of stress and
source of support.
5. Roles: Individuals are connected to social systems through the
roles they occupy in them.

This has implications for SW practice and practice principles:

(a) For problem and need identification
I. identify of the system to be addressed
II. identify the condition in that system to be understood
(b) For problem analysis (premise: the state or condition of a system at
any point in time is a function of the interaction between it and the
environment in which it operates)
I. identify the factors about the system itself that contribute to the
condition
II. identify the factors in the social context of the system that
contributes to the condition
(c) For resource identification
I. identify the resources that exist within the system itself
II. identify the resources that exist within the environment of the
system

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 General Concepts of the Systems Theory:
✓ Boundaries - in systems perspective is defined as a closed circle
around selected variables where there is less interchange of energy
or communication across the circle than there is within the circle
✓ Closed systems do not interact with any other systems; they neither
accept input from them nor convey output to them. When systems
are closed, they are said to have the quality called entropy. What
this means is that closed systems over time tend toward less
differentiation of their elements. Thus they lose organization and
effective function.
✓ All social systems must be open (the concept of open systems) to
input from other systems with which they interact and develop.
✓ Holon which means that each level in a system faces both ways
towards the smaller systems of which it is composed and towards
the larger system of which it is part.
✓ Steady state - refers to how a system maintains itself by receiving
input and using it.
✓ Differentiation - refers to the idea that systems become more
complex with more different kinds of components over time.
✓ Non-summativity means that the whole is more than the sum of its
parts.
✓ Equifinality - simply put is “different beginnings, one ending”.
✓ Reciprocity implies that if one part of the system changes, the
change interacts
with all other parts which also change. As a result of reciprocity
exhibit both
equifinality (you can reach the same result in several different
ways) and multifinality (similar circumstances can lead to different
results because parts of the system interact in different ways.
✓ Input refers to energy being fed into the system across the
boundary.
✓ Output would mean the effects on the environment of energy
passed through the boundary of a system.
✓ Feedback loops - mean the information and energy passed to the
system caused by its outputs affecting the environment which tell it
the results of its outputs

Other Important Concepts in Social Work using Systems Theory:

Pincus and Minahan outlined six systems that social workers interact with in
their
practice:
1. change agent system: agency or institution that employs social workers
2. client system: an individual, group or community which asked help from
the social worker, or have entered into helping contract with the social
worker, or are expected to benefit from the intervention

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 3. target system: people that the social workers need to change or
influence in order to accomplish the helping goals (may include the
client system)
4. action system: those which the social worker interacts in a cooperative
way in order to bring about change helpful to the client
5. professional system: professional association of social workers, the
education system by which workers are prepared, and the values and
sanctions of professional practice
6. problem identification system: the system that acts to bring a potential
client to the attentions of the social worker

Levels of Social Systems:

Micro level: Individual experiences in the family, school, at work, during
leisure time, and it is to a large extent specific to the individual. The micro
environment is very important in the development of the individual in that it
determines the type of situations an individual encounters.
Meso level: It is that part of the total environment that, in some way or
another, influences and determines the character and functioning of the
micro environment. It included relationships between major groups,
organizations and institutions that the individual’s daily life touches.
Macro level: It is common to most members of the groups living in it, and
involves the physical, social, cultural, economic and political structure of the
larger society in which individuals grow up

ROLE THEORY
A role is a socially expected behavior prescribed to a person occupying
a particular status or position in a social system. Social norms guide the
definition of a particular role of a person, as well as the expected attitude and
behavior for each.
Social functioning is the sum of the roles performed by the individual.

Important concepts:
Status: One’s rank or position in society. This may be based on the socio-
economic standing, age and gender (among others) of a person.
Norms: Refer to rules and standards of behavior in a particular culture or
group.
Role sets or role clusters: An array of roles that one can take on at any
particular time (e.g. a 17-year old female may have the
following roles: daughter, sister, student, girlfriend).
Role complementarity or reciprocity: Paired roles such as parent-child,
teacherstudent.
Role conflict: Conflicting expectations from a person occupying two or
more positions at the same time (e.g. women who engage in
paid work to supplement family income but are expected in
their society to be fulltime home makers).

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 Role incongruity: Situation wherein the personal perception of a role
differs from the expectation of society or one’s significant others (see
also example for role conflict).

CULTURE THEORY
This theory expounds on the critical influence culture on a person’s
internal (thinking) and external (actions) processes.
Culture is defined as a “complex whole which includes knowledge,
belief, art, morals, laws, customs and other capabilities and habits acquired by
man as a member of his society” (Hunt et al, 1987).It refers to the entire way of
life of people or society that they create acquired from other societies, and
ready to transmit to subsequent generations (Mendoza, 2008).

Important concepts about culture are:

⚫ it is learned
⚫ it is shared
⚫ it is cumulative
⚫ it is dynamic and adaptive
⚫ it is a whole

Aspect of Culture
 Beliefs – concepts about how the world operates and where individuals
fit in it; may be rooted in blind faith, experiences, traditions, or scientific
observations
 Values – the general concepts of what is good, right, appropriate,
worthwhile and important either reflected on behaviour or expressed
verbally.
 Norms – the written and unwritten rules that guide behaviour and
conduct appropriate to given situation.
 Folkways and customs – behaviour patterns of everyday life.
 Mores – folkways which involve ethical values

SOCIAL WELFARE PROGRAMS AND SERVICES ADDRESSING THE NEEDS AND

PROBLEMS OF THE PARTICULAR SECTORS OF THE PHILIPPINE SOCIETY

CHILD WELFARE
This field is concerned with the well-being of children and youth
through the provision of programs and services for their physical, social,
psychological, spiritual and cultural development.
The focus is on strengthening the relationship between parents
and child, the role of the family, and the responsibility of the community
in the child’s development. It also includes supplemental and substitute
child-caring services to prevent the child’s suffering from parental
deprivation.

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2 typed of child welfare services:
1. Direct Service – is rendered in the form of:
a) Assistance to children in their own homes in the form of
material assistance, educational services, sports and recreation,
health services, and etc.,
b) Child placement through residential care in an institution,
foster care, or adoption.
2. Indirect Service – is in the form of:
a) Financing on a national or international level
b) Coordination to facilitate and avoid duplication among
agencies with similar or related services

ACTIVITIES
i. Admission interviews with the child, family and/or significant
others,
ii. Following through recommendations given which institutions
if this is what is called for assisting the child and his family in
coping with their situation, or assisting youth conducting
individual counseling or group sessions.
iii. Conducting individual counseling or group sessions with
child and/or his family.
iv. Interpreting the child’s needs and problems to the
staff/other members of the helping team.
v. Following up the adjustment of the child if he is with foster or
adoptive parents.
vi. Planning appropriate activities with the youth to meet their
individual as well as group needs.
vii. Preparing the child for discharge/placement in the case of
children in residential homes, or helping the child and his family
during the period of probation if this is the court’s disposition on
the case, and then helping him prepare to make satisfactory
adjustment in the community.
viii. Recommending discharge of the client or closure of the
court case if conditions call for it.

CHILD CARING SERVICES OR CHILD PLACEMENT

ADOPTION - Legal process whereby a child who is deprived of a

birth family is provided with substitute new ties.
LEGAL GUARDIANSHIP - A process undertaken to provide
substitute parental care through the appointment of a legal guardian
for the child, including his property until the child reaches the age of
majority
FOSTER CARE - Substitute temporary parental care provided by a
licensed social worker. The ultimate aim of the foster family care is reunite

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the child with biological parents or to prepare the child for adoption, in
case of older children, to prepare them for independent living.
RESIDENTIAL/INSTITUTIONAL CARE - Temporary 24 hours residential
group care to children whose needs cannot, at the time be adequately
met by their biological parents or other alternative family care
arrangements.
FAMILY WELFARE - Family welfare is concerned with the
improvement, strengthening and support of the family in meeting its own
needs.

Programs that provided by the SW agencies are the following:

a) Parent effectiveness
b) Marriage strengthening (pre-marriage counseling)
c) Establishment of community support programs
d) Strengthening of family values and preservation of
e) Cultural heritage
f) Family and environment service
g) Livelihood programs
h) Fertility and family planning

ACTIVITIES
i. Engaging the family in problem-solving relationship
ii. Mobilizing existing resources and crating nonresources
needed by the family
iii. Regularly assessing the adequacy and effectiveness of
existing policies, programs and services that relate to the
family
iv. Supervising staff in their various activities to the families being
served

HEALTH
Concentrated in hospitals which provide social services to
patients who are emotional and social situations directly or indirectly
cause, maintain, or aggravate their illness.

Medical social services are aimed at the following:

a) Better acceptance of and more favorable reaction to
medical treatment
b) Better understanding, on the part of medical personnel, of
the patient’s illness, and to enlist the family’s cooperation in
the treatment and rehabilitation of the patient
c) Health education of the patient and their families
d) Utilization of community services that would facilitate
rehabilitation and prevention of illness
e) Helping the patient and his family to deal the psycho-social
components of the physical illness.

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 ACTIVITIES:
i. Eligibility studies (this is done during admission since there is
need to determine whether a patient should be given free
or partly free medical treatment)
ii. Interpretation to patient and his family of hospital policies
and regulations
iii. Data gathering on patient’s personal and social situations to
assist medical staff to arrive at a more accurate diagnosis
iv. Use of appropriate forms of help to patient and his family
during the period of medical treatment, including
counseling as well as group treatment activities with his
family and/or together with other patients
v. Mobilizing hospital as well as community resources to meet
various patient needs
vi. Performing coordinating and liaison activities between the
patients and the medical staff, the patient and the hospital
administration, and the patients/hospital and the
community at large

CORRECTIONS
Corrections is the administration of penalty in such a way that the
offender is corrected, that is his current behavior is kept within
acceptable limits at the same time his general life adjustment is
modified.
It is a process of treatment, prescribed by the court for person
convicted of offenses against the law, during which the individual on
probation lives in the community and regulates his own life under
conditions imposed by the court and is subject to supervision by a
probation officer. While parole is the release of a prisoner under him
might be returned to the correctional institution if he violates the
conditions of his parole.

Some of the functions of social worker in relation to juvenile probation

work are:
1. Preparation of social case studies to facilitate legal decision-
making
2. Provision of counseling and other necessary services to the
youth and his family throughout the period that the youth is on
probation
3. Referral and mobilization of community with other
groups/agencies which are engaged in activities relating to or
affecting probationers
4. Preparing reports/recommendations on the basis for decision
making by the courts.

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 ACTIVITIES
During the correctional periods the service of the correctional
agency is viewed as Re: socialization, in the personal community that
will response to his needs as an individual
For his re: socialization process to be effective, the offender will have to
provided;
1. Significant individual relationships that allow him to see himself
as a person or worth
2. Membership in groups that offer genuine satisfaction through
legitimate experiences
3. Access the normal opportunity structures of the community,
such as employment, education, recreation and religious
instruction
4. Remedial services appropriate for dealing with his individual
problems in social functioning such as vocational training,
psychotherapeutic help or medical rehabilitation.
5. Children and adolescence that are not granted probation by
family courts because their adjustment cannot be achieved in
their own homes are committed to reformatory or training schools.
( boys- Vicente Madrigal rehabilitation Center/ Girl Marilac Hills)

SCHOOLS
Social Worker exist primarily to provide helping service to those
students whose problems in school stem from social and emotional
causes which interfere with their adjustment and potential academic
achievement.

The purpose of social work is to provide services they would

achieve any or all of the following:
1. Restoration of impaired adjustment
2. Provision of resources by mobilizing capacities of individual
students, their parents, families and the academic and larger
communities
3. Prevention of maladjustment

SPECIAL GROUPS
Drug Dependents - Are person, who , as a result of periodic or continuous
use of drugs ( usually in the form of sedatives, stimulants, hallucinogens)
have developed a physical/ psychological need for / dependence on
these drugs to the extent that their denial produces adverse effect.

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Drug Abuse or Substance Abuse - General term that includes all drug-
taking. Use of any drugs legal or illegal when it is detrimental to the user’s
physical, emotional, social intellectual and spiritual well- being.

Dangerous Drugs Board - Leading agency in development and

implementation of drug abuse prevention and control programs in the
country.

Five components regarding anti-drug program of the government

1. Intensified information drive against dangerous drug
2. Prevention through a variety of actions to protect the
communities against dangerous drugs
3. Law enforcement
4. Research and studies to support legislative proposals
5. Establishment of affordable rehabilitation and treatment
centers for victims of dangerous drugs

COMMUNITY WELFARE
As a field of social work practice, it encompasses a variety of
programs and services which have for their main goal the well-being of
entire communities. Social workers in this field work with individuals,
families, and small groups, and their concern is the provision of
opportunities that would enable people in the community to work
together towards common goals, particularly those that would bring
about their common upliftment. Social work practice in all these settings
involves not only the provision of needed community services and in the
process cooperating and collaborating with various groups and
organizations, but also organizing communities for their own problem
solving.

Role of social worker in the field of housing relocation and resettlement:

a) Helping families prepare for relocation (including providing
opportunities for them to participate in the process of planning their
relocation)
b) Helping families cope with and adjust to the changes that go with
relocation and resettlement
c) Involving the people in the efforts to develop their conditions in the
resettlement sites
d) Identifying and developing local leaders
e) Helping develop local organizations
f) Promoting/facilitating the coordination of community groups and
organizations which are all trying to work for the well-being of the
relocated families
g) Provision of certain social services needed by the relocated
families, such as food and transportation assistance, day care

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 services, counseling services, family planning services, skills training
and job placement, and the like.

INDUSTRY
Social welfare services in the field of modern industrial operations
are generally concerned with any or all of the following:
(a) efforts to establish or improve social security, health and
general welfare of employees and their families;
(b) finding the best-suited workers for employers and the right job
for workers seeking employment;
(c) the use of social workers to assist the employees and their
families in personal, health, and financial problems and
difficulties; and
(d) the development and maintenance of community welfare
services.

Role of social worker in the field of industry:

a) Counseling employees on work and/non-work related problem
b) Providing counseling and other forms of help to the families of
employees
c) Engaging in informational and educational programs to
maximize employee and company services
d) Assisting management in making employees understand
company policies and rules
e) Interpreting worker’s needs and problems to
management/employers and assisting them in developing
responsive services to workers
f) Providing referrals to workers and their family members for
needed community-oriented services that would benefit the
communities where workers live, especially when their problems
emanate from the community situation
g) Developing employee-oriented training programs

CULTURAL COMMUNITIES
a.k.a tribal Filipinos, ethnical minorities, indigenous peoples and
national minorities. In direct work with cultural communities or what is
also referred to as “grassroots practice” most agencies in the past were
project oriented, convinced primarily with the accomplishment of
specific projects that would benefit the community.

EDUCATION AND TRAINING

Facilitative instructional method – performed by ocial work
teachers and trainers.

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INTERNATIONAL SOCIAL WELFARE
The Goals of International Social Work Agreement also exists in the
social work profession concerning the goals of development-focused
international practice:
• The elimination of barriers to development which, in every
society, have been used to oppress historically disadvantaged
population groups—especially women; older adults; children and youth;
persons with disabilities; political and economic refugees; persons with
mental illness; and persons who have been disadvantaged on the basis
of gender, race/ethnicity, poverty, religion, social class, caste, and
sexual orientation
• The realization of more balanced approaches to social and
economic development
• The assignment of the highest priority to the fullest possible
human development
• The fullest possible participation of people everywhere in
determining both the means and outcomes of development
• The elimination of absolute poverty everywhere in the world
• The promotion and protection of human rights for all citizens
• The realization of new social arrangements that accelerate the
pace of development and assure the satisfaction of basic needs of
people everywhere
• The transformation of societies toward more humanistic values
based on social justice, the promotion of peace, and the attainment of
the fullest possible human development.

Refugee
A refugee is a person who is outside their country of origin or
habitual residence because they have suffered persecution on account
of race, religion, nationality, political opinion, or because they are a
member of a persecuted 'social group'. UNHCR provides protection and
assistance not only to refugees, but also to other categories of displaced
or needy people. These include asylum seekers, refugees who have
returned home but still need help in rebuilding their lives, local civilian
communities directly affected by the movements of refugees, stateless
people and so-called internally displaced people (IDPs). IDPs are
civilians who have been forced to flee their homes, but who have not
reached a neighboring country and therefore, unlike refugees, are not
protected by international law and may find it hard to receive any form
of assistance.

SOCIAL PLANNING
Charged with the responsibilities of seeing to it that the country’s
strategy for social development “includes as essential components
those welfare activities which help to insure plans and policies are fully
responsive to the needs and aspiration f people; to alleviate the most

24
 urgent social problems without undue delay and prevent further social
disruption and to achieve a more equitable distribution of benefits
accruing at each stage of national development ”.

ANATOMY OF SOCIAL PROBLEMS AND RELATED THEORIES ON SOCIAL PROBLEMS

SOCIAL PROBLEM
A social condition that is perceived to be harmful to more than
just a few people. A situation in the society that is a result of an impact

Both an objective reality and a subjective perception.

1. AS AN OBJECTIVE REALITY
The social problem is intrinsically real in that it possesses a
harmful quality that can be verified by the experience of some
people.The harmful nature of this experience is universal, existing
all over the world.
Eg. Suicide, poverty, violence, alcoholism, terrorism, human
trafficking and many others.
2. AS A SUBJECTIVE REALITY
Whether something that constitutes a social problem
depends on how people see it. If people perceive something as
a social problem, it is a social problem; if they view it something
else, it will be Something else. Eg. Abortion - To people who
oppose it, abortion is murder and thereby a problem. But to those
who support it, abortion is a solution to being pregnant with an
unwanted child for whom the pregnant individual cannot provide
care.

Reab and Selznick (1961) shares their definition of what Social

Problem is,
"A problem in human relationship which seriously threatens
society or impedes theimportant aspirations of many people."

McKee and Robertson (1975) offered Several Ideas that explains

what social problem is:
1. Social Problems involve the subjective perception of an
objective condition of such problem.
For a social problem to exist, there must be a real, objective
condition, such as crime, drug abuse or poverty. But that mere
existence of such condition is not enough to make it as a social
problem. According to him, there must be a subjective response
in people's minds; they must perceive the condition as presenting
a problem.
2. Social problems involve a gap between social ideals and
social reality

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 All social problems involve a widespread perception of the
difference between the real – what is- and the ideal – what ought
to be. The ideals of society are based on the values and attitudes
of its people.
3. Social problems must be perceived as problems by a
significant number of people or by a number of significant
people.
No matter how undesirable a social condition may seem to
a few people, it cannot be regarded as a social problem until it is
subjectively perceived as such either by a significant proportion of
the population or by a number of people who occupy positions of
power and influence in society.
4. Social problem must be regarded as capable of solution
through collective action.
All societies experience social conditions that they
recognizę as undesirable, such as disease, war or fume. But it is
only when people believe that they have the capacity to do
something about these conditions that the conditions are
regarded as social problems

SOCIOLOGICAL THEORIES OF SOCIAL PROBLEMS

"When one attempts to analyse and interpret a social problem,
different ways may be used. One can look at the "big picture" of society
to see how it operates. This one calls for a macroview - focusing on the
large social phenomena of society. One can also take the microview-
zeroing in the immediate social situations in which people interact with
one another. From these two views, different perspectives emerged
which each sets a general assumptions about the nature of society."

There are three well-known perspectives in studying social problems:

1. FUNCTIONALIST THEORY
According to Functionalist Theory, "Every part of society - the
family, the school, the economy, the government, and the other social
institutions and groups -performs certain functions for the society as a
whole." All parts of society depend on each other to bring about social
order.
Dysfunction - The failure of some parts of society to perform their
functions and the resulting disruption of the network of interdependence
among all parts.

There are 2 Kinds of Functions:

A. Manifest Functions - a function that is intended and widely
recognized.
B. Latent Functions - a function that is unintended and
unrecognized.

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 2. CONFLICT THEORY
According to Conflict Theory, "social problems arise from various
kinds of social conflict. Common to this incudes class conflict, racial or
ethnic conflict and gender conflict."
Karl Marx - class conflict involves conflict between 2 classes:
Bourgeoisie (capitalist) – own the means of production; and,
Proletariat (laborers) – do not own the means of production
Capitalism – an economic system where the means of production
are largely in the hands on the hands of private persons whether as
individuals, groups or corporations, with minimum government
interventions.
As Balkan, Berger & Schmidt (1980) shares, "Economic marginality
leads to a lack of self-esteem and a sense of powerlessness and
alienation, which creates intense pressures on individuals. Many people
turn to violence to vent their frustrations and strike out against symbols of
authority, and others turn this frustrations inward and experience severe
emotional difficulties."

Racial or Ethnic Conflict can further be a source of social problems.

Racial Conflict typically appears in the form of prejudice and
discrimination held and practice by the dominant group. Eg. Whites
against the minorities (Africans, Hispanics, Asians and other ethnic/racial
groups)

Gender Conflict can also be a source of social problems.

Gender conflict appears in the form of prejudice and
discrimination by men against women.

Patriarchy - a system of domination in which men exercise power over

women.

3. SYMBOLIC INTERACTION THEORY

Symbolic Interaction Theory views a social problem as, a symbolic
interaction between individuals without the problem and others with the
problem, leading the former to behave like the latter."
Symbolic Interaction is the interaction between a person and
others that is governed by the meanings that they impute to each other's
action and reactions.

2 Ways a Social Problem can arise from the Attachment of Positive

Meanings:
Differential Association - the process of acquiring through
association with others.
Labeling - labeling individuals as deviants, usually by convicting or
imprisoning them as criminals or treating them as disreputable
characters.

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In Addition to Perspectives in Analyzing and Interpreting Social Problems:
● Social Disorganization
● The disruption or breakdown of a social system.
● Value-Conflict
● Differing values and attitudes among various social groups.
● Deviance
● Any conduct that violates social expectations.

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 B. FILIPINO PERSONALITY AND SOCIAL WORK

FILIPINO PSYCHOLOGY / SIKOLOHIYANG FILIPINO

It is the embodiment of the systematic and scientific study, appreciation
and application of indigenous knowledge for, of and by the Filipinos of their
own psychological make-up, society and culture, rooted in their historical past,
ethnic diversity and the dynamic interaction of Filipinos with forces within and
outside their social and physical boundaries.
It traces its roots to liberalism, the propaganda movement, the writings
of Jacinto, Mabini and Del Pilar which all imbued with nationalistic fervor.
It seeks to explain Philippine realities from the Filipino perspective, taking
into account the peculiarities and distinct values and characteristics of the
Filipino which the Western models invariably fail to consider.
It gathers data on the Filipino psyche by utilizing culturally appropriate
field methods in the form of pagtatanong-tanong, pakikiramdam,
panunuluyan and pakikipamuhay.

Major Characteristics
➢ Emphasis in psychology on (1) identity and national consciousness, (2)
social awareness and Involvement, (3) psychology of language and
culture (4) application and bases of Filipino Psychology in health
practices, agriculture, art, mass media, religion, etc.
➢ Primary areas of protest – it is against a psychology that perpetuates
the colonial status of the Filipino mind; it is against a psychology used
for the exploitation of the masses; against the imposition to a 3rd world
country of psychologies developed in industrialized countries.
➢ In terms of psychological practice – it is concerned with folk
practices/indigenous techniques, babaylan, or katalonan techniques
of healing; popular religio-political movements; community/rural
psychology

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 BIO – PHYSIOLOGICAL, SOCIAL, PSYCHOLOGICAL, SPIRITUAL – MORAL
FRAMEWORK.
The bio-psychological, social, spiritual, and moral framework seeks to
explain the complex interplay of various factors towards the growth and
development of an individual.
Biological Factors
Genetics - inhereted traits influence physical characteristics, health
predispositions, and certain behaviroural tendencies.
Neurological Development - Brain maturation and neurological
processes affect cognitive abilities.
Psychologgical Factors:
Cognitive Development - How individuals perceive, process, and
interpret information changes over time, influencing
reasoning, problem-solving, and decision-making skills.
Emotional Development - the development of emotions and emotional
regulation skills affects interpersonal relationships, resilience, and
coping mechanisms.
Personality - Individual traits and characteristics shape how people
interact with their environment and respond to challenges.
Social Factors:
Family Dynamics - Early relationships with caregivers impact attachment
styles, self-esteem, and social skills.
Peer Relationships - Interactions with peers influence socialization,
identity formation, and behavior modeling.
Community and Cultural Influences - Societal norms, cultural practices,
and community resources shape beliefs, values, and
opportunities available to individuals.
Spiritual Factors:
Belief System - Personal beliefs, religion, and spirituality provide
frameworks for understanding purpose, morality, and
existential questions.
Meaning and Purpose - Spiritual beliefs contribute to resilience, coping
strategies, and decision-making during challenging times.
Connection to Something Greater - Feelings of connectedness to others,
nature, or a higher power influence well-being and sense of identity.
Moral Factors:
Ethical Development - Understanding of right and wrong evolves over
time, influenced by upbringing, cultural norms, and personal
experiences.
Values and Decision-Making - Moral principles guide behavior, ethical
choices, and interactions with others.
Social Responsibility - Recognition of one’s impact on others and the
broader community shapes altruistic behaviors and civic
engagement

MULTIDIMENSIONAL APPROACH

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➢ Based on the belief that human behavior is dynamic
➢ Developed through internal & external forces Influenced by the interaction
of person, environment, & time

THREE DIMENSIONS
1. The person…
biological, psychological, social, & spiritual
2. The environment…
family, neighborhood, community, social structure, clan, “tribe”
3. Time…
constants, trends, cycles, shifts, time orientation, pace of time, life
events

All 3 dimensions are shaped by our cultures

Constants - Changes that move in only one direction, such as age
Trends - Changes that move in a general direction, but are not constant,
such as an increase in the number of women involved in peace-building
Cycles - Changes that are repetitive, such as the school semester cycle or
the crop harvest cycle
Shifts - Changes that are sudden, such as those caused by death, illness,
trauma, natural disaster, & war

CORE FILIPINO VALUES

Enriquez was critical of this approach to the study of Filipino values. He
encouraged Filipino scholars to take a second look at these values using a
Filipino orientation. Social scientists such as Lagmay, Salazar, and Bonifacio
took up the challenge in their own research. Let us examine three of these
‘‘Filipino values’’ from the exogenous and indigenous perspectives.
1. Bahala Na. The Filipino cultural value of bahala na has no exact English
translation. Bostrom (1968) was the first psychologist to analyze this value by
comparing it with American fatalism. This is obviously a pervasive
interpretation that when Thomas Andres published the Dictionary of Filipino
Culture and Values, he still defines bahala na as ‘‘the Filipino attitude that
makes him accept sufferings and problems, leaving everything to God.
‘Bahala na ang Diyos (God will take care of us)’ . . . This attitude is a fatalistic
resignation or withdrawal from an engagement or crisis or a shirking from
personal responsibility’’(Andres, 1994, p. 12).
The Sikolohiyang Pilipino perspective interprets bahala na differently.
Lagmay (1977) explained that bahala na is not ‘‘fatalism’’ but
‘‘determination and risk-taking’’. When Filipinos utter the expression
‘‘Bahala na!’’ they are not leaving their fate to God and remaining passive.
Rather, they are telling themselves that they are ready to face the difficult
situation before them, and will do their best to achieve their objectives. The
expression is a way of pumping courage into their system so that they do
not buckle down. In fact, even before they have said ‘‘Bahala na!’’ they
have probably done their best to prepare for the forthcoming situation.

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2. Hiya. Sibley (1965), an American scholar, translated hiya as ‘‘shame’’.
Another American, Lynch (1961) saw hiya as ‘‘the uncomfortable feeling
that accompanies awareness of being in a socially unacceptable position,
or performing a socially unacceptable action.’’ For example, when an
employee is scolded in front of other people. To add to the negativity of
this interpretation of hiya, Andres (1994) described hiya as ‘‘an ingredient
in why Filipinos overspend during fiestas in order to please their visitors, even
to the extent of going into debt’’ (p. 64). This conventional interpretation of
hiya is inadequate because it does not take into account the importance
of understanding how affixations in Philippine languages can give a new
meaning to a word. Bonifacio (1976) alerted us to the different meanings
of the word hiya depending on its form – nakakahiya (embarrassing),
napahiya (placed in an awkward position), ikinahiya (be embarrassed with
someone), etc. With some affixes, it becomes negative, e.g., napahiya;
with others, positive, e.g., mahiyain (shy); and in still other forms, it can either
be positive or negative depending on the context, e.g., kahihiyan (sense
of propriety, or embarrassment). Salazar (1981, 1985b) expounded on
affixation and hiya and showed the internal and external aspects of hiya.
Evidently, it is the external aspect which foreign scholars have captured.
After all is said and done, the more appropriate translation of hiya in English
is not “shame’’ but ‘‘sense of propriety’’.

3. Utang na loob. Utang na loob was translated by Kaut (1961) as ‘‘debt of

gratitude’’. Andres (1994, pp. 190–191) defined it, following Kaut’s logic, as
‘‘the principle of reciprocity incurred when an individual helps another. The
person helped then feels an obligation to repay the debt in the future when
the helper himself (sic) is in need of aid, or he (sic) may repay his debt by
sending gifts. It is often not clear when a debt has been fully paid, so that
the relationship becomes an ongoing one.’’ Hollnsteiner (1961) took this
interpretation further by claiming that the recipient of the favor is forced
‘‘to show his (sic) gratitude properly by returning the favor with interest.’’
Enriquez (1977) dared to speculate that there is an element of wanting to
promote reciprocity which is useful for maintaining the image of the
colonizer as benefactor. But looking at utang na loob more closely in the
context of Filipino culture, it actually means ‘‘gratitude/solidarity’’. It is not
necessarily a burden as the word ‘‘debt’’ connotes, because in the Filipino
pattern of interpersonal relations, there is always an opportunity to return a
favor. It is not absolutely obligatory in the immediate future, for the
opportunity to show utang na loob might come only in the next generation,
maybe not in your lifetime. Your children will see to it that it is recognized
and respected. It is a beautiful element of Filipino interpersonal relationships
that binds a person to his or her home community or home country. In fact,
this is expressed in a popular Filipino saying, ‘‘Ang hindi lumingon sa
pinanggalingan ay hindi makakarating sa paroroonan. (Those who do not
look back to where they came from will not reach their destination)’’.

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 Utang na loob is a calling heard by many Filipinos who go to other lands
but who still retain strong ties with their homeland.

4. Pakikisama vs. pakikipagkapwa. Pakikisama was identified by Lynch

(1961, 1973) as a Filipino value, giving it the English translation of
maintaining ‘‘smooth interpersonal relations’’ by going along with the
group or the majority decision, i.e., conformity. Enriquez (1978, 1994) started
unfolding the concept of kapwa (shared identity), which is at the core of
Filipino social psychology, and which is at the heart of the structure of
Filipino values. He discovered that it is not maintaining smooth interpersonal
relationships that Filipinos are most concerned with, but pakikipagkapwa
which means treating the other person as kapwa or fellow human being.
There are two categories of kapwa: the Ibang-Tao (outsider) and the
Hindi-Ibang-Tao (‘‘one-of-us’’). In Filipino social interaction, one is
immediately ‘‘placed’’ into one of these two categories; and how one is
placed determines the level of interaction one is shown. For example, if
one is regarded as ibang-tao, the interaction can range from pakikitungo
(transaction/civility with), to pakikisalamuha (interaction with), to
pakikilahok (joining/participating), to pakikibagay (in-conformity
with/inaccord with), and to pakikisama (being along with). If one is
categorized as hindi-ibang-tao, then you can expect
pakikipagpalagayang-loob (being in-rapport/understanding/
acceptance with), or pakikisangkot (getting involved), or the highest level
of pakikiisa (being one with).

Using the Sikolohiyang Pilipino perspective, Enriquez (1992) re-

conceptualized the Filipino behaviour patterns and value structure where he
designated hiya(‘‘propriety/ dignity’’), utang na loob (‘‘gratitude/solidarity’’)
and pakikisama (‘‘companionship/ esteem’’) as colonial/accommodative
surface values; and bahala na (‘‘determination’’), sama/lakas ng loob
(‘‘resentment/guts’’) and pakikibaka (‘‘resistance’’) as confrontative surface
values. He emphasized kapwa (‘‘shared identity’’) as core value;
pakikiramdam (‘‘shared inner perception’’) as pivotal interpersonal value; and
kagandahang-loob (‘‘shared humanity’’) as linking socio-personal value.
Associated with the above are societal values such as karangalan (‘‘dignity’’),
katarungan (‘‘justice’’), and kalayaan (‘‘freedom’’).
Thus, the area of Filipino personality developed as a strong area using
the Sikolohiyang Pilipino perspective. The Filipino is a blend of East and West.
The Western influence can be seen more in external ways – dressing, liking for
hamburger and other food, Western music and dance, etc. However, the
internal aspect, which is at the core of his pagkatao (personality), is Asian –
deference for authority, modesty/humility, concern for others, etc.

DOMINANT VALUES OF FILIPINOS

1. SOCIAL ACCEPTANCE – defines as being taken by one’s fellows for
what one is, or believes he is and being treated in accordance with his status.
a. Smooth Interpersonal Relation S.I.R

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 1. Pakikisama which means giving in concession or following
the lead of suggestion of another.
2. Euphemism means stating of an unpleasant truth,
opinion, or request as pleasantly as possible.
3. Go Between or tulay means 3rd party who will carry a
message
b. Amor Propio is a term used to refer to the sensitivity to personal
affront and functions to protect the individual against loss of social
acceptance. Hiya is fear of exposure of one’s insecure self.
2. EMOTIONAL CLOSENESS AND SECURITY IN A FAMILY - This value is
believed to be facilitated through the following: sacrificing individual interest
for the good of the family, parental striving to give their children an education
even at great cost to themselves older
3. AUTHORITY VALUE - Belief that families will remain close if someone
exerts firm authority, and that such person must be respected and obeyed.
Closely relate to the authority value is the respect for traditions and rituals no
matter how impractical they have become.
4. PERSONALISM - Attaches major importance to personal factors which
guarantees intimacy, warmth, and security of kinship and friends in getting
things done. E.g tiwala, kakilala, walang pakialam
5. UTANG NA LOOB - Debt of gratitude - It is granted when a transfer of
goods or service takes place between individuals belonging to two different
groups. Returning the favor “with interest”.
6. PATIENCE, SUFFERING AND ENDURANCE - A person must suffer before
he can gain happiness, and related to it is that which many still believe, that
women, particularly must suffer in silence.
7. PERSONALISM - The degree of emphasis Filipinos give to interpersonal
relations, to face-toface encounter.
8. FAMILISM - family orientation, hence, total family approach
9. PARTICULARISM (or popularism)- tends to belong, to associate with
one person, groups or thing, places high value on affiliation, subjective,
hesitant to be held responsible for decisions, (pakikiramay, pakikisama,
bayanihan, paggalang)

1. Apply knowledge of human behavior and social environment in contributing

to personal and professional growth of a social worker.
1.1. Distinguish knowledge of human behavior and social environment
in contributing to personal and professional growth of a social worker.

PERSONALITY THEORIES

Theory—interrelated sets of concepts and propositions, organized into a

deductive system to explain relationships about certain aspects of
the world (e.g., the theories listed below).

34
 Perspective—an emphasis or point of view; concepts at an earlier level
of development (e.g., a “strengths perspective”) or at a broader
and higher level of abstraction (ex: a “humanistic perspective” or a
“developmental perspective”)
Paradigm—an archetype or mode of thought; a general way of seeing
the world (e.g., “modernism” or “post-modernism”)
Practice Model—a guide for practitioner interaction that operationalizes
theory; includes concrete actions and techniques (note: some
theories have more well-developed practice models than others)
Dimension—a feature that can be focused on individually or separately,
but can only be understood in relation to other features (as in
“dimensions of human behavior” or a “multi-dimensional approach”
to human behavior)

PSYCHOANALYTIC THEORY

INSTINCTS
Freud wrote that instincts were the basic elements of the personality, the
motivating forces that drive behavior and determine its direction. Freud’s
German term for this concept is Trieb, which is a driving force or impulse
(Bettelheim, 1984). Instincts are a form of energy—transformed physiological
energy—that connects the needs of the body with
the wishes of the mind.
The stimuli for instincts—hunger and thirst, for example—are internal.
When a need such as hunger is aroused in the body, it generates a state of
physiological excitation or energy. The mind transforms this bodily energy into
a wish. It is this wish—the mental representation of the physiological need—
that is the instinct or driving force that motivates the person to behave in a way
that satisfies the need. A hungry person, for example, will look for food. The
instinct is not the bodily state itself (the hunger). Rather, it is the bodily need
transformed into a mental state, a wish.
When the body is in such a state of need, the person experiences a
feeling of tension or pressure. The aim of an instinct is to satisfy the need and
thereby reduce the tension. Freud’s theory is therefore a Homeostatic
approach, meaning that we are motivated to restore and maintain a
condition of physiological equilibrium, or balance, to keep the body free of
tension.
Two Types of Instincts
1. The Life Instincts
The life instincts serve the purpose of survival of the individual and
the species by seeking to satisfy the needs for food, water, air, and sex.
The life instincts are oriented toward growth and development. The
psychic energy manifested by the life instincts is the libido. The libido can
be attached to or invested in objects, a concept Freud called cathexis.
If you like your roommate, for example, Freud would say that your libido
is cathected to him or her.

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 The life instinct Freud considered most important for the
personality is sex, which he defined in broad terms. He was not referring
exclusively to the erotic, but also included almost all pleasurable
behaviors and thoughts. He described his view as enlarging or extending
the accepted concept of sexuality. He considered the sexual impulses
to include “all of those merely affectionate and friendly impulses to
which usage applies the exceedingly ambiguous word ‘love’ ”.
2. The Death Instincts
In opposition to the life instincts, Freud postulated the destructive
or death instincts. Drawing from biology, he stated the obvious fact that
all living things decay and die, returning to their original inanimate state,
and he believed that people have an unconscious wish to die. One
component of the death instincts is the aggressive drive, which he saw
as the wish to die turned against objects other than the self. The
aggressive drive compels us to destroy, conquer, and kill. Freud came to
consider aggression as compelling a part of human nature as sex.

LEVELS OF PERSONALITY
⚫ The conscious - corresponds to its ordinary everyday meaning. It
includes all the sensations and experiences of which we are aware
at any given moment. As you read these words, for example, you
may be conscious of the sight of the page, a message you want to
send to a friend, and someone playing loud music next door. Freud
considered the conscious to be a limited aspect of personality
because only small portion of our thoughts, sensations, and
memories exists in conscious awareness. He likened the mind to an
iceberg. The conscious is that part above the surface of the water—
the tip of the iceberg.
⚫ Unconscious - invisible portion below the surface. This is the focus of
psychoanalytic theory. Its vast, dark depths are the home of the
instincts, those wishes and desires that direct our behavior. The
unconscious contains the major driving power behind all behaviors
and is the repository of forces we cannot see or control.
⚫ Between these two levels is the preconscious. This is the storehouse
of all our memories, perceptions, and thoughts of which we are not
consciously aware at the moment but that we can easily summon
into consciousness. For example, in the unlikely event you mind
strays from this page and you begin to think about what you did last
night, you would be summoning up material from your preconscious
into your conscious. We often find our attention shifting back and
forth from experiences of the moment to events and memories in
the preconscious.

THE STRUCTURE OF PERSONALITY

➢ ID - “Pleasure Principle”
The id corresponds to Freud’s earlier notion of the unconscious
(although the ego and superego have unconscious aspects as well).

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The id is the reservoir for the instincts and libido (the psychic energy
manifested by the instincts). The id is a powerful structure of the
personality because it supplies all the energy for the other two
components. Because the id is the reservoir of the instincts, it is vitally
and directly related to the satisfaction of bodily needs. The only ways
the id can attempt to satisfy its needs are through reflex action and
wish-fulfilling hallucinatory or fantasy experience, which Freud labeled
primary-process thought.
➢ EGO - “Reality Principle”
The rational master of the personality. Its purpose is not to thwart
the impulses of the id but to help the id obtain the tension reduction it
craves. Because the ego is aware of reality, however, it decides when
and how the id instincts can best be satisfied. It determines appropriate
and socially acceptable times, places, and objects that will satisfy the
id impulses. The ego does not prevent id satisfaction. Rather, it tries to
postpone, delay, or redirect it in order to meet the demands of reality.
It perceives and manipulates the environment in a practical and
realistic manner and so is said to operate in accordance with the reality
principle. The powers adults use to satisfy their needs. Freud called these
abilities secondary-process thought.
➢ SUPEREGO - MORAL IMPERATIVES
There is also a third set of forces—a powerful and largely
unconscious set of dictates or beliefs— that we acquire in childhood:
our ideas of right and wrong. In everyday language we call this internal
morality a conscience. Freud called it the superego. He believed that
this moral side of the personality is usually learned by the age of 5 or 6
and consists initially of the rules of conduct set down by our parents.
Through praise, punishment, and example, children learn which
behaviors their parents consider good or bad. Those behaviors for
which children are punished form the conscience, one part of the
superego. The second part of the superego is the ego-ideal, which
consists of good, or correct, behaviors for which children have been
praised.

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ANXIETY: A THREAT TO THE EGO
Anxiety as an objectless fear, meaning that we cannot point to its
source, to a specific object that caused it.
Types of Anxiety:
1. Reality anxiety (or objective anxiety).
This involves a fear of real dangers in the real world. Most of
us justifiably fear fires, hurricanes, earthquakes, and similar
disasters. We run from wild animals, jump out of the paths of
speeding cars, and run out of burning buildings. Reality anxiety
serves the positive purpose of guiding our behavior to escape or
protect ourselves from actual dangers.
2. Neurotic Anxiety
This has its basis in childhood, in a conflict between
instinctual gratification and reality. Children are often punished for
overtly expressing sexual or aggressive impulses. Therefore, the
wish to gratify certain id impulses generates anxiety. This neurotic
anxiety is an unconscious fear of being punished for impulsively
displaying id-dominated behavior.
3. Moral anxiety
Results from a conflict between the id and the superego. In
essence, it is a fear of one’s conscience. When you are motivated
to express an instinctual impulse that is contrary to your moral
code, your superego retaliates by causing you to feel shame or
guilt. In everyday terms, you might describe yourself as
conscience-stricken. Moral anxiety is a function of how well
developed the superego is. A person with a strong inhibiting
conscience will experience greater conflict than a person with a
less stringent set of moral guidelines. Like neurotic anxiety, moral
anxiety has some basis in reality.

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DEFENSE MECHANISMS
Strategies the ego uses to defend itself against the anxiety
provoked by conflicts of everyday life.
1. Repression - is an involuntary removal of something from conscious
awareness. It is an unconscious type of forgetting of the existence of
something that brings us discomfort or pain. Repression can operate
on memories of situations or people, on our perception of the
present (so that we may fail to see some obviously disturbing event
right in front of us), and even on the body’s physiological
functioning.
2. Denial - A defense mechanism that involves denying the existence of
an external threat or traumatic event.
3. Reaction Formation - A defense mechanism that involves expressing
an id impulse that is the opposite of the one that is truly driving the
person.
4. Projection - involves attributing a disturbing impulse to someone else.
5. Regression - involves retreating to an earlier, less frustrating period of
life and displaying the usually childish behaviors characteristic of
that more secure time.
6. Rationalization - reinterpreting our behavior to make it more
acceptable and less threatening to us.
7. Displacement - shifting id impulses from a threatening object or from
one that is unavailable to an object that is available; for example,
replacing hostility toward one’s boss with hostility toward one’s child.
8. Sublimation - Altering or displacing id impulses by diverting instinctual
energy into socially acceptable behaviors.
9. Identification- when the individual is frustrated, a reaction may be to
become the same as the other individual or of trying to be like the
other individual.
10. Fantasy- the person escape from the real world.
11. Compensation- the overemphasis on one type of behavior in order
to cover up felt deficiencies in other areas.
12. Intellectualization- feelings are concealed from oneself by analyzing
situations in an intellectual way
13. Introjection- this is the opposite of projection. A person attributes to
the self what he sees in others.
14. Isolation– the effect associated with an idea is looked out. A person
admits unacceptable feeling intellectually, but he does not
experience them emotionally.

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PSYCHOSEXUAL STAGES OF PERSONALITY DEVELOPMENT

(1.) THE ORAL STAGE (0-2 years old) – During this stage, the infant's
primary source of interaction occurs through the mouth, so the rooting and
sucking reflex is especially important. The infant derives pleasure from oral
stimulation through gratifying activities such as tasting and sucking.
The primary conflict at this stage is the weaning process--the
child must become less dependent upon caretakers. If fixation occurs at
this stage, Freud believed the individual would have issues with
dependency or aggression. Oral fixation can result in problems with
drinking, eating, smoking, or nail biting.
Fixation - A condition in which a portion of libido remains invested
in one of the psychosexual stages because of excessive frustration or
gratification.

(2.)THE ANAL STAGE (2-4 years old) –the primary focus of the libido was
on controlling bladder and bowel movements.
The major conflict at this stage is toilet training--the child has to
learn to control his or her bodily needs. Developing this control leads to
a sense of accomplishment and independence. Positive experiences
during this stage served as the basis for people to become competent,
productive, and creative adults.
Inappropriate parental responses can result in negative
outcomes. If parents take an approach that is too lenient, an anal-
expulsive personality could develop in which the individual has a messy,
wasteful, or destructive personality. If parents are too strict or begin toilet
training too early, an anal-retentive personality develops in which the
individual is stringent, orderly, rigid, and obsessive.

(3.) THEPHALLIC STAGE (4-6 years old) – between four to six years,
pleasure gratification of
children shifts from the anal to the genital region which Freud calls the phallic
stage. Children derive pleasure from activities associated with stroking and

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manipulating their sex organs. Children also discover the differences between
males and females.
Oedipus Complex- the stage when young boy experience
feelings of possessive love for their mother and see their fathers as rivals.
However, the child also fears that he will be punished by the father for
these feelings, a fear Freud termed castration anxiety.
Castration Anxiety - A boy’s fear during the Oedipal period that
his penis will be cut off.

Electra Complex- has been used to describe a similar set of

feelings experienced by young girls. Freud, however, believed that girls
instead experience penis envy.
Eventually, the child begins to identify with the same-sex parent
as a means of vicariously possessing the other parent. For girls, however,
Freud believed that penis envy was never fully resolved and that all
women remain somewhat fixated on this stage. Male fixated at this
stage with failure to identify appropriately with the father may become
a “don juan” – devoting his life to sexual promiscuity in quest for sexual
gratification. If the father denied him as a child or because the child
failed to take on the masculine characteristics due to weak
identification with the father – the result could be a feminine orientation
and possibly an attraction to men.
Penis Envy - The envy the female feels toward the male because
the male possesses a penis; this is accompanied by a sense of loss
because the female does not have a penis.

(4.) THELATENCY STAGE (6-12 years old) – characterized by absence of

a dominant erogenous zone. Many of the disturbing and conflicting feelings of
children are buried in the subconscious mind. The development of the ego and
superego contribute to this period of calm.
The latent period is a time of exploration in which the sexual
energy is still present, but it is directed into other areas such as intellectual
pursuits and social interactions. This stage is important in the
development of social and communication skills and selfconfidence.

(5.) THEGENITAL STAGE (12 years and up) – starts with the onset of
puberty. The individual develops a strong sexual interest in the opposite sex.
Where in earlier stages the focus was solely on individual needs and, interest in
the welfare of others grows during this stage.
If the other stages have been completed successfully, the
individual should now be wellbalanced, warm, and caring. The goal of
this stage is to establish a balance between the various life areas.

CARL JUNG’S THEORY OF PERSONALITY

Aspects of Personality
1. Ego - the conscious aspect of personality

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2. Attitudes
a) extraversion - attitude of the psyche characterized by an
orientation toward the external world and other people.
b) introversion - attitude of the psyche characterized by an
orientation toward one’s own thoughts and feelings.
3. Psychological Functions - refer to different and opposing ways
of perceiving both the external real world and our subjective inner
world. Jung posited four functions of the psyche: sensing, intuiting,
thinking, and feeling
4. Psychological Types - eight personality types based on
interactions of the attitudes (introversion and extraversion) and
the functions (thinking, feeling, sensing, and intuiting)
a) The extraverted thinking types live strictly in accordance
with society’s rules. These people tend to repress feelings
and emotions, to be objective in all aspects of life, and to
be dogmatic in thoughts and opinions. They may be
perceived as rigid and cold.
b) The extraverted feeling types tend to repress the thinking
mode and to be highly emotional. They conform to the
traditional values and moral codes they have been taught
and are unusually sensitive to the opinions and expectations
of others. They are emotionally responsive, make friends
easily, and tend to be sociable and effervescent. Jung
believed this type was found more often among women
than men.
c) The extraverted sensing types focus on pleasure and
happiness and on seeking new experiences. They are
strongly oriented toward the real world and are adaptable
to different kinds of people and changing situations. Not
given to introspection, they tend to be outgoing, with a high
capacity for enjoying life.
d) The extraverted intuiting types find success in business and
politics because of a keen ability to exploit opportunities.
They are attracted to new ideas, tend to be creative, and
are able to inspire others to accomplish and achieve. They
also tend to be changeable, moving from one idea or
venture to another, and to make decisions based more on
hunches than on reflection. Their decisions, however, are
likely to be correct.
e) The introverted thinking types do not get along well with
other people and have difficulty communicating ideas.
They focus on thoughts rather than feelings and have poor
practical judgment. Intensely concerned with privacy, they
prefer to deal with abstractions and theories, and they focus
on understanding themselves rather than other people.
Others see them as stubborn, aloof, arrogant, and
inconsiderate.

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 f) The introverted feeling types repress rational thought. They
are capable of deep emotion but avoid any outward
expression of it. They seem mysterious and inaccessible and
tend to be quiet, modest, and childish. They have little
consideration for others’ feeling and thoughts and appear
withdrawn, cold, and self-assured.
g) The introverted sensing types appear passive, calm, and
detached from the everyday world. They look on most
human activities with benevolence and amusement. They
are aesthetically sensitive, expressing themselves in art or
music, and tend to repress their intuition.
h) The introverted intuiting types focus so intently on intuition
that they have little contact with reality. They are visionaries
and daydreamers—aloof, unconcerned with practical
matters, and poorly understood by others. Considered odd
and eccentric, they have difficulty coping with everyday life
and planning for the future.
5. Personal Unconscious - The reservoir of material that was once
conscious but has been forgotten or suppressed.
6. Complex - To Jung, a core or pattern of emotions, memories,
perceptions, and wishes in the personal unconscious organize
around a common theme, such as power or status.
7. Collective Unconscious - the deepest level of the psyche
containing the accumulation of inherited experiences of human
and pre-human species.
8. Archetypes - Images of universal experiences contained in the
collective unconscious.
a. persona archetype - the public face or role a person
presents t others.
b. Animus archetype - Masculine aspects of the female
psyche.
c. Anima archetype - Feminine aspects of the male psyche.
d. shadow archetype - The dark side of the personality; the
archetype that contains primitive animal instincts.
e. self archetype - To Jung, the archetype that represents
the unity, integration, and harmony of the total
personality.

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 JUNG’S DEVELOPMENTAL STAGES

ALFRED ADLER: INDIVIDUAL PSCYHOLOGY

Birth Order - One’s order of birth within the family— being older or
younger than one’s siblings—creates different conditions of childhood
that can affect personality
1. First Borns - first-borns also take an unusual interest in maintaining
order and authority. They become good organizers,
conscientious and scrupulous about detail, authoritarian and
conservative in attitude.
2. Second Borns - Competition with the first-born may serve to
motivate the second-born, who may try to catch up to and
surpass the older sibling, a goal that spurs language and motor
development in the second-born. Not having experienced
power, second-borns are not as concerned with it. They are
more optimistic about the future and are likely to be competitive
and ambitious, as Adler was.
3. Youngest Child - Youngest or last-born children never face the
shock of dethronement by another child and often become the
pet of the family, particularly if the siblings are more than a few
years older. Driven by the need to surpass older siblings, youngest
children often develop at a remarkably fast rate. Last-borns are
often high achievers in whatever work they undertake as adults.
4. Only Child - Only children never lose the position of primacy and
power they hold in the family. They remain the focus and center
of attention. Spending more time in the company of adults than
a child with siblings, only children often mature early and
manifest adult behaviors and attitudes. Only children may
experience problems when they find that in areas of life outside
the home, such as school, they are not the center of attention.
Only children have learned neither to share nor to compete. If
their abilities do not bring them sufficient recognition and
attention, they are likely to feel keenly disappointed.

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ALFRED ADLER: ANALYTICAL PSYCHOLOGY
He assumes that man is motivated primarily by social motives. He
stressed social context of personality development. He believed that
humans are social creatures by nature not by habits.

This theory acknowledges…

⚫ Social nature of human beings[ unique creative capacities of people
to transcend perceived limitations
⚫ Role of environment to individual’s lifestyle and creative self

Basic Concepts:
➢ Striving for Superiority
This is the foremost source of human motivation in his thinking.
There are 3 stages regarding the final goal of human: to be aggressive,
to be powerful, to be superior.
How this striving for superiority does come into being in a person?
Inferiority feelings + compensation: In general, feelings of inferiority
arise from a sense of incompletion or imperfection in any sphere of life.
➢ Style of life (lifestyle): Principles that explains the uniqueness of a person.
The style of life is a compensation for a particular inferiority.
➢ Creative self: People make their own personalities. They construct them
out of raw materials of heredity and experiences.
➢ Superiority: Concept of creative self, ‘an upward drive’, an innate part
of life.
➢ Compensation: Effort to overcome marginalized/real inferiorities by
developing one’s abilities.

KAREN HORNEYE: NEUROTIC NEEDS AND TRENDS

The Childhood Need for Safety and Security
1. safety need - a higherlevel need for security and freedom from fear.
2. neurotic needs - Ten irrational defenses against anxiety that become
a permanent part of personality and that affect behavior.
i. Affection and approval
ii. A dominant partner
iii. Power
iv. Exploitation
v. Prestige
vi. Admiration
vii. Achievement or ambition
viii. Self-sufficiency
ix. Perfection
x. Narrow limits to life

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 3. Neurotic Trends - Three categories of behaviors and attitudes toward
oneself and others that express a person’s needs; Horney’s revision of the
concept of neurotic needs.
• Movement toward other people—the compliant personality,
• Movement against other people—the aggressive personality,
and
• Movement away from other people—the detached personality.

ERIK ERIKSON: PSYCHOSOCIAL DEVELOPMENT

Erik Erikson (1902 – 1994) was a Danish – German – American
Development psychologist and psychoanalyst. He is best known among
psychologist. His theory places emphasis on social influences. According to him
children are active, adaptive explorers. Assumes that human beings are
basically rational creatures whose thoughts, feelings and actions are largely
controlled by the ego.

Epigenetic Principle- development proceeds by stages. Age stage is

not
passed through and then left behind.

Ego is believed to have 12 functions:

a. Reality testing
b. Judgment
c. Sense of reality of the world and self
d. Regulation and control of desires, affects and impulses
e. Object relations
f. Thought processes
g. Adaptive regression in the service of the ego
h. Defensive functioning
i. Stimulus barrier
j. Motor functioning
k. Mastery-competence
l. Synthetic integrative function

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47
ABRAHAM MASLOW: HEIRARCHY OF NEEDS

1. Psychological Needs - biological requirements for human survival.

2. Safety Needs - People want to experience order, predictability, and
control in their lives
3. Love and Belongingness Needs - Refers to human need for
interpersonal relationships, affiliating, connectedness, and being part of
a group.
4. Esteem Needs - are fourth level in the hierarchy and include self-worth,
accomplishment, and respect
5. Self-actualization Needs - are the highest level and refer to the
realization of a person’s potential, self-fulfilment, seeking personal
growth, and peak experiences.

Types of Needs
➢ Deficiency Needs (D-needs)
These needs are similar to instincts and play a major role in
motivating behavior.
➢ physiological, security, social and esteem needs
Satisfying these lower-level needs is important in order to avoid
unpleasant feelings or consequences.
➢ Growth Need (also known as being needs or B-needs)

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 Growth needs do not stem from a lack of something, but rather
from a desire to grow as a person.

CARL ROGERS: SELF-ACTUALIZATION THEORY

Roger’s personality theory is often referred to as a “self” theory because
it focuses on the individual’s self-perception and personal view of the world.
We develop a self-concept through our experience with the world, our
interactions with other people, and what other people tell us. We build our own
lives, and we are all free to choose for ourselves rather than being at the mercy
of learned stimuli or unconscious forces.
This theory stresses that each person is purposeful in his/her behavior and
is positively striving to reach self-fulfillment. The major cause of maladjustment
is an individual’s perception that his/her sense of self is in opposition to personal
expectations or goals.

Structures of Personality:
a. Organism- focus of all experience.
b. Self or self-concept - subjective nature (own picture of self),
collection on self-perception, not entirely consistent with external
reality (distortion), the I or ME ideal self of what the person wanted
to be.
c. Phenomenological field - subjective reality, an individual behave
according to his/her reality and not on stimulating conditions.
1. Positive Regard - It includes acceptance, love, and approval from other
people, most notably from the mother during infancy. This need is probably
learned, although Rogers said the source was not important. The need for
positive regard is universal and persistent.
2. Unconditional Positive Regard - Approval granted regardless of a
person’s behavior.
3. Positive Self-Regard - The condition under which we grant ourselves
acceptance and approval.
4. Conditions of Worth - a belief that we are worthy of approval only when
we express desirable behaviors and attitudes and refrain from expressing
those that bring disapproval from others; similar to the Freudian superego.
5. Conditional Positive Regard - Approval, love, or acceptance granted
only when a person expresses desirable behaviors and attitudes.
6. Incongruence - A discrepancy between a person’s self-concept and
aspects of his or her experience.

ALBERT BANDURA: SOCIAL LEARNING THEORY

The social learning theory of Bandura emphasizes the importance of
observing and modeling the behaviors, attitudes, and emotional reactions of
others.
Bandura states: "Learning would be exceedingly laborious, not to
mention hazardous, if people had to rely solely on the effects of their own

49
actions to inform them what to do. Fortunately, most human behavior is
learned observationally through modeling: from observing others one forms an
idea of how new behaviors are performed, and on later occasions this coded
information serves as a guide for action."
Social learning theory explains human behavior in terms of continuous
reciprocal interaction between cognitive, behavioral, an environmental
influences.
Self-regulation - controlling our own behavior. Those who are confident
and have high level of self-efficacy has the ability to regulate own behavior.
3 steps of self-regulation:
1. Self-observation: know self
2. Judgment: don’t set standards too high, don’t set self for failure
3. Self-response:use reward not punishment, celebrate victories,
don’t dwell on failure

Component processes underlying observational learning:

(1) Attention: including modeled events (distinctiveness, affective
valence, complexity, prevalence, functional value) and observer
characteristics (sensory capacities, arousal level, perceptual set, past
reinforcement)
(2) Retention: including symbolic coding, cognitive organization,
symbolic rehearsal, motor rehearsal
(3) Motor Reproduction: including physical capabilities, self-observation
of reproduction, accuracy of feedback
(4) Motivation: including external, vicarious and self-reinforcement

Scope/Application:
Social learning theory has been applied extensively to the
understanding of aggression and psychological disorders, particularly in
the context of behavior modification. It is also the theoretical foundation
for the technique of behavior modeling which is widely used in training
programs.

Principles:
1. The highest level of observational learning is achieved by first
organizing and rehearsing the modeled behavior symbolically and then
enacting it overtly. Coding modeled behavior into words, labels or
images results in better retention than simply observing.
2. Individuals are more likely to adopt a modeled behavior if it results in
outcomes they value.
3. Individuals are more likely to adopt a modeled behavior if the model
is similar to the observer and has admired status and the behavior has
functional value.

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B. F. SKINNER: REINFORCEMENT THEORY
Reinforcement - The act of strengthening a response by adding a
reward, thus increasing the likelihood that the response will be repeated.
Extinction The process of eliminating a
behavior by withholding reinforcement.
Operant behavior - Behavior emitted spontaneously or voluntarily
that operates on the environment to change it. Refer to his idea that an
organism has to do something in order to get a reward, that is, it must
operate on its environment.
Responses may be reinforced by the presentation (positive) or
removal (negative) of particular consequences.

3 kinds of Consequences in Operant Conditioning

A. Positive Reinforcement – a process whereby some event,
usually a stimulus increases the likelihood of a response on which
its presentation is contingent. Any stimulus that when added to a
situation, increases the probability that a given behavior will
occur.
B. Negative Reinforcement – is a process whereby the likelihood
of a response increases when it is followed by the termination,
reduction or absence of a stimulus
C. Punishment – responses that are followed by the presentation
of aversive stimuli decrease in likelihood of being performed in the
future. The presentation of an aversive stimulus such as the
removal of a positive one

2 types of Reinforcement
a.) Primary reinforcers
➢ innately reinforcing
➢ powerful in increasing the chance that a particular behavior
will occur
➢ primary reinforcers, the increase in response rate occurs
without training
b.) Secondary reinforcers or conditioned reinforcers
➢ influence behavior through training
➢ are not innately reinforcing
➢ done specifically by developing associations with a primary
reinforcer
➢ their power to reinforce behavior is acquired (example:
money, grades, tokens)
Both types of reinforcers are most effective when they
immediately follow
the responses they are intended to increase

Extinction – extinction of a learned behavior occurs as a result of

its repetition while receiving no further reinforcement

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 Shaping behavior – is the acquisition of complex behaviors – such
as playing tennis and solving problems. It can generate complex
behaviors that do not occur naturally through a series of contingencies
in a program. Each stage of the program evokes a response and also
serves to prepare the organism to respond at some later point. It does
not entail trial and error at random points in the learning process.

JEAN PIAGET: COGNITIVE DEVELOPMENT THEORY

Piaget’s stage theory describes the cognitive development of children.
Cognitive Development involves changes in cognitive process and abilities. In
Piaget’s view, early cognitive development involves processes based upon
actions and later progresses into changes in mental operations.

Key Concepts:
a.) Scheme or schema - It is an organized pattern of thought or action
that is used to cope with or explain some aspect of experience.
In Piaget’s view, a schema includes both a category of
knowledge and the process of obtaining that knowledge. As
experiences happen, this new information is used to modify, add to,
or change previously existing schemas.
For example, a child may have a schema about a type of
animal, such as a dog. If the child’s sole experience has been with
small dogs, a child might believe that all dogs are small, furry, and
have four legs. Suppose then that the child encounters a very large
dog. The child will take in this new information, modifying the
previously existing schema to include this new information.
b.) Assimilation - The process of taking in new information into our
previously existing schema’s. The process is somewhat subjective, because we
tend to modify experience or information somewhat to fit in with our preexisting
beliefs.
In the example above, seeing a dog and labeling it “dog” is an
example of assimilating the animal into the child’s dog schema.
c.) Accommodation - Involves altering existing schemas, or ideas, as a
result of new information or new experiences. New schemas may also be
developed during this process.
d.) Equilibration - Piaget believed that all children try to strike a balance
between assimilation and accommodation, which is achieved through a
mechanism Piaget called equilibration. As children progress through the stages
of cognitive development, it is important to maintain a balance between
applying previous knowledge (assimilation) and changing behavior to
account for new knowledge (accommodation).
Equilibration helps explain how children are able to move from
one stage of thought into the next.

Four Stages of Cognitive Development:

1.) THE SENSORIMOTOR STAGE (birth to age 2)

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 The dominant cognitive structures are behavioral schemes, which
evolve as infants begin to coordinate their sensory input and motor responses
in order to “act on” and get to “know” the environment. Children utilize skills
and abilities they were born with, such as looking, sucking, grasping, and
listening to learn more about the environment
Substages of the Sensorimotor Stage:
1. Reflexes (0-1 month): During this substage, the child understands the
environment purely through inborn reflexes such as sucking and looking.
2. Primary Circular Reactions (1-4 months): Involves coordinating
sensation and new schemas. For example, a child may suck his or her
thumb by accident and then later intentionally repeat the action. These
actions are repeated because the infant finds them pleasurable.
3. Secondary Circular Reactions (4-8 months): The child becomes more
focused on the world and begins to intentionally repeat an action in order to
trigger a response in the environment. For example, a child will purposefully
pick up a toy in order to put it in his or her mouth.
4. Coordination of Reactions (8-12 months): During this substage, the
child starts to show clearly intentional actions. The child may also
combine schemas in order to achieve a desired effect. Children begin
exploring the environment around them and will often imitate the
observed behavior of others. The understanding of objects also begins
during this time and children begin to recognize certain objects as having
specific qualities. For example, a child might realize that a rattle will
make a sound when shaken.
5. Tertiary Circular Reactions (12-18 months): Children begin a period
of trial- and-error experimentation during the fifth substage. For
example, a child may try out different sounds or actions as a way of
getting attention from a caregiver.
6. Early Representational Thought (18-24 months): Children begin to
develop symbols to represent events or objects in the world in the final
sensorimotor substage. During thistime, children begin to move towards
understanding the world through mental operations rather than purely
through actions.

2.) THE PREOPERATIONAL STAGE (age 2 – 7)

Language development is one of the hallmarks of this period. Piaget
noted that children in this stage do not yet understand concrete logic, cannot
mentally manipulate information, and are unable to take the point of view of
other people,which he termed egocentrism.
During the preoperational stage, children also become increasingly
adept at using symbols, as evidenced by the increase in playing and
pretending. For example, a child is able to use an object to represent
something else, such as pretending a broom is a horse.
Children’s thoughts at this stage are also described as irreversible,
essentially because they still lack an ability to go back and rethink a process or
concept, or to conserve these.

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3.) THE CONCRETE-OPERATIONAL STAGE (7 – 11 or 12)
This stage is considered a transition between prelogical thought and
completely logical thought.
During this time, children gain a better understanding of mental
operations. Children begin thinking logically about concrete events, but have
difficulty understanding abstract or hypothetical concepts.
Two major cognitive events or operations occur during this stage:
(1)Conservation – refers to retention of the same properties
(volume, mass, number or other aspects of physical environment) even
if they are rearranged differently or reshaped. For example, the child is
able to recognize that the volume of water remains the same, no matter
what size or shape the container it is poured into.
(2)Reversibility – refers to the completion of certain operations in
the reverse order and ending up the same. For instance, the child will be
able to understand that water can exist in several states.
Abstract Thought: Instead of relying solely on previous
experiences, children begin to consider possible outcomes and
consequences of actions. This type of thinking is important in long-
term planning.
Problem-Solving: the ability to systematically solve a
problem in a logical and methodical way emerges. Children at
the formal operational stage of cognitive development are often
able to quickly plan an organized approach to solving a problem.

4.) THE FORMAL OPERATIONAL PERIOD (through adulthood)

Mental operations applied to abstractions. Development of logical and
systematic thinking

LAURENCE KOHLBERG: THEORY OF MORAL DEVELOPMENT

Three Main Levels of Moral Development
LEVEL 1: PRECONVENTIONAL MORALITY
Children’s judgments are based on external criteria. Standards of
right or wrong are absolute and laid down by authority.
Stage 1: Punishment-and-obedience orientation – the goodness
or badness of an act depends on its consequences. The child will obey
authorities to avoid punishment but may not consider an act
wrong if it will not be detected and punished.
Stage 2: Naïve hedonism/negative punishment– conforms to rules
in order to gain rewards or satisfy personal objectives.

LEVEL 2: CONVENTIONAL MORALITY

Children’s judgments are based on the norms and expectations
of the group.
Stage 3: “Good boy” or “good girl” orientation – moral behavior is
that which pleases, helps or is approved of by the others.

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 Stage 4: Social-order-maintaining morality/authority – what is right
is what
conforms to the rules of legitimate authority.

LEVEL 3:POSTCONVENTIONAL (OR PRINCIPLED) MORALITY

The individual defines right and wrong in terms of broad principles
of justice that could conflict with written laws or with the dictates of
authority figures. Morally right and legally proper are not always one and
the same.
Stage 5: Morality of contract, individual rights, and democratically
accepted
laws/social contract orientation – the individual is aware that the
purpose of just laws is to express the will of the majority and further
human values.
Stage 6: Morality of individual principles of conscience (highest
moral stage)
– The individual defines right and wrong on the basis of self-chosen
ethical principles of his/her own conscience.
– This is Kohlberg’s vision of ideal moral reasoning but because it is
so very rare and virtually no one functions consistently at this level,
Kohlberg came to view it as a hypothetical construct.

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 C. SOCIAL WORK AND SOCIAL DEVIATION

Deviant – is the person involved in deviance

Deviance – differing from a norm or form accepted standards of society.
Deviant behavior – behavior which does not conform to social
expectation.
Deviant Behavior- behavior that is regarded as wrongdoings that
generate negative reactions in persons who witness or hear about it.
Social Deviance /Deviance – disapproved behavior and traits,
characteristics or conditions that generate a similar condemnatory,
rejection reaction in others.
– is an action that is likely to generate, or has
generated reactions to the actor by or from certain
audiences.
Cognitive Deviance – holding deviant beliefs, this category includes
unacceptable, religious, political and scientific belief.

It is simply easier to define behavior as deviant if you have some

of commonly-agreed standard against which to compare of behavior.
Most theorist have sidestepped the issue by assuming that the agreed
upon norms of society can be found in the CRIMINAL LAW. The theorists’
position is that the criminal law concerns the well being of all and reflects
the conscience of the total society regardless of the diverse interests of
various individual or groups.

Criminal – person whose behaviors are formally forbidden by legislation

and punishable by the state.

Some things/types of person regarded as deviant? Homosexuals,

prostitute/prostituted women, drug addicts, radicals, criminals, liars,
atheists, card players, bearded men, perverts, obesity, etc. Babies born
with deformity were defined as monster and were thought to be
predictors of disastrous epidemics in Early Eras. Babies born with
deformities were killed in ancient time. Plato believed that deformed
and infirm children should be hidden away in a secret place. Today in
modern contemporary times, those possess the stigma of being
physically disabled or handicap requires the attention of social
agencies.

2 Important Ideas to consider in Deviance

● An act can be criminal and deviant
● An act can be deviant but not criminal.

Characteristics of Deviance
● Deviance is Universal, but there are no universal forms or
deviance.

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 ● Deviance is a social definition. It is not a quality of the act; it is
how we define it. It is not the act; it is how we label it.
● Social groups make rules and enforce them, rules are socially
constructed, and social groups utilize social control mechanism to
ensure they are adhered to.
● Deviance is contextual.
Humans are evaluative creatures. We continually make judgments
about the behavior and the characteristics of others and ourselves.
Societies everywhere have rules governing what we may and may not
do, and how we should look.

Social Deviation and Deviant Behavior

➢ Deviations grow out of rules or norms of a society
➢ Deviations vary in the intensity of the reaction to the deviation, as
well as in the direction of approval or disapproval.
➢ Deviant behavior is essentially violation of certain types of group
norms.

MERTON'S 2 TYPE OF DEVIATION

1. Aberrant Behavior - such crimes where individuals violate the norms in
pursuit of their own ends and do not seek to change the norms.
2. Nonconformity - examples include beatniks, hippies, and often
political offenders
"The presence of deviation in a society does not constitute social
disorganization."

Key Defining Elements in Deciding Deviant

● behavior or conditions that harm others
● Something offends God, or is a violation of certain religious principles
that makes it deviant.
● It deviates criminal code.

Five Naïve, Misleading Definitions of Deviance

1.) Absolutist Definition
● Argues that defining a quality or characteristics of deviance can
be found in the very nature of the act or the condition itself.
● It says that deviance is intrinsic to certain phenomenon, it dwells
or resides within them. (i.e an Error in Zimbabwe will also be an error in
Brazil, in Australia and in the moon.
● According to the absolutist definition, what is deviance is
defined not by norms, customs or social rules. Right and wrong exist prior
to and independent of the artificial, socially and humanly created
creatures.

2.) Statistical Definition

● Is that which is rare, unusual, uncommon that which departs
from a statistical norm. Rare, uncommon phenomena are deviant; those

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that are common and frequent are not deviant. (i.e takes 3 showers a
day, owning 3,000 books, possessing 3 doctoral degrees, attending 4
different undergraduate institutions before receiving one.

3.) Social and Individual Harm

● There are however simply too many harmless but deviant actions
(i.e. an instructor on his class takes off all of his clothes does not cause
physical harm.) And too many harmful but not deviant actions (i.e.
warfare has destroyed 100 million lives yet the parties responsible are
rarely condemned or labeled as deviants. In facts, most often, they are
regarded as heroes.

4.) An act’s criminal Status

● Once again, there are many deviants but not criminal actions.
(i.e no one will be arrested for picking one’s nose, being obese is not a
crime, mentally ill or disordered is not a crime.

5.) Positive Deviance

● Deviance is always and by a definition negative in nature. There
is no such thing as positive deviance. We cannot refer to behavior or
conditions that generate
positive reactions as deviance.
● Certain behavior and conditions generate negative reactions
from some people or groups and positive reactions from others; this does
not demonstrate the viability of the concept of positive deviance but
the relativity of deviance.

Two Fruitful definitions of Deviance

1.) The Normative Definition - deviance can take place in secret; an act
or conditions that nobody knows about except the violator. This
definition presumes that this observers capable of seeing any and all
actions, even if they are secret, and making accurate judgment about
their deviant status in a given society. To the normative sociologist,
deviance is a formal violation of the norms.
✓ the normative definition implies relativity. An action or condition
that may be in conformity with the norm in one place or time may
violate it in another.
✓ We know what the norms are, and we can decide in advance
whether they are violated by a given action.
✓ We know even before it happens that the behavior of a man
walking down a street completely naked will qualify as an instance
of deviance. If we know in a certain society that engaging in sexual
activity with a partner of the same sex is regarded as wrong; when
this happens, it is automatically an instance of deviance.
3 Serious Problems of Normative Definition
● The normative definition of deviance underplays exceptions.

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 ● Does not adequately allow contingencies or extenuating
circumstances that alter observer’s judgment as to whether a
given individual or
act will in fact be regarded as deviant.
● The normative definition ignores the distinctions between
violations of norms that generate no special attention or alarm
and ones that cause audiences to punish or condemn the actor.

2.) The Reactive Definitions

● It argues that the key characteristics of deviance may be found in
actual, concrete instances of a negative reaction to behavior. To qualify
as deviance, the action must be observed and generate
condemnation or punishment for the actor or individual.
Someone who engages in some little action in a closet
somewhere, whose behavior is never detected by anyone else, has not
engaged in deviance at all. What counts to the reactivist is the action
not the action.
Reactivist argue that behavior and conditions are not deviant
unless and until they have been condemned. There is no such thing as
deviant in advance or in general. If there is no condemnation, no
deviance has taken place.

Problems with Reactive Definition

● It ignores secret behavior or conditions that would be reacted
to as deviance, were they known to the community.
● Ignores secret behavior and conditions that would be reacted
to as deviant, even when the actor or the possessor knows that it
would be condemned by the
community at large.
● Denies the possibility that there is any predictability in the
reactive process
● Ignores the reality of victimization

Indirect or Symbolic Deviants – they know that they would be labeled as

deviants when their identity or activities discovered.

POSITIVE SCHOOL OF CRIMINOLOGY

POSITIVISM – a philosophical approach, theory, or system based on the
view that in the social as well as in the natural sciences, sense experiences are
all the exclusive source of all worthwhile information. Does not concern itself
with the abstract and unprovable but rather with the tangible and
quantifiable. It involves investigating the world by objective data that can be
counted or measured. In short, if you can’t hear it, feel it, see it, or smell it forget
it.
DETERMINISM - refers to the principle that all events, including human
behavior have sufficient causes. Positivists do not advise punishment as a

59
remedy because deviant behavior is not a matter of choice. Obviously, the
recommended procedure for halting deviant behavior depends upon the
brand of determinism favored. Thus if the cause is located in the body, the
body must be “treated; if it is in social factors, anything from the family,
neighborhood or entire economic system may need renovation.

MAJOR THEORITICAL POSITIONS

(Positivist Approaches to the Explanation of Deviance)
I. Physical Characteristics of Deviance
Of all the positivist approaches to the explanation of deviance, the
investigation of a possible relationship between anatomical attributes and
behavior is not only the oldest but also the most persistent. Today, scarcely year
goes by without some revelations concerns the possible connection between
a biological characteristics and human behavior.
The influence of biology on human behavior is early overestimated and
oversimplified. In 1966, Charles Whitman after killing his mother /wife climbed
with 6 guns to the top of a tower in the University of Texas campus. He shot 46
persons, killing 16. His behavior was puzzling. Whitman requested an autopsy to
determine whether he had a
mental disorder. The autopsy revealed a brain tumor. Some medical experts
doubted the explanatory value of the tumor. But others thought that his
physical condition could somehow account for his behavior.

II.Phrenology – The Beginning of the Scientific Study of Deviant

Phrenology – the determination of the mental facilities and character
traits from the shape of the skull.
Franz Gall – an Austrian anatomist who spent 20 years touring
insane asylums and prisons to measure head shapes. Gall believed that
the brain was the center of the thought, specific brain areas controlled
different behavioral activities and brain areas of greater importance
were greater in size and area.
The notion that there maybe a link between protuberance on the
head and criminal behavior was widely circulated throughout Europe and
USA.

A phrenologist in USA made a theory dividing the brain into 34

areas, 3 of which were related to criminal behavior:
● Philoprogenitiveness (love for offspring)- it was noted that a number of
guilty females committed infanticide had defective philoprogenitiveness area.
● Destructiveness – this area if properly not balanced will lead to murder
● Covetiveness – unless restrained and properly directed will lead to
great
selfishness and even theft.

Up to the end of the 19th century, phrenology provided the basis for a
moderate amount of theory and research on the nature of criminal beings, but
in the final analysis, it makes no contributions to the understanding of deviant

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behavior. One cannot detect the subtle shape of the brain by examining the
exterior of the skull, and no single sections of the brain one completely
responsible for the complex behaviors attributed to them by the phrenologist.

“Concept of Born Criminal “

The notion that biology plays a significant, if not paramount, role in
causing deviant behavior is usually associated with the writings of Cesare
Lombroso (founder of the Positivist School of Criminology).
ATAVISM – criminals were seen as distinct types of humans who would
be distinguished from non-criminals by certain physical traits. These traits did
not cause criminal behavior but, rather, served to identify persons who were
out of step with evolutionary scheme.
Such persons were considered to be closer to apes or to early
primitive humans than were most modern individuals; they were
throwbacks (atavists) to an earlier stage in human development.

FIVE TYPES OF CRIMINALS

1. Insane Criminals – who act from epilepsy, imbecility, paranoia
(delusions of being persecutes) and other forms of mental infirmity.
2. Born Criminals – whose anti-human conduct is the inevitable effect of
an indefinite series of hereditary influences which accumulate in the
course of generations.”
3. Habitual Criminal – who show in an indistinct way, if at all, the marks of
the born criminal and act through moral weakness as influenced by a
corrupt environment.
4. Criminals of Passion – who act under the impulse of uncontrolled
emotion on occasion during otherwise moral lives.
5. Occasional Criminals -- who have not received from nature an active
tendency towards crime but have fallen into it, goaded by the
temptation incident to their personal condition or physical and social
environment

III. Heredity and Mental Deficiencies

Heredity concerns the process of passing characteristics from one
generation to another: Mental deficiencies are specific characteristics that
may or may not be seen by the theorists as inherited.
Theorist believed in this idea that criminality was inherited and also the
mental defectiveness which played an important role in criminal behavior.
Every feeble minded person is a potential criminal. This is necessarily true
since the
feeble-minded lacks one or other of the factors essential to moral life- an
understanding of right and wrong, and the power of control.

EUGENICS – a science concerned with improving the quality of human

offspring through the manipulation of heredity by such means of selection of
parents.

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 - what was scientifically found as a cause could be scientifically
eliminated.
- i. e. Nazi german during the World War I. a textbook on Social problem
reported on a proposal whereby “defective and confirmed criminals would be
placed in air-tight chambers and put to death by poisonous but not
unpleasant gas.

Another suggestion involved less drastic : STERILIZATION or CASTRATION.

The latter was advocated by those who felt that mere sterilization would
not curtail lustful behavior or the spread of venereal disease. Decades ago, 34
states in USA permitted /enacted this law without the consent of the concern.
Even before 1907 secret sterilization had been performed in inmates of state
institution for many years. These laws were applicable to 3 classes of individuals,
“the mentally ill, the mentally deficient an
epileptics.
It was considered before that all persons, who are feebleminded,
insane, epileptic, habitual criminals, incurable syphilis, etc. will likely become a
Menace of the Society.
The fruits of positivism in the USA was able to come up with 70,000
individuals were involuntary sterilized and many more were confined because
their behavior, intellects or backgrounds were judged by state bureaucrats to
be below standards.
In Virginia USA, state hospitals approximately 8, 000 individuals were
sterilized between 1924 and 1972. Everything was very routine men on Tuesday,
women on Thursday.
Those are sobering reminders of how a scientific theory of human
behavior, whether correct or erroneous, proven or unproven, can justify the
degradation of whole classes of people. Such of course is envisioned for the
good of everyone concerned. But however, benevolent program of scientific
treatment or scientific prevention may appear they maybe not only ineffectual
but a threat to human freedom.

SOMATOLOGY - Willian Sheldon

Refers to the science of classifying human physical characteristics by
examining the relationship between body type or physique and particular
patterns of mental and behavioral characteristics or temperaments.
Endomorphic Body Type:
➢ soft body
➢ underdeveloped muscles
➢ round shaped
➢ over-developed digestive system
Associated personality traits:
✓ love of food
✓ tolerant
✓ love of comfort
✓ sociable
✓ good humored

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 ✓ relaxed
✓ need for affection

Mesomorphic Body Type:

➢ hard, muscular body
➢ overly mature appearance
➢ rectangular shaped
➢ thick skin
➢ upright posture
Associated personality traits:
✓ adventurous
✓ desire for power and dominance
✓ courageous
✓ indifference to what others think or want
✓ assertive, bold
✓ zest for physical activity
✓ competitive
✓ love of risk and chance

Ectomorphic Body Type:

➢ thin
➢ flat chest
➢ delicate build
➢ young appearance
➢ tall
➢ lightly muscled
➢ stoop-shouldered
➢ large brain
Associated personality traits:
✓ self-conscious
✓ preference for privacy
✓ introverted
✓ socially anxious
✓ artistic
✓ mentally intense
✓ emotionally restrained

XYY CHROMOSOMES SYNDROME

46 chromosomes arranged in 23 pairs – human cells each parents having
donated
one of each pair.
Every normal cell in a woman’s body contains two X chromosomes, and
each cell
in a male has one X and one Y.

2 FUNDAMENTAL APPROACHES TO THE EXPLANATION OF DEVIANCE

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 1. The cause is within the deviant; the goal was to discover individual
characteristics contributing to becoming involved in deviant behavior.
In short, this first approach concerned explaining the deviant by means
of biological and psychological positivism.
2. The other approach stressed the importance of social factors as a
cause of deviance. The goal was to explain both the existence of
deviant behaviors and its distribution in society. This in short concerns
explaining the varying amounts of deviance between groups by means
of social determinism.

THEORETICAL FOUNDATION ON SOCIAL DEVIANCE

1. RATIONAL CHOICE THEORY/ FREE WILL CAUSATION - Based on the
assumption that criminals/deviants make a rational choice to
commit a crime or deviant behavior.

A. Classical
This theory was patterned from the thought of Beccaria about a
plea for reform of the judicial and penal system of the time, which was
characterized by secret accusations, extensive use of tortures harsh
penalties for trivial offenses. In the 15th century, the death penalty and
serious mutilation were used only in extreme cases to supplement the
complicated and carefully differentiated system of fine, but now, they
become the most common measures. Judges resorted to them
whenever they were convinced that the offender was a danger to
society. The point was, it was no longer the extreme penalty for serious
offenses but a means of putting allegedly dangerous individuals out of
the way. In this kind of procedure, little attention was paid to the guilt or
innocence of a suspect.
According to Beccaria, humans are fundamentally rational and
hedonistic. They possess free will and make deliberate decisions to
behave based upon a calculation of the pain and pleasure involved. To
avoid continual chaos resulting from total individual freedom, humans
eventually enter a contract in which they submit to
a wide authority in exchange for security under laws of a state. Humans
are basically self-serving; however, given the opportunity they will
enhance their own position at the expense of other humans. Thus, the
role of the state is to prevent crime. It is better to prevent crimes than to
punish them. This is the ultimate end of every good legislation , which to
use the general terms for assessing the good and evils of life. To this end,
Beccaria argued that the law should be clear and simple and directed
against
only those behaviors clearly endangering society and individuals in it.
Because of their rationality, all human where seen as equal before the
law. He accepted literally the notion that punishment should fit the crime.

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 B. Neo Classical
Recognized as a practical matter that not all persons are equally
rational, particularly the young, the mentally disturbed, and those
confronted with other unusual circumstances. Despite their considerable
influence on Western Legal System, the classical and neo classical
schools failed to produce a variable theory of deviance. Their pre-
occupation with the rationality of humans resulted in overlooking how
society can adversely affect behavior.

2. FUNCTIONALISM
Sociologists who follow the functionalist approach are concerned
with the way the different elements of a society contribute to the whole.
They view deviance as a key component of a functioning society. Strain
theory and social disorganization theory represent two functionalist
perspectives on deviance in society.

A. Émile Durkheim: The Essential Nature of Deviance

Émile Durkheim believed that deviance is a necessary part of a
successful society. One way deviance is functional, he argued, is that it
challenges people’s present views (1893). For instance, when Black
students across the United States participated in sit-ins during the civil
rights movement, they challenged society’s notions of segregation.
Moreover, Durkheim noted, when deviance is punished, it reaffirms
currently held social norms, which also contributes to society (1893).
Seeing a student given detention for skipping class reminds other high
schoolers that playing hooky isn’t allowed and that they, too, could get
detention.
Durkheim’s point regarding the impact of punishing deviance
speaks to his arguments about law. Durkheim saw laws as an expression
of the “collective conscience,” which are the beliefs, morals, and
attitudes of a society. “A crime is a crime because we condemn it,” he
said (1893). He discussed the impact of societal size and complexity as
contributors to the collective conscience and the development of justice
systems and punishments.

B. Robert Merton: Strain Theory

Sociologist Robert Merton agreed that deviance is an inherent
part of a functioning society, but he expanded on Durkheim’s ideas by
developing strain theory, which notes that access to socially
acceptable goals plays a part in determining whether a person
conforms or deviates.
Cultural Goals - the aspirations and aims that define success in
society
Institutionalized Means - socially accepted method or approved
ways of reaching cultural goals

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 Merton defined five ways people respond to this gap between
having a socially accepted goal and having no socially accepted way
to pursue it .
1) Conformity: Those who conform choose not to deviate. They pursue
their goals to the extent that they can through socially accepted
means.
2) Innovation: Those who innovate pursue goals they cannot reach
through legitimate means by instead using criminal or deviant
means.
3) Ritualism: People who ritualize lower their goals until they can reach
them through socially acceptable ways. These members of society
focus on conformity rather than attaining a distant dream.
4) Retreatism: Others retreat and reject society’s goals and means.
Some people who beg and people who are homeless have
withdrawn from society’s goal of financial success.
5) Rebellion: A handful of people rebel and replace a society’s goals
and means with their own. Terrorists or freedom fighters look to
overthrow a society’s goals through socially unacceptable means.

C. ANOMIE
Simply defined, a state where norms (expectations on behavior)
are confused, unclear or not present - normlessness.
A breakdown in the cultural structure, occurring particularly
when there is an acute disjunction between cultural norms and goals
and the societies structural capacities of members of the groups to act
in accord with them.
The premium placed on financial success in the absence of
opportunities creates a disjunction between the goal and the
capacities or means of individuals to attain it.
Accordingly, societies evolved from a simple, non-specialized
form called mechanical towards a highly complex specialized form
called organic.
In the former society, people behave and think alike and more
or less perform the same work tasks and have the same group oriented
goals. When societies become more complex or organic, work also
becomes complex. In the society, people are no longer tied to one
another and social bonds are impersonal. - Changing of condition as
well as adjustment of life leads to dissatisfaction, conflict and 10
deviance. He observed that social periods of disruptions (economic
depression for example) brought greater anomie and high rates of
crime, suicide and deviance.

I. Durkheim’s Anomie
Emile Durkheim, a French sociologist wrote his major works
during a time when the study of deviant behavior was dominated

66
 by those who viewed deviants as the products of defective
biology.
He argued that a society without deviance is impossible.
Thus it is impossible to have a collection of human so inflexible in
their behavior that none will diverge to some degree from the
ideal. He further claims that deviance is not only inevitable but
also necessary for the health and progress of society. Without
deviance society would be static. The inevitability and desirability
of deviance led him to conduct that deviance is “normal” in
society. This did not mean that he necessarily regarded the
individual deviant as normal. From the standpoint of society,
deviance is an expression of individual freedom and one of the
prices to be paid for social change.
Durkheim first used the concept of anomie in division of
labor in society. Here it played a minor role; it’s purpose was to
signify a lack of integration and adjustment that threatens the
cohesiveness of contemporary society, which unlike hunting and
agricultural society are characterized by a complex variety of
occupation and interest.
Durkhein felt that sudden change caused a state of
anomie. The system breaks down, either during a great prosperity
or great depression, anomie is the same result.
Anomic suicide – was one of the 4 types and was
considered to stem from a state of ‘normlessness” or
“deregulation” in society. Such suicide occurs because society
allows its members to have unlimited aspirations, and there is no
discipline imposed on notions of what may be realistically
achieved. These suicides arise particularly during periods of
sudden economic prosperity.
Thus Durkheim was convinced that humans are susceptible
to limitless ambition. Unless society imposes regulations upon
aspirations, unless there is some check upon the passions aroused
by perceived undiminishing prosperity, personal crises will develop
and result to suicide.

3. CONFLICT THEORY
Conflict theory looks to social and economic factors as the causes
of crime and deviance. Unlike functionalists, conflict theorists don’t see
these factors as positive functions of society. They see them as evidence
of inequality in the system. They also challenge social disorganization
theory and control theory and argue that both ignore racial and
socioeconomic issues and oversimplify social trends (Akers 1991).
Conflict theorists also look for answers to the correlation of gender and
race with wealth and crime.

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 A. Karl Marx: An Unequal System
Conflict theory was greatly influenced by the work of German
philosopher, economist, and social scientist Karl Marx. Marx believed
that the general population was divided into two groups. He labeled the
wealthy, who controlled the means of production and business, the
bourgeois. He labeled the workers who depended on the bourgeois for
employment and survival the proletariat. Marx believed that the
bourgeois centralized their power and influence through government,
laws, and other authority agencies in order to maintain and expand their
positions of power in society.
Theories of Justice
1.) Utilitarian
2.) Egalitarian
3.) Libertarian
4.) Communitarian

CLASS
a group of people who share the same social status. Status may
be due to education, family, occupation, gender, income, ethnicity,
religion

CLASS STRUCTURE
social hierarchy of classes in a society from high to low
stratification of inequality status based on perceived power in society
ex: economic, physical, familial, political, or religious power
“poverty” class - the group of people with the least economic
status or power

B. Feminist Theory
An outgrowth of the general movement to empower women
worldwide. Feminism can be defined as a recognition and critique of
male supremacy combined with efforts to change it.
The goals of feminism are:
➢ To demonstrate the importance of women
➢ To reveal that historically women have been subordinate to
men
➢ To bring about gender equity.
Simply put:
Feminists fight for the equality of women and argue that women
should share equally in society’s opportunities and scare resources.
Several Varieties of Feminism:
[1] Liberal Feminism believes that the equality of women
can be achieved within our existing society by passing laws and
reforming social, economic, and political institutions.
[2] Socialist Feminism blames capitalism for women’s
inequality and says that true gender equality can result only if

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 fundamental changes in social institutions, and even a socialist
revolution, are achieved.
[3] Radical Feminism says that patriarchy (male
domination) lies at the root of women’s oppression and that
women are oppressed even in noncapitalist societies.
[4] Multicultural Feminism emphasizes that women of color
are oppressed not only oppressed because of their gender but
also because of their race and class.

C. C. Wright Mills: The Power Elite

In his book The Power Elite (1956), sociologist C. Wright Mills
described the existence of what he dubbed the power elite, a small
group of wealthy and influential people at the top of society who hold
the power and resources. Wealthy executives, politicians, celebrities,
and military leaders often have access to national and international
power, and in some cases, their decisions affect everyone in society.
Because of this, the rules of society are stacked in favor of a privileged
few who manipulate them to stay on top. It is these people who decide
what is criminal and what is not, and the effects are often felt most by
those who have little power.

D. Crime and Social Class

While crime is often associated with the underprivileged, crimes
committed by the wealthy and powerful remain an under-punished
and costly problem within society.

4. SYMBOLIC INTERACTIONISM
Symbolic interactionism is a theoretical approach that can be
used to explain how societies and/or social groups come to view
behaviors as deviant or conventional.

A. Labeling Theory
Although all of us violate norms from time to time, few people
would consider themselves deviant. Those who do, however, have often
been labeled “deviant” by society and have gradually come to believe
it themselves. Labeling theory examines the ascribing of a deviant
behavior to another person by members of society. Thus, what is
considered deviant is determined not so much by the behaviors
themselves or the people who commit them, but by the reactions of
others to these behaviors. As a result, what is considered deviant
changes over time and can vary significantly across cultures.
Sociologist Edwin Lemert expanded on the concepts of labeling
theory and identified two types of deviance that affect identity
formation.
⚫ Primary deviance is a violation of norms that does not result in
any long-term effects on the individual’s self-image or
interactions with others. Speeding is a deviant act, but receiving

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 a speeding ticket generally does not make others view you as a
bad person, nor does it alter your own self-concept. Individuals
who engage in primary deviance still maintain a feeling of
belonging in society and are likely to continue to conform to
norms in the future. Sometimes, in more extreme cases, primary
deviance can morph into secondary deviance.
⚫ Secondary deviance occurs when a person’s self-concept and
behavior begin to change after his or her actions are labeled as
deviant by members of society. The person may begin to take
on and fulfill the role of a “deviant” as an act of rebellion against
the society that has labeled that individual as such. For
example, consider a high school student who often cuts class
and gets into fights. The student is reprimanded frequently by
teachers and school staff, and soon enough, develops a
reputation as a “troublemaker.” As a result, the student starts
acting out even more and breaking more rules; the student has
adopted the “troublemaker” label and embraced this deviant
identity. Secondary deviance can be so strong that it bestows
a master status on an individual. A master status is a label that
describes the chief characteristic of an individual. Some people
see themselves primarily as doctors, artists, or grandfathers.
Others see themselves as beggars, convicts, or addicts.

B. Techniques of Neutralization
How do people deal with the labels they are given? This was the
subject of a study done by Sykes and Matza (1957). They studied
teenage boys who had been labeled as juvenile delinquents to see
how they either embraced or denied these labels. Have you ever used
any of these techniques? Let’s take a scenario and apply all five
techniques to explain how they are used. A young person is working for
a retail store as a cashier. Their cash drawer has been coming up short
for a few days. When the boss confronts the employee, they are
labeled as a thief for the suspicion of stealing. How does the employee
deal with this label?
➢ The Denial of Responsibility: When someone doesn’t take
responsibility for their actions or blames others. They may use this
technique and say that it was their boss’s fault because they don’t
get paid enough to make rent or because they’re getting a
divorce. They are rejecting the label by denying responsibility for the
action.
➢ The Denial of Injury: Sometimes people will look at a situation in
terms of what effect it has on others. If the employee uses this
technique they may say, “What’s the big deal? Nobody got hurt.
Your insurance will take care of it.” The person doesn’t see their
actions as a big deal because nobody “got hurt.”
➢ The Denial of the Victim: If there is no victim there’s no crime. In this
technique the person sees their actions as justified or that the victim

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 deserved it. Our employee may look at their situation and say, “I’ve
worked here for years without a raise. I was owed that money and
if you won’t give it to me I’ll get it my own way.”
➢ The Condemnation of the Condemners: The employee might “turn
it around on” the boss by blaming them. They may say something
like, “You don’t know my life, you have no reason to judge me.” This
is taking the focus off of their actions and putting the onus on the
accuser to, essentially, prove the person is living up to the label,
which also shifts the narrative away from the deviant behavior.
➢ Appeal to a Higher Authority: The final technique that may be used
is to claim that the actions were for a higher purpose. The employee
may tell the boss that they stole the money because their mom is
sick and needs medicine or something like that. They are justifying
their actions by making it seem as though the purpose for the
behavior is a greater “good” than the action is “bad.” (Sykes &
Matza, 1957)

C. Edwin Sutherland: Differential Association

In the early 1900s, sociologist Edwin Sutherland sought to
understand how deviant behavior developed among people. Since
criminology was a young field, he drew on other aspects of sociology
including social interactions and group learning (Laub 2006). His
conclusions established differential association theory, which
suggested that individuals learn deviant behavior from those close to
them who provide models of and opportunities for deviance.
According to Sutherland, deviance is less a personal choice and
more a result of differential socialization processes. For example, a
young person whose friends are sexually active is more likely to view
sexual activity as acceptable. Sutherland developed a series of
propositions to explain how deviance is learned. In proposition five, for
example, he discussed how people begin to accept and participate in
a behavior after learning whether it is viewed as “favorable” by those
around them. In proposition six, Sutherland expressed the ways that
exposure to more “definitions” favoring the deviant behavior than
those opposing it may eventually lead a person to partake in deviance
(Sutherland 1960), applying almost a quantitative element to the
learning of certain behaviors. In the example above, a young person
may find sexual activity more acceptable once a certain number of
their friends become sexually active, not after only one does so.
Sutherland’s theory may explain why crime is multigenerational.
A longitudinal study beginning in the 1960s found that the best
predictor of antisocial and criminal behavior in children was whether
their parents had been convicted of a crime (Todd and Jury 1996).
Children who were younger than ten years old when their parents were
convicted were more likely than other children to engage in spousal
abuse and criminal behavior by their early thirties. Even when taking
socioeconomic factors such as dangerous neighborhoods, poor school

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 systems, and overcrowded housing into consideration, researchers
found that parents were the main influence on the behavior of their
offspring (Todd and Jury 1996).

D. Travis Hirschi: Control Theory

Continuing with an examination of large social factors, control
theory states that social control is directly affected by the strength of
social bonds and that deviance results from a feeling of disconnection
from society. Individuals who believe they are a part of society are less
likely to commit crimes against it.
Travis Hirschi (1969) identified four types of social bonds that
connect people to society:
➢ Attachment measures our connections to others. When we are
closely attached to people, we worry about their opinions of us.
People conform to society’s norms in order to gain approval (and
prevent disapproval) from family, friends, and romantic partners.
➢ Commitment refers to the investments we make in the community.
A well-respected local businessperson who volunteers at their
synagogue and is a member of the neighborhood block
organization has more to lose from committing a crime than a
person who doesn’t have a career or ties to the community.
➢ Similarly, levels of involvement, or participation in socially legitimate
activities, lessen a person’s likelihood of deviance. A child who plays
little league baseball and takes art classes has fewer opportunities
to ____.
➢ The final bond, belief, is an agreement on common values in
society. If a person views social values as beliefs, they will conform
to them. An environmentalist is more likely to pick up trash in a park,
because a clean environment is a social value to them (Hirschi
1969).

DIFFERENT TYPES OF EMOTIONAL/BEHAVIORAL DISORDERS

THE THREE PERSONALITY DISORDER CLUSTERS
1. Cluster A - WEIRD - the odd and eccentric cluster
➢ Paranoid Personality Disorder - are suspicious of others. This
suspicion influences relationships with family, colleagues, and
casual acquaintances. They expect to be mistreated or
exploited and thus are secretive and continually on the lookout
for signs of trickery and abuse. They are often hostile and react
angrily to perceived insults. They might read hidden threatening
messages into events.
➢ Schizoid Persoality Disorder - do not desire or enjoy social
relationships and usually have no close friends. They appear dull,
bland, and aloof and have no warm, tender feelings for other
people. They rarely experience strong emotions, are not
interested in sex, and have few pleasurable activities. Indifferent

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 to praise, criticism, and the sentiments of others, people with this
disorder are loners who pursue solitary interests
➢ Schizotypal Personality Disorder - unusual and eccentric
thoughts and behavior (psychoticism), interpersonal
detachment, and suspiciousness. People with this disorder might
have odd beliefs or magical thinking—for instance, the belief
that they can read other people’s minds and see into the future.
It is also common for them to have ideas of reference (the belief
that events have a particular and unusual meaning for them
personally) and to show suspiciousness and paranoid ideation.
They might also have recurrent illusions (inaccurate sensory
perceptions), such as sensing the presence of a force or a
person that is not actually there. In their speech, they might use
words in an unusual and unclear fashion. Their behavior and
appearance might also be eccentric—for example, they might
talk to themselves or wear dirty and disheveled clothing. Their
affect appears constricted and flat, and they tend to be aloof
from others.

2. Cluster B - WILD - the dramatic and unpredictable cluster

➢ Antisocial Personality Disorder - involves a pervasive pattern of
disregard for the rights of others. The person with APD is
distinguished by aggressive, impulsive, and callous traits. DSM-5
criteria specify the presence of conduct disorder; people with
APD often report a history of such symptoms as truancy, running
away from home, frequent lying, theft, arson, and deliberate
destruction of property by early adolescence. People with APD
show irresponsible behavior such as working inconsistently,
breaking laws, being irritable and physically aggressive,
defaulting on debts, being reckless and impulsive, and
neglecting to plan ahead. They show little regard for truth and
little remorse for their misdeeds.
➢ Borderline Personality Disorder - are impulsivity and instability in
relationships and mood. For example, attitudes and feelings
toward other people might change drastically, inexplicably,
and very quickly, particularly from passionate idealization to
contemptuous anger. In an experience sampling study, BPD
was characterized by more abrupt, large, and unexpected
changes in negative moods than was major depressive disorder
(Trull, Solhan, Tragesser, et al., 2008). Frantic efforts to avoid
abandonment. Unstable interpersonal relationships in which
others are either idealized or devalued. Unstable sense of self.
➢ Histronic Personality Disorder - overly dramatic and
attentionseeking behavior. People with this disorder often use
their physical appearance, such as unusual clothes, makeup, or
hair color, to draw attention to themselves. Despite displaying

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 extravagant and intense emotions, they are thought to be
emotionally shallow.
➢ Narcissistic Personality Disorder - grandiose view of their abilities
and are preoccupied with fantasies of great success.They are
more than a little self-centered—they require almost constant
attention and excessive admiration. Their interpersonal
relationships are disturbed by their lack of empathy, by their
arrogance coupled with feelings of envy, by their habit of taking
advantage of others, and by their feelings of entitlement—they
expect others to do special favors for them. People with this
disorder are extremely sensitive to criticism and might become
enraged when others do not admire them. They tend to seek
out high-status partners whom they idealize, but when,
inevitably, these partners fall short of their unrealistic
expectations, they become angry and rejecting (like those with
borderline personality disorder). They are also likely to change
partners if given an opportunity to be with a person of higher
status. This disorder most often co-occurs with borderline
personality disorder (Morey, 1988).

3. Cluster C - WORRIED - the anxious and fearful cluster

➢ Avoidant Personality Disorder - so fearful of criticism, rejection,
and disapproval that they will avoid jobs or relationships to
protect themselves from negative feedback. In social situations
they are restrained because of an extreme fear of saying
something foolish, being embarrassed, blushing, or showing
other signs of anxiety. They believe they are incompetent and
inferior to others and are reluctant to take risks or try new
activities.
➢ Dependent Personality Disorder - an overreliance on others and
a lack of self-confidence. People with dependent personality
disorder have an intense need to be taken care of, which often
leads them to feel uncomfortable when alone. They
subordinate their own needs to ensure that they do not break
up the protective relationships they have established. When a
close relationship ends, they urgently seek another relationship
to replace it. They see themselves as weak, and they turn to
others for support and decision-making.
➢ Obsessive-Compulsive Personality Disorder - perfectionist,
preoccupied with details, rules, and schedules. People with this
disorder often pay so much attention to detail that they fail to
finish projects. They are more oriented toward work than
pleasure. They have inordinate difficulty making decisions (lest
they err) and allocating time (lest they focus on the wrong
thing). Their interpersonal relationships are often troubled
because they demand that everything be done the right way—
their way. They often become known as “control freaks.”

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 Generally, they are serious, rigid, formal, and inflexible,
especially regarding moral issues. They are unable to discard
worn-out and useless objects, even those with no sentimental
value, and they are likely to be excessively frugal to a level that
causes concern among those around them.

1.1. Discuss the implications of social deviation to social work practice

ROLES AND SKILLS OF SOCIAL WORK

SKILLS
The social worker’s capacity to set in motion with a client interventive
processes of change based on social work values and knowledge in situation
relevant to the client
A social worker’s artistic creation results from three internal processes
conscious selection of knowledge pertinent to the professional task at hand
fusion of this knowledge with social work values expression of this synthesis in
professional relevant activity
a. Differential diagnosis – refers to the worker’s ability to understand the
uniqueness of the person in his situation and to adapt his techniques to
him (no two persons are completely alike in their identities, even twins)
b. Timing – the worker’s own tempo or pace (whether too fast or too slow
for person or people he is working with). The worker’s ability to take
action at some pertinent point in time when it would be most
effective (correct timing)
c. Focusing – the ability of the worker to concentrate both his and the
client’s efforts on the significant aspects of the situation that require
work and retaining that focus until some conclusions or progress
has been reached. This also means not losing sight of the client and his
presenting problem in the midst of the overall problems being
encountered by his family.
d. Partialization – the worker’s ability to assess the totality of the problem,
breaking it down into manageable parts, and helping the client
think about it and decide where to start.
e. Structuring – the worker’s ability to determine the setting and
boundaries that will be most conducive to the work to be done includes:
i. physical setting - where, how often, under what circumstances,
with whom a worker will meet whether with the
individual alone or family, at what time, for how long
ii. delineation of rules – spoken and unspoken that will govern
these contacts and agreements as to what resources and
service will be involved, time frame is an indicator of the
progress of the case. This is better accomplished when
there is desire and will on the part of the client to use help and he
is certain that there are resources which he can use,
and he knows the reason for every contact or referral

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 f. Case management – the manner and timing in the delivery of social
service

Skills in Establishing Partnership:

a. Engagement – period during which the worker begins to relate himself
to the task at hand. This can be achieved only in terms of the
concern of the people involved: 1.) worker must be sensitive to the
client’s need or problem and communicates that concern clearly to the
client and 2.) client is able to express his expectations of the worker and
the agency he represents
b. Empathy – understanding so intimate that the feelings, thoughts, and
motives of one are readily comprehended by another. In social work, it refers
to worker’s ability to put himself in the shoes of the client, so that he can
understand what the latter is thinking of and feeling about his problem or
situation
Components of empathy:
I. ability to distinguish among and label the thoughts and feelings
of another
II. ability to take mentally the role of another; ability to become
emotionally responsive to another’s feelings
c. Communication – is the sharing or exchange of thoughts between
two or more persons. In social work, it is the process by which an idea is
transferred from its source to a receiver with the intent to change the
latter’s behavior, or between worker and client– may be verbal, nonverbal –
(appearance, physique, posture, body odor, dress, tension, facial
expression, behavior, silence or speech tone or voice, gestures or
movements, eye contact, touch, body sounds), setting (use of simple
rooms, desks or tables, some chairs).
d. Observation – is noticing or paying attention to what is being verbally
said or nonverbally communicated.

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SOCIAL ENVIRONMENT AND SOCIAL WORK: THE FAMILY, GROUP, COMMUNITY,
AND ORGANIZATION

I. THE SOCIAL ENVIRONMENT AS THE CONTEXT OF SOCIAL WORK PRACTICE

Social Environment

➢ A network of overlapping social systems and social situations including

Ecological systems, cultures and institutions. (Mendoza, 2008)
Social Functioning

➢ Is what results from the interaction between two forces -- the

individual's coping capacities and the demands of the
situation/environment. (Mendoza, 2008)
➢ fulfilling one’s roles in society in general to those in the immediate
environment and to oneself. These functions include meeting one’s
own basic needs and those of one’s dependents and making positive
contributions to society.
➢ Human needs include physical aspect (food, safety, shelter, health
care and protection), personal fulfillment (education, recreation,
values, esthetics, religion and accomplishment), emotional needs (a
sense of belonging, mutual caring and companionship), and an
adequate self-concept (self-concept, self-confidence and identity).
➢ Social workers consider one of their major roles to be that of helping
individuals, groups or communities enhance or restore their capacity
for social functioning. (Barker, Robert L., The Social Work Dictionary, 3rd
edition, 1995)
➢ a result of the various social roles an individual has e.g., father,
husband, chairman, citizen (Mendoza, 2008)
Social Role

➢ A socially recognized pattern of behaviors and activities expected

from an individual occupying a certain position in society e.g., child,
parent, employee, patient, etc. (Mendoza, 2008)

Person-in-Environment (PIE)

➢ explains how a person's environment plays a part in how they live and
behave. Things like their home life, religion, socioeconomic status, and
other factors can play a part (Rollo & Gonzales, 2023).
➢ is the idea that a person's environment has an impact on the way that
they live and the decisions that they make. It attempts to understand a

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 person and their behavior through their environment (Rollo & Gonzales,
2023)
➢ is the key concept and philosophy in the field of social work that states
that a person's behavior can largely be understood by looking at their
environment, including their past environment.
➢ is a practice-guiding principle that highlights the importance of
understanding an individual and individual behavior in light of the
environmental contexts in which that person lives and acts (Kondrat,
2013)
➢ a central and guiding framework for social work practice. It is based on
the belief that an individual can only be understood in the context of
their environment (e.g. physical, familial, spiritual, social, political,
societal, etc. (Mohinuddin, 2021)
➢ is a holistic approach to social work practice that recognizes the
importance of both individual and environmental factors in
understanding a person's well-being and behavior (Social Work Test
Prep, 2022)
➢ The Person-in-Environment Theory emphasizes holistic assessment. This
approach is important for several reasons:
1. PIE pushes you to look beyond the immediate issues presented by
clients. It requires an assessment that encompasses multiple facets
of a person’s life, including their social networks, community
resources, and broader societal factors.
2. By considering both individual and environmental factors, Social
Workers can identify underlying issues that may not be immediately
apparent. This can lead to more effective interventions and support.
3. Understanding the full scope of a client’s life situation can empower
them to make informed decisions and participate actively in their
care plan.
(Mitchell, 2024)
➢ This places the person at the center surrounded by the various
environments which s/he is a part of primary groups (those that are
currently most important to him/her and have the greatest influence
over his/her life such as family, friends, work groups, etc.); secondary
groups (those that have specialized claims on certain parts of his/her
interests and labours such as the workplace, school system, etc.); socio-
cultural contexts (ethnic heritage and the social order in which s/he
lives); physical environment and historical age (actual setting and time
wherein s/he functions).

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Person in the Environment Configuration

➢ Skidmore (1991) illustrates social functioning as a triangle with the

following sides:
• satisfaction with roles in life
• positive relationships with others
• feelings of self-worth
➢ PIE is a multifactorial delineation of the problems of social functioning
experienced by clients of social workers. By definition, a multifactorial
description requires that every client be described on each of several
dimensions Called "factors·. Each factor refers to a different class of
information.
➢ In order for the system to have maximum usefulness, there must be a
limited number of factors:
Factor 1 - Social Role Problem(s) - social roles, relationship types severity,
duration, coping

Factor 2 - Environmental Problem(s) - social environment institutions and

resources severity, duration

Factor 3 - Mental Disorder(s) - mental health, DSM-IV information

Factor 4 - Physical Disorder(s) - physical health, ICD-10 information

(Karls & Wandrei, n.d.)

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 II. THEORIES AND PERSPECTIVES IN UNDERSTANDING THE SOCIAL
ENVIRONMENT

ECOLOGICAL SYSTEMS THEORY

➢ Proposed by Urie Bronfenbrenner

➢ It is a study of the relationship between personand environment. It
provides detailed analysis of ongoing environmental influences over
thelifespan.The developing person is viewed as “being the center of an
embedded in several environmentalsystems that interact with one

another."

Theoretical Concepts:

1. Physical Environment - includes the natural world (that is nature) as well

as the built world (that is, construction of the environment by society).
2. Social Environment - includes human communication and relations
within society. Both the physical and social environments are
influenced by the culture, values, and norms within the society.
3. Person-in-environment fit - is the actual fit between an individual's or
collective group's needs, rights, goals, capacities, and the qualities and
operations of their physical and social environments within particular
cultural and historical contexts.

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4. Interface - is the exact point at which the interaction between an
individual and the environment takes place.
5. Adaptations - are continuou, change oriented cognitive, sensory-
perceptual and behavioral processes people use to sustain or raise the
level of fit between themselves and their environment.
6. Coping - a form of adaptation that implies a struggle to overcome
problems. It refers to the way people deal with the negative
experiences they encounter
7. Interdependence - the mutual reliance of each person upon every
other person.
8. Life stressors - are generated by critical life issues that people perceive
as exceeding their personal and environmental resources for
managing them.
9. Stress - is the internal response for a life stressor and is characterized by
troubled, emotional psychological states or both.
10. Coping measures - are special behaviors often novel, that are devised
to handle demands posed by the life stressor.
11. Relatedness - refers to attachments, friendships, positive kin
relationships and a sense of belonging to a supportive social network.
12. Self-esteem - represents the extent to which one feels competent,
respected, and worthy.
13. Self-direction - teh capacity to take some degree of control over one's
life and to accept responsibility for one's decisions and actions while
simultaneously respecting the rights and needs of others.
14. Habitat - includes dwelling places; physical ayouts of rural and urban
communities.
15. Niche - the status occupied by an individual or family in the social
structure of a community.
16. Reciprocal Transaction - cicrular interactions that systems have to
make changes neeted to protect itself and grow to accomplish its
goals.
➢ There are 5 environmental systems:
1. Microsystem - the setting where an individual lives. It is the person’s
immediate relationships and activities. For example, a child’s
parents, siblings, classmates, teachers, and neighbors would be part
of their microsystem.
2. Mesosytem - the set of interactions and relationships among all the
elements of microsystem which affects the person. For example,
open communication between a child’s parents and teachers
provides consistency across both environments.

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 3. Exosystem - Includes all the social settings that affect the individual,
even though he/she is not a direct member of this system. It
incorporates other formal and informal social structures. While not
directly interacting with the child, the exosystem still influences the
microsystems.
For instance, a parent’s stressful job and work schedule affects their
availability, resources, and mood at home with their child. Local school
board decisions about funding and programs impact the quality of
education the child receives. Even broader influences like government
policies, mass media, and community resources shape the child’s
microsystems.
4. Macrosystem - the larger society, which includes the
attitudes/ideologies of the culture in which the individual lives.For
example, boys raised in patriarchal cultures might be socialized to
assume domineering masculine roles.
5. Chronosystem - the patterning of environmental events and
transitions over the life course. It includes effects created by time or
critical period in development and sociohistorical events. Like how
growing up during a recession may limit family resources or growing
up during war versus peacetime also fall in this system.
➢ The bioecological focus on evolving person-environment interactions
built upon the foundation of his ecological systems theory while
bringing developmental processes to the forefront.

Theory Similarities Differences

General Systems Both perspectives While general

Theory emphasized holistic system theory is
understanding of a more broad, which
Ecological Systems system is applicable to any
Theory scientific disciplines
Both perspectives that emphasize the
encourage an principle of systems.
interdisciplinary
approach to
understand the
complex system

Both perspectives
believe the
interrelated ness of
every system and
their influence on
each other

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 Both perspectives
recognized that
systems can adapt
to the changing
environment
conditions and
evolve overtime.

GENERAL SYSTEMS THEORY

➢ Ludwig Von Bertalanffy - father of general systems theory

➢ A way of conceptualizing problems and forming action or treatment
plans; it is based on the concept of wholeness i.e., the objectives or
elements within a system produce an entity that is greater than the
additive sum of its parts. (De Guzman, 1988. Dictionary of Social Work
p. 77)
➢ A system is usually defined as a whole, a unit, composed of people
and their interactions, including their relationships. Each person in the
system is related to at least some others in the system in a more or less
stable way within a particular time and space.
➢ Although a system should be viewed as a constantly changing whole,
that is, always in process of movement towards its goals, its parts are
assumed to interact in a more or less table structure at any particular
point in time.
➢ Views the client, the worker and the agency as social systems that
comprise a social system framework.
Assumptions:

1. Human behavior is seen from a multiplicity of factors, internal and

external, operating in a transaction. A systems approach is an orienting
framework rather than a specific theory of human behavior.
2. Human systems: A system is a dynamic order of parts and processes
standing in mutual interaction. There are many kinds of system,
animate and inanimate, but social service workers are interested in
those systems that are composed of interacting human beings.
3. Individuals as a system: Individuals are composed of dynamic parts
and processes, each making up a subsystem or domain. Within the
individual, the biophysical and psychological are the principal
domains. In the psychological domain are the cognitive, affective and
behavioral subsystems.

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 4. Social systems and the social environment: People live out their lives
within the context of social systems and norms and institutions which
are generated through social interactions within these systems. The
ever-changing social environment serves both as a source of stress and
source of supports
5. Roles: Individuals are connected to social systems through the roles
they occupy in them.

This has implications for SW practice and practice principles:

a. For problem and need identification

✓ identify of the system to be addressed
✓ identify the condition in that system to be understood
b. For problem analysis (premise: the state or condition of a system at any
point in time is a function of the interaction between it and the
environment in which it operates)
✓ identify the factors about the system itself that contribute to the
condition
✓ identify the factors in the social context of the system that
contributes to the condition
c. For resource identification
✓ identify the resources that exist within the system itself
✓ identify the resources that exist within the environment of the system

General Concepts of the Systems Theory:

o System is a set of elements that are orderly and interrelated to make a

functional whole.
o Subsystem is one part or element of a larger system, byt the system can
act as a smaller system on its own.
o Closed systems do not interact with any other systems; they neither
accept input from them nor convey output to them and are
unaffected and influenced by the environment.
o Open systems interact with their environment and are affected and
influenced by these interactions
o Holon is an idea that each entity is simultaneously part of a whole
o Boundaries in systems perspective is defined as a closed circle around
selected variables where there is less interchange of energy or
communication across the circle than there is within the circle

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 o Relationship is a reciprocal, dynamic, interpersonal connection
characterized by patterns of emotional exchange, communication
and behavioral interaction
o Homeostasis is when a system is maintaining a constant state of
equilibrium or balance where the system is responding to change.
o Equilibrium is when a system is responding to the environment and is
maintaining itself in some sort of a balance.
o Disequilibrium is when the system is off balance and the responses to
and from the environment are prohibiting positive growth and change.
o Entropy is a quality of closed systems wherein closed systems over time
tend toward less differentiation of their elements. Thus they lose
organization and effective function.
o Holon which means that each level in a system faces both ways
towards the smaller systems of which it is composed and towards the
larger system of which it is part.
o Steady state refers to how a system maintains itself by receiving input
and using it.
o Differentiation refers to the idea that systems become more complex
with more different kinds of components over time.
o Non-summativity means that the whole is more than the sum of its
parts.
o Equifinality simply put is “different beginnings, one ending”.
o Reciprocity implies that if one part of the system changes, the change
interacts with all other parts which also change. As a result of
reciprocity exhibit both equifinality (you can reach the same result in
several different ways) and multi-finality (similar circumstances can
lead to different results because parts of the system interact in different
ways.
o Input refers to energy being fed into the system across the boundary.
o Output would mean the effects on the environment of energy passed
through the boundary of a system.
o Throughput is how the system processes or uses the input.
o Feedback is a special form of input in which a system receives
information about its own performance
o Positive feedback involves a system of receiving information about
what is going correctly in order to maintain itself and thrive
o Feedback loops mean the information and energy passed to the
system caused by its outputs affecting the environment which tell it the
results of its outputs
Other Important Concepts in Social Work using Systems Theory:

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➢ Pincus and Minahan outlined six systems that social workers interact
with in their practice:
1) Change agent system: agency or institution that employs social
workers
2) Client system: an individual, group or community which asked help
from the social worker, or have entered into helping contract with
the social worker, or are expected to benefit from the intervention
3) Target system: people that the social workers need to change or
influence in order to accomplish the helping goals (may include the
client system)
4) Action system: those which the social worker interacts in a
cooperative way in order to bring about change helpful to the
client,
5) Professional system: professional association of social workers,
education system by which workers are prepared, and the values
and sanctions of professional practice
6) Problem identification system: the system that acts to bring a
potential client to the attentions of the social worker

❖ Levels of Social Systems:

➢ Micro level: Individual experiences in the family, school, at work,
during leisure time, and it is to a large extent specific to the
individual. The micro environment is very important in the
development of the individual in that it determines the type of
situations an individual encounters.
➢ Mezzo level: It is that part of the total environment that, in some way
or another, influences and determines the character and
functioning of the micro environment. It included relationships
between major groups, organizations and institutions that the
individual’s daily life touches.
➢ Macro level: It is common to most members of the groups living in it,
and involves the physical, social, cultural, economic and political
structure of the larger society in which individuals grow up

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 ❖ Tools helpful to system theories
1. Eco-map
➢ The eco-map identifies the client's current social context
➢ A paper and pencil diagram of the ecological system of the
client/family, the major systems, together with all their
relationships, that affect and are affected by the client/family.

2. Genogram
➢ A graphic representation of family members and their
relationships over at least three generations
➢ It looks like a family tree or a genealogy chart

STRENGTHS PERSPECTIVE

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In the strengths based approach, clients are usually seen as the experts on
their own situation and professionals are understood as not necessarily having
the best vantage point from which to appreciate client's strengths.
(Saleebey, 1992)

The strength-based approach has its foundation in social work and builds
upon the client’s strengths, specifically seeing the client as resourceful and
resilient when they are in adverse conditions (Strengths-Based Models in
Social Work; McCashen, Wayne [2005]).

Rapp, Saleebey, and Sullivan (2008) suggest six standards for determining a
strength-based approach. If in agreement, practitioners can use the list when
considering what method they will use when practicing the strength-based
approach:

1. Goal orientation: It is crucial and vital for the client to set goals.
2. Strengths assessment: The client finds and assesses their own strengths
and inherent resources.
3. Resources from the environment: Connect resources in the person’s
environment who can be useful or enable the person to create links to
these resources. The resources could be individuals, associations,
institutions, or groups.
4. Different methods are used first for different situations: In solution-
focused therapy, clients determine goals first and then identify
strengths. In strength-based case management, individuals first
determine their strengths using an assessment.
5. The relationship is hope inducing: By finding strengths and linking to
connections (with other people, communities, or culture), the client
gains hope.
6. Meaningful choice: Each person is an expert on their strengths,
resources, and hopes. It is the practitioner’s duty to improve upon
choices the person makes and encourage making informed decisions.

Theoretical Concepts:

1. Strengths. These are internal and external capabilities and resources

unique to watch person (Mandleco & Perry, 2000).
➢ Internal Strengths - personal qualities e.g., sense of humor, insight,
and flexibility that help people cope with the challenges they face.
➢ External strengths - are the resources outside of each person that
also send support. This may include family, connection to a faith
community, or services available in a client's geographic area.
2. Resilience. The ability to overcome adversity, maintaining or sometimes
even enhancing function.

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 3. Hope. A belief in the possibility of positive outcomes.
4. Culture. Belief, traditions, and daily activities of a grpup of people. This
can also develop from connection to a particular geographic
location, as a result of an activity, because of a spiritual or other belief
system, or even be related to age, as seen in the culture of various
generations.
5. Cultural identity. Membership or a sense of belonging to a group of
people that informs beliefs, practices, and traditions.
6. Collaboration. A relationship that equalizes power and supporting
shared decision-making.

Theoretical Principles: (Saleebey, 1992)

✓ All people, families, groups, and communities have strengths.

✓ All people, families, groups, and capacities have the capacity for
growth and improvement.
✓ All people, families, groups, and communities, are experts in their lives.
✓ Every environment is full of resources
✓ Support and services should be provided in naturally occurring settings
whenever possible.
✓ Services should remain flexible and responsive to the unique needs of
each client situation.
✓ Human relationships are highly valued.

5 questions to assess strengths:

1. Survival questions
• What have you learned about yourself and your world during your
most difficult times?
• How have you been able to rise to the challenges put before you?
• What was your mindset as you faced these difficulties?
2. Support questions
• What people have given you uspecial understanding, support and
guidance?
• Who are the special people on whom you can depend?
• What associations, organization, or groups have been especially
helpful to you in the past?
3. Exception questions
• What parts of your world and your being would you like to
recapture, reinvent, or relive?

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 • What moments in your life have given you special understanding,
resilience and guidance?
• When things were going well in life, what was different?

4. Possibility questions
• What are your hopes, visions and aspirations?
• What are your special talents and abilities?
• What do you want to do out of life?
5. Esteem questions
• How is it that things are out worst?
• How do you keep going way after way when there seems to be no
hope?
• How did you learn to cope with such an awful situation when you
were still so young? Did you have to do it by yourself?

SIKOLOHIYANG PILIPINO

➢ A psychology that makes into account the study of emotions and

experience knowledge (kalooban and kamalayan), awareness of
one's surrounding (ulirat), information and understanding (isip), habits
and behavior (another meaning of diwa), and the soul (kaluluwa)
which is the way to learning about people's conscience. (Enriquez,
1976)
➢ It is an indigenous psychology.
➢ A scientific study of ethnicity, society, culture of people, and the
application to psychological practice of indigenous people rooted in
the people's ethnic heritage and consciousness.
➢ Enriquez (1985) later defined Sikolohiyang Pilipino as "the study of the
psyche (diwa)", which in Filipino refers to wealth of ideas referred to by
the philosophical concept of 'essence' and an entire range of
psychological concepts from awareness to motives to behavior.
➢ Is anchored in Filipino thought and experience as understood from a
Filipino perspective. (Enriquez, 1975)
➢ The most important aspect of definition is the Filipino Orientation.

VIRGILIO GASPAR ENRIQUEZ

➢ The father of Sikolohiyang Pilipino

➢ He identified the following as the subject matter of this formal
indigenous psychlogy:

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 a. Kamalayan or consciousness - includes both motive and cognitive
experience
b. Ulirat - awareness of one's immediate surroundings
c. Isip - refers to knowledge and understanding
d. Diwa - includes habits and behaviors
e. Kalooban - emotions or feelings'kaluluwa or psyche - translates to
soul of the people

MAJOR CHARACTERISTICS OF SIKOLOHIYANG PILIPINO AS AN INDIGENOUS

ASIAN PSYCHOLOGY

a. Sikolohiyang Pilipino encourages cross indigenous method, multi-

method multi-language approach, appropriate field methods, total
approach (triangulation method)
b. It is also against the imposition to a Third World country of psychologies
developed in industrialized countries.
c. It endorses the conceptualization of psychological practice in a
Philippine context: Livelihood Psychology instead of Industrial
Psychology; Health Psychology instead of Clinical Psychology
d. Scientific and humanistic approaches are both valid (BS and BA in
Psychology)
e. Lesser emphasis on individual experience and with greater emphasis
on the collective experience of a people with a common bond of
historY
f. It is methodologically on the side of analysis but interprets the result of
analysis with a bias for wholeness.
g. Sikolohiyang Pilipino also became more ‘‘responsible’’ and responsive
to the needs of Filipinos due to the philosophy that we need to make
psychology benefit and be of service to the people.

Distinctions among the forms of psychology in the Philippines

1. Sikolohiya sa pIlipinas (Psychology in the Philippines) - refers to a series

of events related to the field of psychology in the country. e.g., number
of degree program,s and journals; the amount of research conducted
2. Sikolohiya ng mga Pilipino (Psychology of Filipinos) - refers to any
theories or knowledge of Filipino nature regardless of source, western or
local
3. Sikolohiyang Pilipino (Filipino Psychology) - refers to psychology based
on the filipino's true thoughts, feelings, behavior and must derive from
indigenous Filipino sources, language and methods.

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DEVELOPMENT OF INDIGENOUS CONCEPTS AND THEORIES

Rethinking Filipino values: (Boston, 1968; Lagmay, 1977; Sibley, 1985, Lynch,
1961)

❖ Bahala Na (has no exact English translation)

• Western: Bostrom, compare it with American fatalism; Thomas
Andres defined it as ‘‘the Filipino attitude that makes him accept
sufferings and problems, leaving everything to God”
• Filipino: Lagmay explained it as ‘‘determination and risk-taking’’
(being ready to face the difficult situation before them, and will do
their best to achieve their objectives)
❖ Hiya (translated in English as “shame”)
• Western: Lynch, ‘‘the uncomfortable feeling that accompanies
awareness of being in a socially unacceptable position, or
performing a socially unacceptable action.”
• Western: Andres, ‘‘an ingredient in why Filipinos overspend during
fiestas in order to please their visitors, even to the extent of going
into debt’’
• Filipino: Salazar, ‘‘sense of propriety’’ more of internal aspects as
opposed to external view of the Western
❖ Utang na Loob (translated in English as ‘‘debt of gratitude’’)
• Western: ‘‘to show his gratitude properly by returning the favor with
interest” ; ‘the principle of reciprocity incurred when an individual
helps another”
• Filipino: ‘‘gratitude/solidarity’’, in the Filipino pattern of interpersonal
relations, there is always an opportunity to return a favor or can be
expressed as ‘‘Ang hindi lumingon sa pinanggalingan ay hindi
makakarating sa paroroonan”

Pakikisama vs Pakikipagkapwa

➢ Pakikisama (translated as ‘‘smooth interpersonal relations’’ or

“conformity”)
• Enriquez started unfolding the concept of kapwa (shared identity),
which is at the core of Filipino social psychology, and which is at the
heart of the structure of Filipino values
➢ Pakikipagkapwa means treating the other person as kapwa or fellow
human being

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2 categories of kapwa:

1. Ibang Tao (outsider) – the interaction can range from pakikitungo

(transaction/civility with), to pakikisalamuha (interaction with), to
pakikilahok (joining/participating), to pakikibagay (in-conformity with/in
accord with), and to pakikisama (being along with).
2. Hindi-Ibang-Tao (one-of-us) – the expected interaction is
pakikipagpalagayang-loob (being in-rapport/understanding/
acceptance with), or pakikisangkot (getting involved), or the highest
level of pakikiisa (being one with)

Categorization of Filipino behavior pattern and value structure

a. Colonial/accommodative surface values – hiya (‘‘propriety/ dignity’’),

utang na loob (‘‘gratitude/solidarity’’) and pakikisama
(‘‘companionship/ esteem’’)
b. Confrontative surface values – bahala na (‘‘determination’’),
sama/lakas ng loob (‘‘resentment/guts’’) and pakikibaka
(‘‘resistance’’)
c. Core value – kapwa (‘‘shared identity’’)
d. Pivotal interpersonal value – pakikiramdam (‘‘shared inner
perception’’)
e. Linking socio-personal value – kagandahang-loob (‘‘shared
humanity’’)
f. Societal value – karangalan (‘‘dignity’’), katarungan (‘‘justice’’), and
kalayaan (‘‘freedom’’)
Internality externality of the Filipino Personality (ZEUS SALAZAR)

1. Puri - refers to honor which is physical such as that bestowed through

compliments or applauses for a good performance, thus external. It
can also refer to the virginity which is a virtue expected of unmarried
Filipino women.
2. Dangal - is honor from within; knowledge of one's true worth,
character, achieve,ent, and success. It can be acknowledged through
an award or tribute (parangal, which is actually pa-dangal) but even
without such gestures from outside, it is within you.
3. Happiness - Saya (external); ligaya (internal)
4. Control - pigil (external); timpi (external)
5. Feel - dama (external); damdam (internal)Enriquez, 1977)

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 An Analytical Framework: Indigenous Philippine Value Structure and
Correlated Behavior Patterns at the Surface, Core and Societal Levels

With the aim to address the colonial background of psychology in the

Philippines, Sikolohiyang Pilipino started as a movement within psychology
and other related disciplines in the 1970s that focuses on the following
themes:

1. Identity and national consciousness

2. Social awareness and involvement
3. National and ethnic cultures and languages, including the study of
traditional psychology
4. Bases and application of indigenous psychology in health practices,
agriculture, art, mass media, and religion but also including the
psychology of behavior tand human abilities as originated in
western psychology but aoplicable to the local setting.

❖ This movement has three primary area of protest:

A. As sikolohiya ng pagbabagong-isip (psychology of reawakening),
the movemt is against a psychology that perpetuates colonial
mentality and promotes decolonization of the Filipino mind as a
stage in the development of national consciousness.
B. As sikolohiyang malaya (liberated psychology), it is against the
importation and imposition of psychology that has been developed
in, and is more appropriate to, industrialized countries.

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 C. As sikolohiyang mapagpalaya (liberating psychology), the
movement is against psychology used for the exploitation of the
masses.

Indigenous concepts and theorizing:

• Kapwa - a core concept in Filipino psychology; a recognition of shared

identity, an inner self shared with others. It starts with the self and not
from others.
• Ako (the ego) and the iba-sa-akin (others) are one and the same i
kapwa psychology: Hindi ako iba sa aking kapwa (I am so different
from others.) Once ako starts thinking of himself as different from
kapwa, the self, in effect denies the status of kapwa to the other.
(Enriquez, 1978)
Aside from the structure of Filipino values, levels and modes of social
interaction have also been identifies:

1. Ibang tao "outsider" category:

✓ Pakikitungo - civility
✓ Pakikisalamuha - act of mixing
✓ Pakikilahok - act of joining
✓ Pakikibagay - conformity
✓ Pakikisama - being united with the group
2. Hindi ibang tao (one of us) category:
✓ Pakikipagpalagayang-loob - act of mutual trust
✓ Pakikisangkot - act of joining others
✓ Pakikipagkaisa - being one with others

DEVELOPMENT OF INDIGENOUS RESEARCH METHODS (Carmen Santiago)

➢ The pakapa-kapa (‘‘groping’’) approach was first introduced. She

believed that it is not necessary to have a clear-cut research design
nor a review of related literature before embarking on a research,
especially if existing written materials are foreign to the culture being
studied
➢ Avoid Western theories and overemphasis on data rather than on the
process
Five basic guiding principles using this approach:

1) It is recommended that the first level under Hindi-Ibang-Tao, which is

pakikipagpalagayangloob (level of mutual trust, understanding,
rapport) should be reached at the minimum, in order to be assured of
good quality data

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 2) Research participants should always be treated by researchers as
equal fellow human being. In the method of pagtatanong-tanong
(literally, ‘‘asking questions’’, marked by casualness when in fact, the
researcher is truly determined to get answers to his questions/
improvised informal, unstructured interview), the research participants
are free to ask the researcher as many questions as they want
3) The welfare of the research participants take precedence over the
data obtained from them. The primary ethical responsibility of
researchers should be to the people and not to their institution or
funding agency.
4) The method to be used in a research should be chosen on the basis of
appropriateness to the population. Researchers cannot expect people
to adjust to the method; the method should adjust to the people (here
is where pakikiramdam (sensitivity) is most needed)
5) The language of the people should be the language of research at all
time
Other research methods:

• Pakikipagkuwentuhan (‘‘story telling’’ or ‘‘informal conversations’’)

• Ginabayang talakayan (collective indigenous discussion)
• Nakikiugaling pagmamasid (participant observation)
• Pakikisama (‘‘getting along with’’)
• Pagdalaw-dalaw (‘‘visiting’’)
• Panunuluyan (‘‘residing in the research setting’’)

ETHNIC SENSITIVE PERSPECTIVE

Ethnic sensitive models of practice emphasize the importance of culture

and cultural differences. The cultural model is described and critically
evaluated; it is most appropriate when working with recent refugees and
immigrants but less appropriate when working with people of color
whose families go back generations in the United States.

Ethnic sensitive models should pay more attention to the importance of

status and status differences when working with minorities of color.

Important concepts:

1. Ethnic Groups - a population entity which considers itself to have a

common historical ancestry and identity-a sense of peoplehood, of
constituting a 'people'-and is so regarded by others. It may be co-
extensive with a particular nation, or it may be a sub population within

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 a nation. It may be based on a common religion, a common
language, a common national background, or a common racial
ancestry or frequency, or some combination of several of these factors
2. Ethnicity - refers to group membership in which the defining feature is
the characteristic of shared unique cultural traditions and a heritage
that spans across generations. Membership in an ethnic group provide
the cultural identity and lens through which the developing child
comes to understand and act uponprescribed values, norms and
social behavior.
3. Culture - a commonly used concept used to refer to the fact that
human groups differ in the way they structure their behavior, in their
world view, in their concept of the essential nature of the human
condition and how they view the rhythms and patterns of life.
4. Minority groups and minorities - The term "minority" has been used to
identify people who tend to be located "at the lowest end of the
spectrum of power and advantage".
5. Race - "differences in skin color, type of hair and facial features that
are biologically trivial have been used as markers for ascribing great
differences in power and privilege"; "a social construct that relies on
common understandings and self-definition rather than scientific
criteria
6. Oppression - keeping down by cruel, or unjust use of power or authority
7. Diversity - used in reference to the various populations that live in this
country, understanding that many people from many lands and
cultures in an exciting, heterogeneous context.
8. Ethnic sensitive social work practice - The term "ethnic sensitive social
work practice" once introduced came to be used by social workers
when referring in a broad, general sense to practice that is mindful of
the effects of ethnic and minority group membership in social
functioning and seeks to incorporate this understanding into practice.

POLICY, EMPOWERMENT, ADVOCACY/SOCIAL ACTION & INTERVENTION

The work on policy, empowerment, advocacy an social action ranged over

a number of issues.

Examples are:

• empowering women of color

• patterns of welfare spending that impact negatively or positively on
minority persons

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 • Black single mothers in poverty were the focus of attention. Minority
children and the educational system.
The overwhelming focus on people of color has already been noted, as has
the fact that coverage spanned a broad spectrum of areas with limited in
depth exploration of any one area. The notable exception was a focus on
adoption and concerns raised about transracial adoption. Review of the
ethnic reality of various groups far exceeded the urgent need for social
workers to develop practice knowledge and interventive approaches based
on understanding the ethnic reality of various groups.

SOCIAL WORK PRACTICE

Discrimination experienced by people of color calls for approaches that are

especially sensitive to ethnic and cultural environments. The primary focus is
to improve the quality of psychosocial functioning as the minority person
interacts with the social situation".

There are four categories within the framework for ethnic minority social work:

1. Practice process stages - focus on the step by step sequence of client

and worker movement in the helping process
2. Worker-system practice issues - include both those relevant to all clients
and workers and those especially pertinent to minority clients
3. Client-system practice issues
4. Worker-client tasks

ETHNIC SENSITIVE PRACTICE

➢ the position is taken that the understandings and approaches

developed can and must be incorporated into the diverse
approaches to practice. The "Layers of Understanding" is a concept
that suggests that knowledge, value and skill, including the specialized
knowledge and skills of ethnic sensitive approaches are the essential
ingredients of professional practice.
➢ The layers are:
1. social work values
2. knowledge of human behavior
3. knowledge and skill in understanding and effecting changes in
social welfare policies and services, especially those racist and
other structural impediments to effective service delivery
4. self-awareness with emphasis on "who am I in the ethnic sense?"

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 5. the impact of the ethnic reality on all people with special attention
to those ethnic groups that are particular victims of racism and
poverty
6. the route to the social worker - a conceptualization of the paths to
social work services that recognizes that members of oppressed
minority groups are most likely to encounter social workers via
coercive routes to service such as the courts and the schools.

PRACTICE MODEL BASED ON CULTURAL AWARENESS

Social workers assume an important role as boundary mediators because of

the role they play in communication of information and the regulation of
resources. There are four modes of social work intervention:

a. Advocacy because of the inherent conflict between minority and

dominant groups
b. Counseling-although culturally sensitive counseling needs to be further
developed
c. A regulator role - one that is often viewed negatively by ethnic
community leaders. An example is the removal of Native American
children from their homes following allegations of abuse
d. The broker role in which social workers attempt to redress past failures
of established social service organizations in meeting the needs of
minority clients

A Paradigm for Community Work with People of Color

The classic models of community practice - locality development, social

planning, and social action are essentially "color blind" and can serve only as
a foundation for intervention strategies to be used in communities of color.
Work in each of these communities is not the same. The models need to be
buttressed with consideration of:

1. The uniqueness of people of color

2. The implication of the role played in the various communities of kinship,
their social systems, power and leadership networks, religion and
language
3. Process of empowerment. The authors present a profile of a community
organizer who is seen as a person of racial and cultural identity similar
to that of the community. The person is expected to be familiar with

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 the community customs, traditions, language -including slang, social
networks and community values

CULTURE THEORY

➢ This theory expounds on the critical influence culture on a person’s

internal (thinking) and external (actions) processes.
➢ Culture is defined as a “complex whole which includes knowledge,
belief, art, morals, laws, customs and other capabilities and habits
acquired by man as a member of his society” (Hunt et al, 1987).It refers
to the entire way of life of people or society that they create acquired
from other societies, and ready to transmit to subsequent generations
(Mendoza, 2008).
Important concepts about culture are:

✓ it is learned
✓ it is shared
✓ it is cumulative
✓ it is dynamic and adaptive
✓ it is a whole
Aspect of Culture

• Beliefs – concepts about how the world operates and where individuals
fit in it; may be rooted in blind faith, experiences, traditions, or scientific
observations
• Values – the general concepts of what is good, right, appropriate,
worthwhile and important either reflected on behaviour or expressed
verbally.
• Norms – the written and unwritten rules that guide behaviour and
conduct appropriate to given situation.
• Folkways and customs – behaviour patterns of everyday life
• Mores – folkways which involve ethical values

STRUCTURAL - FUNCTIONAL THEORY

➢ Describes the society as a social system that has a social structure of its
own, made up of different parts which are interconnected, all working
together to achieve balance or social equilibrium.
➢ Functionalism asserts that the components of a society, similar to the
parts of the human body do not always work the way they are
supposed to work... When a component of a society interferes with
efforts to carry out essential social tasks, that parts are said to be
dysfunctional/

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 ➢ The perspective also asserts that systems have a tendency to resist
social change; change is seen as disruptive unless it occurs at a slow
pace.
➢ Notable structural functionalists are: 1) Emile Durkheim and 2) Robert
Merton
➢ The major social institutions that are pillars of human society are:
a. Family
b. Education
c. Government
d. Economy
e. Religion
Structuralism upholds that:

1. It is a "must" for human beings to be part of a big structure

2. Humans should be interrelated with other individuals
3. The sating, "no man is an island" greatly describes structuralism
Functionalism

• Functional means that elements of society do their specific task or jobs

in order to contribute to social equilibrium
• Dysfunctional is the opposite of functional; means they disrupt the
balance in the society; that is if social institutions fail to fulfill their
function or "break down", society would have serious social problems.
Types of function:

1. Manifest - are consequences/effects that are intended and

recognized e.g., the school's manifest function is to provide education
to its students.
2. Latent - are consequences/effects that are not intended and hidden
e.g., the school's latent function is to foster relationships among people
Key concepts:

• Social disorganization - occurs when a large organization or an entire

society is imprefectly organized to achieve its goals an dmaintain its
stability
• Social change - change in the social structure, and social relationships
in the society

RIGHTS-BASED APPRAOCH

❖ Rights-based Approach
➢ The foundation of rights-based approach is nested in universal legal
guarantees to protect individuals and groups against the actions

101
 and omissions that interfere with undamenta freedoms,
entitlmentsm and human dignity as first presented in the Universal
Declaration of Human Rights.
➢ Rights-based social work shifts the focus from human needs to
human rights and calls on social workers and the peopulations they
work with to actively participate in decision-making processes of the
state so that the state can better serve the interests of the
population.
❖ Charity-based Approach
➢ Charity-based efforts have led to the labelling of persons worthy
and unworthy of assistance, attributing personal behaviors as the
cayse of marginalization, poverty, disease, and disenfranchisement,
and restricted the tyoes of aid available accordingly.
➢ Judgments are cast by elites regarding who is deserving and who is
not based on criteria that serve to perpetuate existing social,
economic, and political relationships in charity-based approaches.
❖ Needs-based Approach
➢ Attempts to introduce greater objectivity into the process of
selecting who is helped and how by using evidence to demonstrate
need and introducing effective and efficient interventions to
improve the life of the needy and society as a whole.
Charity-based Needs-based Rights-based
Approach Approach Approach

Goals Assistance to Fulfilling an Realization of

deserving and identified human rights that
disadvantaged deficit in will lead to the
individuals or individuals to equitable
poulations to community allocation of
relieve through resources and
immediate additional power
suffering resources for
marginalized
and
disadvantaged
groups

Motivation Religious or To help those Legal obligations

moral deemed in to entitlements
impreative of need of help so
rich or as to promote
endowed to well-being of
help the less societal
fortunate who members

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 are deserving
of assistance

Accountability May be Generally Governments and

accountable accountable global bodies
to private to those who such as the donor,
organizations identified th community,
need and intergovernmental
developed the organizations,
intervention international
NGOs, and
transnational
corporations

Process Philanthropic Expert Political with a

with emphasis identifications focus on which
on donor of need, its participatory
dimensions, process which
and strategy individuals and
for meeting groups are
need within empowered to
political claim their rights.
negotiation.
Affected
population is
the object of
interventions

Power Preserves status Largely Must change

relationship quo maintain
existing
structure;
change might
be incremental

Target Individuals and Disadvantaged All members of

population of populations individuals and society with an
efforts worthy of populations emphasis on
assistance marginalized
populations

Emphasis On donor's On meeting On the realization

benevolent needs of human rights
actions

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 Interventions Immediate Symptomatic Fundamental
to respond manifestation deficits and structural causes
of problems may address while providing
structural alleviation from
causes symptomatic
manifestations

RIGHTS-BASED APPROACH TO SOCIAL WORK PRACTICE AT DIFFERENT LEVELS OF

INTERVENTION:

1. Individual
➢ Individuals seeking assistance are not judged to be worthy or
unworthy of assistance but rather are viewed as rights holders
2. Community/Group/Organization
➢ Community/Group/Organization efforts are redirected away from
roving that they deserve or need a resource toward learning about
how they can calaim their entitlements to resources.
3. Society
➢ Society redirects its social policies an dgoals to facilitate the
realization of human rights including addressing human needs.

FEMINIST PERSPECTIVE

FEMINIST THEORY

➢ Feminism is based on the idea that there is gender discrimination in

society, and that it is the women and all things associated with the
feminine or femininity that are considered inferior relative to the male
or masculinity. There are many theories on feminism and all of them
expound on the following key questions: (1) why are women
oppressed, and (2) what should be done to end this oppression.
➢ Another strand of feminism is the Third World Feminism. Women from
third world countries such as the Philippines are situated differently from
women from developed countries, hence their distinct articulation of
feminism which interlinks gender oppression to class, ethnic and racial
discrimination.
➢ Finally, gender equality is a desired goal of each of these strands of
feminism; it would be erroneous to treat them as mutually exclusive of
each other, particularly with regard to the issues they carry their
strategies.

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Other Concepts Adopted From or Related to Feminism (and relevant to
social work practice)

• Gender equality means that women and men enjoy the same status
and conditions and have equal opportunity for realizing their potential
to contribute to the political, economic, social and cultural
development of their countries. They should also benefit equally from
the results of development.
• Gender equity moves beyond a focus on equal treatment. It means
giving to those who have less on the basis of needs, and taking steps to
compensate for historical and social disadvantages that prevent
women and men from otherwise operating on a level playing field.
Equity can be understood as the means, and equality is the end. Equity
leads to equality.
• Patriarchy: The "rule of the father," or a universal political structure that
favors men over women. It was originally used by anthropologists to
describe the social structure in which one old man, the patriarch, has
absolute power over everyone else in the family. It also refers to male
domination of political power and domination that maintains an unjust
system for the benefit of the rulers at the expense of the ruled.
• Gender Mainstreaming or Gender and Development (GAD)
mainstreaming is the main strategy of the Philippine government for
ensuring that the government pursues gender equality in all aspects of
the development process to achieve the vision of a gender-responsive
society where women and men equally contribute to and benefit from
development.
• Gender Sensitivity:The ability to recognize gender issues and to
recognize women's different perceptions and interests arising from their
different social position and gender roles.
• Multiple burdens of women: A situation referring to the heavy workload
of women and the many, overlapping tasks involved, which if
computed in terms of hours would total more than 24 hours. This
workload consists of unpaid reproductive work, paid productive work,
community management, and all other work necessary for the survival
of the family.
• Gender Stereotyping: Society's perceptions and value systems that
instill an image of women as weak, dependent, subordinate,
indecisive, emotional and submissive. Men, on the other hand, are
strong, independent, powerful, dominant, decisive and logical.
Unexamined images, ideas or beliefs associated with a particular
group that have become fixed in a person's mind and are not open to

105
 change. For example, women's roles, functions and abilities are seen to
be primarily tied to the home.
• Gender Subordination: Submission, sometimes due to force or violence,
or being under the authority of one sex. It often results in women having
no control over available resources and having no personal autonomy.

III. THE FAMILY: STRUCTURES, TYPES, DYNAMICS, PROCESSES, AND

FUNCTIONS
Viewpoints of Family

Sociologic Viewpoint: Enduring social form in which a person is incorporated

Biologic Viewpoint: Genetic transmission unit

Psychological viewpoint: Matrix of personality development and the most

intimate emotional unit of society

Family

➢ Members of a primary group in constant and intimate interaction; are

mutually obligated to eah other; and usually occupy a common
residence. (Zastrow & Kirst-Ashmann, 2004)
➢ A family is a group of people related by blood, marriages or adoption
who live together in one household. (United Nations)
➢ A family is a small social system made up of individuals related to
watch other, biologically or by reason of strong affections and loyalty
that comprises a permanent a household and persists over decades.
(Terkelson, et. al, 1980)
Fundamental characteristic of a healthy family:

✓ Shared power
✓ Flexible organization
✓ Adaptive problem-solving, capable of different solutions
✓ Active coping mechanism
✓ High level of interaction
✓ Multiple and varied contacts within n without the family system
✓ Encouragement of a high degree of autonomy

Family Structure

o It is the patterned sequence of behaviors that are observable

interactions between two or more members. (Haley, 1973)

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 o It is made up of set patterned sequences of behaviors that respond to
the combined and interacting needs of family members.
Classification of families according to INTERNAL STRUCTURES

1. Nuclear family
➢ Composed of husband and wife and their children in a union of
recognized by the other members of the society (Parson & Bales,
1955);
➢ The members, consisting of parents and their still dependent
children
2 kinds of nuclear family:
A. The Family of Orientation
➢ Family into which one is born, and where one is reared or
socialized. It consists of a father, a mother, and brothers and
sisters. (Murdock, 1949)
B. The Family of Procreation
➢ Family established by the person by his marriage and consists
of husband, wife, sons an ddaughters. (Murdock, 1949)
Main points of interaction in the family
❖ Husband- Wife relation
• Conjugal bond - the internal sense of obligation and privilege,
respect, affection, or sexual attraction existing in he mind and
heart of each spouse.
• Social pressure - the community expects the husband and wife
to be loving and faithful to watch other an dto have a lasting
and permanent marriage.
• Economic cooperation - the husband is the main breadwinner
while the wife makes care primarily of the domestic needs of the
family.
• Parent child relation - very strong filial bond between parents
and children
✓ Parent - loving, caring, and protective for their children,; work
hard and even plunge into debt to provide needs of their
children; and aspires great for their children's future etc.
✓ Children - love, respect, and obey their parents
• Sibiling's relation - mutual love, protection, and respect
✓ Brothers - are expected to look after their sisters and protect
them from harm
✓ Older siblings - are given the responsibility to take care of the
younger ones especially when the parents are away
✓ Younger siblings - are turn to obey their elders and look up to
them with respect.

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 2. Extended family
➢ Includes three generations family centered, live together as a
group, and through its kinship network provides supportive functions
to all members.
➢ Composed of two or more nuclear families economically and
socially related to each other.
2 kinds of family structure: (Linton as cited by Murdock, 1939)
A. Conjugal family
➢ Considers spouses and their offsprings as of prime importance
and which has a fringe of comparatively unimportant
relatives.
➢ Marriage bond is emphasized.
B. Consanguineal family
➢ Considers the nucleus of blood relatives as more important
than the spouses. The relationships of the person with the
blood kin formed during childhood is emphasized.
3. Single-parent family
➢ Children 17 years old or younger living in a family with single parent,
another relative or non-relative.
4. Blended family
➢ includes step-parents and stepchildren, separation,
divorce/annulment, and remarriage may cause it.

Classification of families based on DESCENT

1. Patrilineal Descent - affiliates a person with a group of relatives who are

related to him through his father. The child has also well-defined
relationships with his mother's kin, but when he finds it to seek aid, he
turn to his father's kin.
2. Matrilineal Descent - affiliates a person with a group of relatives related
to him through his mother.
3. Bilateral descent - affiliates a person with a group of kinsmen related to
him through both his parents.

Classification of families based on RESIDENCE

1. Patrilocal residence - newly married couple live with or near the

domicile of the parents of the groom.
2. Matrilocal residence - newly married couple live with or near the
domicile of the parents of the bride.

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 3. Bilocal residence - gives the couple a choice of staying with either the
groom's parents or the bride's parents, depending on certain factors
like the relative wealth of the families, or their status, and wishes of the
parents, or the certain personal preferences of the bride and the
groom.
4. Neolocal residence - permits the newly married couple to reside
independently of the parents of either groom or bride.
5. Avuncolocal residence - prescribes that the newly married couple
resides or near the maternal uncle of the groom; this type of residence
is very rare.

Classification of families based on AUTHORITY

1. Patriarchal family - authority is vested in the oldest male in the family,

often the father. The sons especially the eldest, enjoy prestige and
privileges.
2. Matriarchal family - authority is vested in the mother or the mother's kin
3. Equalitarian/Egalitarian family - husband and wife exercise a more or
less equal amount of authority.
4. Matricentric family - father's prolonged absence gives the mother a
dominant position in the family. However, the father also shares with
the mother in the decision-making.

5 BASIC AREAS OF FAMILY FUNCTION

o Biologic
✓ Reproduction
✓ Care and rearing fo children
✓ Nutrition
✓ Health maintenance
✓ recreation
o Economic - provide adequate financial resources; determine
allocation of resources; and, ensure financial security of members
o Education - teach skills, attitudes and knowledge relating to other
functions
o Psychological/Affection - promote the natural development of
personalities; offer optimum psychological function; promote ability to
form relationships with people outside the family circle
o Sociocultural - socialization of children; and, promotion of social status
and legitimacy.

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 IV. THE GROUP: STRUCTURES, TYPES, DYNAMICS, PROCESSES, AND
FUNCTIONS
WHAT IS A GROUP?

➢ Two or more persons in a relationship of psychic interaction, whose

relationship with one another may be abstracted and distinguished
from their relationships with all others so that they may be thought of as
an entity. - Eubank
➢ A social group is a framework within which personalities develop and
mature... may be thought of as a number of persons who have some
common loyalty and who participate in common activities and who
are stimulating each other...A social group consists of human beings in
inter-stimulation. - Borgadus
➢ Group is at least two people, but usually more, gathered with common
purposes or like interests in a cognitive, affective, and social
interchange in single or repeated encounters.

WHAT IS AN AGGREGATE?

➢ An aggregate is a simple collection or group of people who are on the

same location usually experiencing common influences, without a
bond or significant interaction, may share some characteristic; not
organized.

CLASSIFICATION OF GROUP

Formed Groups Natural Groups

Are those that come together Are those that come together
because of some outside spontaneously on the basis of
influence or intervention natural events interpersonal
attraction or mutually
perceived needs or members

Usually with affiliation, Examples are peer groups,

convened with particular family groups, gang
purpose

Examples are therapy groups,

educational groups and
committee social action
group

UNDERSTANDING GROUP BEHAVIOR GROUP QUALITIES:

110
 • A definable membership
• Group consciousness or conscious identification with each other
• Independence in satisfaction of needs
• Interaction
• Ability to act in a unitary manner
REASONS FOR USING GROUP MODE OF SERVICE

• The group as primary means of helping (for treatment and

rehabilitation)
• To augment work with individuals and families
• To augment community methods (core group or facilitate community
public solving)
• To augment individual methods
• To work with groups in the context of intergroup approaches at a
community level

USES OF GROUPS

• For effect on the participants- means resocialization, acquire or

changing concept of self, behavioral changes, development, and
modification. (Means of Helping)
• For change in the-social situation or condition outside the group-
there’s
• modification of institution or social system within an which group there’s
exist.
• For collective problem solving- work on common or join task group
thinking, cognitive, emotional or social individual or social situation
.
ADVANTAGES OF GROUP

a. Many individual feel more comfortable, encourage and shared their

ideas and experiences in a group. They feel support and assurance
from the realization of their serious problem.
b. Group member received psychological rewards from the experience
of helping others with their problems.
c. internal forces in the group can influence attitudes, values and
behavior, making the group potent instruments affecting, desired
changes in the individual and the group.
d. The group lends itself to use of variety of activities that are not relevant
to the group's goal but also respond to the individual member's needs
and problems.
e. The cooperative thinking process that takes place in a group.

111
 f. Many individuals have similar problems that are best handled with the
group properly, which can hasten decision-making on the part of its
members.
g. For certain purposes, it is more economical to work with groups than
individuals

PROPERTIES OF GROUP

Background - Composition of the group, preparation, expectation,

arrangements made for the meeting.

Participation Pattern - Pattern maybe one way with leader talking to

members, or twoway with leader talking and members responding or multi-
directional with all members speaking to one another.

Communication - Consists of verbal and non-verbal communication of ideas,

values and feelings between the members.

Atmosphere - The social climate.

Standards - Development of code of ethics or set of standards of proper and

acceptable behaviour.

Sociometric Pattern - Relationship of friendship and antipathy.

Procedures - Ways of working to get things done. (Example: Making decisions

thru voting and consensus).

Structure and Organization

o Visible Organization - Structured committees, appointed positions, or

informal divisions of labor
o Invisible Organization - Arrangement of members according to relative
prestige, influence, power, and seniority.
Goals - Immediate or long range which the group hopes to accomplish.

CLASSIFICATION OF GROUPS BASED ON OBJECTIVE OF FORMATION/ORIGIN

1. DELIBERATE FORMATION GROUPS - These are groups formed to

accomplish some specific objectives.
➢ Work Groups - To perform some task more efficiently through the
pooling and coordination of the behavior and resources of a
collection of individuals e.g. expedition group to Everest.
➢ Problem-Solving Groups - e.g. commissions, task forces, committees
formed on the belief that a group can form a solution more
efficiently than a single individual

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 2. SPONTANEOUS FORMATION GROUPS - Many groups arise because
people expect to derive satisfaction from associating together e.g.
social clubs, juvenile gangs, friendship and cliques.
3. EXTERNALLY DESIGNATED GROUPS - A collection of individuals may
become a group because they are treated in a homogenous way by
other people. Usually, people place into categories.

GROUP STRUCTURE

➢ Arrangement or interrelation of all parts of a whole

i. Structural Properties
A. Size
➢ Refers to the number of persons in a group
➢ The smaller the size, the easier the worker gets to intervene and
observe the group
• Treatment-oriented groups - 5 to 7 members
• Task Groups/Core Groups - limited size for efficiency
• Advocacy oriented Groups - large sized
B. Communication Structure
➢ Communication is the process of transferring and sharing
messages and meanings through the use of symbols like words,
movements, gestures, and sounds
➢ Communication Structure encompasses who interacts with
whom about wat and this interaction may take (verbal or non-
verbal forms)
C. Affectional Structure
➢ The process of acting and reacting which makes place between
people meeting together in a small group
Patterns of Interpersonal relations
• Pairs - e.g., dyads, mutual friendships, courtship pairs, pairs of
enemies, dependency dominance, complimentary
• Triads - e.g., mediator and two, rivals and one, coalition and
one, three-person alliance, harmonious threesome
• Foursomes - e.g., two paits, three and one, four-person
alliance
• Isolates - people who hang on the fringe of the group with
little acceptance from anyone
D. Power Structure
➢ Potentiality for inducing forces in other persons toward acting or
changing in a given direction
➢ French and Raven's Framework on SOURE OF INFLUENCE

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 1. Reward Power - "rewards" - promotion, praise, etc.; group
members will usually like those with high reward power
2. Coercive power - "coercion" - a member can inflict adverse
or negative effects/remove positive consequences in
response to someone's behavior
3. Legitimate Power - "legitimate"; already given through
authority or position; can be based on age, intelligence,
physical characteristics, officership, legitimizing agent e.g.,
election process
4. Referent power - being "referred"; result of being well-liked
and respected.
5. Expert power - "expertise"; someone who has expertise/skill
that can be trusted
E. Leadership
➢ the ability to influence other people in some way
➢ Major theories in leadership
1. Position theory
✓ leader is in the topmost position and all others below are
lesser leaders
✓ Position is given through appointment, designation,
election, taking control, or manipulating situations
✓ The leader has a particular position in the organization
2. Trait Theory
✓ Leaders have personal traits or characteristics that make
them different from other people
✓ Leaders tend to be more dominant, introverted, more
masculine, have greater interpersonal sensitivity than
followers
3. Style Theory
➢ Leadership styles:
• Authoritarian - leaders have absolute power
• Democratic - weeks maximum involvement and
participation from members in decision-making and
problem-solving
• Laissez-faire - minimum input or participation from the
leader
4. Situatioal Theory
✓ "situation"; leadership is a result of a situation rather than
what he or she does.
✓ e.g., one who is neutral about an issue will be the leader
because he or she has clear mind

114
 5. Functional Leadership Theory
✓ Any member can be a leader by taking actions that serve
the group goals
F. Role Structure
➢ Role refers to the socially-recognized pattern of expectations of
behavior on the part of a certain position of a person
➢ e.g., father, student, citizen, husband, lawyer
➢ Two leadership roles:
1. Task-specialist - provides best ideas and does the most to
guide discussions
2. Social emotional/group maintenance specialist - main
concern is group harmony and resolving tensions and conflict
within the group
G. Group norms
➢ Norms are rules and standards of behavior that emergres in a
group. Norms tells us how members control each other, which
behaviors are allowed and which are not.
➢ Different kinds of norms:
1. Written rules - norms that are codified e.g., Professional Code
of Ethics
2. Explicitly-stated norms - norms stated verbally or easily
recognized by members e.g., rules and regulations
3. Non-explicit or informal norms - neither stated nor written but
understood by the members e.g., chairman sitting in the head
of the table
4. Norms beyond awareness - norms created by osmosis e.g.,
greeting when one enters the office
H. Status
➢ Refers to one's rank or standing in the group
➢ To maintain criteria for the judgment of persons or positions,
thereby making social reward seem just

GROUP PROCESS - GROUP COHESIVENESS

Process - a particular method of doing something generally involving number

of steps or operations

Group work process - the steps involved when a social worker works with a
group in order to help with some concern for problem affecting the group's
social functioning

Problem-solving process - calls for a series of systematic if frequently

overlapping steps in helping people

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Forces generated by the relationship between people and their interactions
in the group:

1. Conformity - a tendency to allow one's behavior to be influenced by

prevailing attitudes and opinions
2. Competition and cooperation
➢ Competition - rivalry for the same goal
➢ Cooperation - the willingness among people to share responsibilities
and work towards a common goal
3. Decision-making - the act of reaching a conclusion or passing
judgment on an issue under consideration; the process of choosing a
particular course of action from among available alternatives to attain
specific objectives
a. Voting
b. Consensus
c. Postponing decisions
d. Delegation of decision-making authority
4. Groupthink - problem-solving process in which proposals are accepted
without careful review of their advantages and disadvantages.
5. Conflict - disagreement of two opposite sides on the same issue
a. Win-Lose Style
b. Yield-Lose Style
c. Lose-Leave Style
d. Compromise Style
e. Intergrative Style
6. Group Cohesiveness
➢ Degree to which members of a group desire to remain in the group
➢ Result of all forces acting on members to remain in group
DETERMINANTS OF GROUP CONSEQUENCES OF
GROUP COHESIVENESS GROUP
COHESIVENESS COHESIVENESS

Members motive Attractiveness of Maintenance of

base for attraction the group the membership

Incentive Power of the group

properties of the over its members
group

Expectancy Attractiveness of Participation and

concerning alternative loyalty
outcomes memberships

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 Comparison level Personal
consequences

Expectations:

➢ Contribute to group's welfare

➢ Advance the group's objective
➢ Participate in the group's objective
Other concepts:

NON-FUNCTIONAL ROLES

❖ Withdrawing - Acting indifferent or passive resorting to excessive

formality, doodling, or whispering to others.
❖ Dominating - Trying to assert authority in manipulating the group or
certain members of it by "pulling rank", giving directions authoritatively,
and interrupting contributions of others.
❖ Seeking Recognition - Attempting to call attention to one's self by
excessive talking, extreme ideas, boasting, and boisterousness.
❖ Special Pleading - Introducing or supporting ideas related to one's own
pet concerns or philosophies beyond reason, attempting to speak for
the "grassroots," "the housewife", "the common man" and so on.
❖ Blocking - Interfering with the progress of the group by going off on a
tangent, citing personal experiences unrelated to the group's problem,
arguing too much on a point the rest of the group has revolved,
rejecting ideas without consideration preventing a vote.
❖ Aggression - Criticizing or blaming others, showing hostility toward the
group or some individuals without relation to what has happened in the
group, attacking the motives of others, deflating the ego or status of
others.

GROUP TASK ROLES

❖ Orienting - Defining the progress of the discussion in terms of the group's

goals, raising questions about the direction is taking.
❖ Testing - Checking with the group to see if it is ready to make a
decision or to take some action.
❖ Summarizing - Reviewing the content of past discussion.
❖ Opinion-Giving - Stating a pertinent belief or opinion about something
the group is considering.
❖ Clarifying - Probing for meaning and understanding, restating
something the group is considering.

117
 ❖ Elaborating - Building on a previous comment, enlarging on it, giving
example.
❖ Coordinating - Showing or clarifying the relationship among various
ideas, trying to pull ideas and suggestions together
❖ Initiating - Suggestion new ideas or a changed way of looking at the
group problem or goal, proposing new activities.
❖ Information-Seeking - Asking for relevant facts or authoritative
information orrelating personal experience pertinently to the group
task.
❖ Information-Giving - Providing relevant facts or authoritative
information or relating personal experience pertinent to group task.

GROUP BUILDING AND MAINTENANCE ROLES

❖ Standard Setting - Expressing standards for the group to use in choosing

its subject matter or procedures, rules of conduct, ethical values.
❖ Following - Going along with the group, somewhat passively accepting
the ideas of others, serving as an audience during group discussion,
being good listener.
❖ Relieving Tension - Draining off negative feeling by jesting or throwing
oil on troubled waters, diverting attention from unpleasant to pleasant
matters.
❖ Encouraging - Being friendly, warm, responsive to others, praising others
and their ideas, agreeing with and accepting the contributions of
others.
❖ Mediating - Harmonizing, conciliating differences in points of view,
making compromises.
❖ Gate-Keeping - Trying to make it possible for another member to make
a contribution or suggesting limited talking time for everyone so that all
will have a chance to be heard.

OTHER GROUPS

❖ Out-Groups - It embodies the pronoun "they". A member feels a sense

of indifference, avoidance, hostility, or competition or outright conflict.
❖ Treatment Groups - Also referred to as small helping groups. In social
work, a method of intervention to help meet personal needs of its
members. Purpose of

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❖ Treatment groups: Support, Education, Growth, Therapy, and
Socialization.
❖ Task groups (Activity Group) - Formed and maintained so that specific
activities of job can be accomplished.
❖ Reference Group - Applies to the group against which an individual
evaluates his or own situation of conduct.
❖ Personal Groups - Come together spontaneously on the basis of
naturally occurring events, interpersonal attraction and, or mutually
perceived needs of members.
❖ In-Groups - Individual identifies himself by virtue of his awareness of
likeness. It embodies the pronoun "we".
❖ Social Groups - Comprised of two or more members who identify and
interact with one another on a personal basis as individuals; an
exclusive self-organizing.
❖ Primary Group - Closeness or physical proximity, smallness, durability.
identity of ends, relationship is an end itself, relationship is personal and
intimate.
❖ Secondary Group - Large in size, formality, impersonality, indirect
cooperation, voluntary membership

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 IV. THE SOCIAL ORGANIZATION: STRUCTURES, TYPES, DYNAMIC, PROCESSES,
AND FUNCTIONS
Organizations are social entities that are goal-directed, are designed as
deliberately structured and coordinated activity systems, and are linked to
the external environment. (Daft, 2007)

Four Elements:

• Social Entities
• Goal-Directed
• Deliberately structured and coordinated systems
• Linkage to the external environment

SOCIAL AGENCY OR SOCIAL SERVICES AGENCY

➢ An organization providing social services that typically employs a

range of helping professionals, including social workers in addition to
office staff, paraprofessionals (persons trained to assist professionals),
and sometimes volunteers. (Barker, 2003)
➢ Social Agencies can either be:
A. Public Social Agencies- agencies that run by some designated unit
of government and usually regulated by laws.
B. Private Social Agencies- these are privately own and run by the
people not employed by the government. Example is donations.
C. Proprietary Social Agencies- these are agencies provide some
designated social services, it is often quite similar to those provided
by private social agency.

ORGANIZATIONAL THEORIES

➢ Are ways to conceptualize and understand how organizations function

by stressing specific concepts and explaining how these concepts
relate to each other. (Hodge, Anthony, & Gales, 2003)
➢ The study of human behavior in the workplace, the interaction
between people and the organization, and the organization itself. The
major goals of organizational behavior are to explain, predict, and
control behavior. Dubrin, 2002

MANAGEMENT

➢ The attainment of organizational goals in an effective and efficient

manner through planning, organizing, leading, and controlling
organizational resources. (Daft, 2003)

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THE MANAGEMENT THEORIES

3 School of Thoughts:

1. Classical or Traditional School of Thought - The classical approach to

management generally focused on boosting efficiency.
The Division of Labor - Charles Babbage
Highlights: Worker must leam only one skill ; Worker will focus one operation
time after time; Tools and equipment are developed since job is broken
down into parts.
2. Scientific Management - Frederick W. Taylor
Highlights: Division of labor; piecework incentives; and, careful use of time...
a. The Motion Study - Frank and Lilian Gilbert
Highlights: Conducted motion studies to ascertain the importance
of various characteristics of workers and of various movements they
performed.
b. Modern Operational Management - Henri Fayol
Highlights: Managers perform 5 Basic Function (Planning, organizing,
communicating, coordinating and controlling)
14 Principles: Division of work; Authority, Discipline, Unity of Command; Unity of
Direction; Subordination of Individual Interest, Renumeration, Centralization,
Scalar Chain, Order, Equity, Stability of Tenure, Initiative, Espirit de Corps
c. The Bureaucratic Model - Max Weber
Highlights: Pure form of organization called as bureaucracy.
3. Behavioral School of Thought - The behavioral school of thought to
management highlights the wide use of participation.
a. Human Relations - Elton Mayo
Highlights: Importance of human attitudes and feelings in
management and production as well as the rights of employees.
Providing man's social and psychological needs are effective
motivators as money.
b. Theory X and Y - Douglas McGregor
Highlights: x describes situation where leaders are authoritative, autocratic,
maintain close control. Y stresses democratic participation.
c. Management by Objective - Peter Drucker
Highlights: Every efforts is made to achieve the specific objectives
formulated.
d. Motivating Hygiene Theory - Frederick Herzberg
Highlights: Opportunities for achievements, recognition for achievements,
advancement and growth.
e. Employee Centered Organization - Rensis Likert
Highlights: Attention is endeavoring to build effective work group
with high performance level.
f. The Mature Individual - Chris Argyris

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Highlights: Healthy people go through the process of maturation.
g. The Modern View
The General Systems Theory - C. West Churchman
Highlights: Each person in the system is related to at least some
others in system.
Intersectionality is a way of understanding social relations by examining
intersecting forms of discrimination this means acknowledging that social
systems are complicated and that many forms of oppression like racism
sexism and ageism might be present and active at the same time in a
person's life everyday approaches to building equality tend to focus on one
type of discrimination for instance sexism and then work to address only that
specific concern but while the career of a young white and able-bodied
woman might improve with gender equality protections an older black
disabled lesbian may continue to be hampered by racism ageism ableism
and homophobia in the workplace.

Intersectionality is about understanding and addressing all potential

roadblocks to an individual or groups well-being but it's not as simple as just
adding our per prescience and addressing each one individually racism,
sexism and ableism exist on their own but when combined they compound
and transform the experience of oppression.

Intersectionality acknowledges that unique oppressions exist but is also

dedicated to understanding how they change in combination the roots of
intersectionality lie within the black feminist movement with legal scholar,
kimberlé crenshaw.

V. THE COMMUNITY: STRUCTURES, TYPES, DYNAMICS, PROCESSES, AND

FUNCTIONS
➢ A community is "a number of people who have something in common
with one another that connects them in some way and that
distinguishes them from others”. (Homan, 2004)
➢ A key feature of a community is the fact that participants share some
mutual characteristics. Common features might include "location,
interest, identification, culture, and/or common activities. (Fellin, 2001)
➢ Community is a group of people living in a definite territory enjoying
certain common characteristics. These characteristics refer to their
common history, customs, traditions, beliefs, government, economy,
etc. People share common characteristics in a certain field, in several
fields or in all fields of social life. (Apit, 2004)
➢ A group of people gathered together in a geographic area, large or
small, who have common interests, actual or potentially recognized in
the social welfare field. - Arlene Johnson

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 ➢ A multitude of systems many of which were influenced by their vertical
relationship than by their horizontal relationships. - Roland Warren

CLASSIFICATION OF COMMUNITIES:

a. Geographic Community - it shares a common location/area/territory or

geographic area. Such as village, barangay, municipal/municipality,
district, city, province, region, nation, or the world.
b. Functional Community - people who hold common functions or express
some common values or share some common functions or express
some common interest such as education, home, hobby, livelihood,
labor, or recreation.
c. National Community - share a common way of life, common
government, freedom, and sovereignty.
d. Global Community - share common earth, disregarding national
barriers and emphasizing interdependence.

PATTERNS OF RELATIONSHIP IN THE COMMUNITY

GEMEINSCHAFT GESELLSCHAFT

More direct and personal More formal and impersonal

Traditional and conservative More abstract

More significant and More instrumental or utilitarian

meaningful

Relationship in a rural Relationship in a highly

community urbanized community

COMMUNITIES THRIVE IN PARTICULAR ECOSYSTEMS:

Types of Ecosystems in the Philippines:

• Agricultural
• Forests
• Grasslands
• Freshwater
• Mangroves
• Coastal
• Urban
COMMUNITY ORGANIZATION
Community organizing work is a very important field of social work practice in
the Philippines. The interest in it was spurred greatly by the developmental

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thrust in social welfare that was advocated in the sixties and the declaration
of Martial Law in theseventies. These events made many social workers realize
the need to shift emphasis from the one-to-one or small group mode of
helping people to a more mass-oriented, community-based practice in order
to reach a greater number of needy and disadvantaged people in society.

➢ A process of identifying problems and needs, prioritizing them,

formulating solutions in solving problems /attaining needs, and
implementing them through cooperative and collaborative efforts
which results to improved capacity in community problem-solving
process and community integration. - Murray Ross
➢ The process of matching needs with resources and as a conscious
process of social interaction concerned with three types of objectives
which are task goals, process goals, and relationship goals. - Arthur
Dunham
➢ A process of finding solutions to social problems by redistributing
resources functions, and decision-making power. - Perlman and Gurin

DEFINING ORGANIZATION

➢ The orderly arrangement of group effort to provide unity of action in

the pursuit of common purpose.
➢ Organizing is people working together to get things done.

PHILOSOPHY OF COMMUNITY ORGANIZATION

➢ Acceptance of the right of the community to decide what it wants

rather than having the organizer's views imposed upon it, belief on the
capacity of the people to find richer and more satisfying ways of living
if they are helped to use the resources within themselves and their
environment which are and could be made available to them.

THEORETICAL FRAMEWORKS FOR COMMUNITY ORGANIZATION

1) Systems Perspective - In the systems perspective or social systems

theory, all social units-individuals, groups, organizations, communities
and societies are conceived as systems. Each system has an internal
organization consisting of subsystems and is related to other systems in
its environment. (Mendoza 2002; Homan 2004)
2) Strengths Perspective - This perspective has an optimistic outlook. It
starts from the positive belief that every individual, groups, communities
and societies have innate strengths that can be maximized to address
their needs and concerns.

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 3) Empowerment Perspective - The term suggests a process of transition
from a disempowered status to an empowered stage on the part of
the client or the target population.

GOALS OF COMMUNITY ORGANIZATION

a. Task Goal - The accomplishment of a concrete task meant to meet a

specific need and achieve a concrete objective.
b. Process Goal - The achievement of a process by which people gain
power or develop their capacities for participation, self-determination,
and cooperation.
c. Relationship Goal - The attainment of meaningful changes in the
relationship between groups, sectors, or classes of people in the
society.

MODELS OF COMMUNITY ORGANIZATION

1. Locality Development - This presupposes that community change may

be pursued optimally through broad participation of a wide spectrum
of people at the local community level in goal determination and
action. Most prototypic form is commonly called community
development.
➢ Community Development - Refers to efforts to mobilize the people,
the victims, the unaffiliated, the unorganized and the non-
participating who are affected by a community condition into
groups and organizations to enable them to take action on these
social problems and issues which affect them (Kramer and Specht)
➢ There are two types of approaches in implementing this model:
Needs Based Approach and the Asset Based Approach (ABCD).
John P. Kretzmann and John L. McKnight
2. Social Planning - This emphasizes a technical process of problem
solving with regard to substantive social problems such as delinquency,
housing, health, education, child labor, etc. Rational, deliberately
planned, and controlled change has a central place in this model.
Efforts directed towards integrating the different action systems of the
community with other systems in the local community and/or with extra
community action systems, efforts aimed at bringing about reforms in
attitudes, policies and practice of large private and public agencies
including legal, functional and operating system. (Kramer and Specht)
It is translating social goals into programs and services by an agency,

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 group of agencies, public or private in collaborative effortswith the
community.
3. Social Action - This approach presupposes a disadvantaged segment
of the population that needs to be organized, perhaps in alliance with
others in order to make adequate demands on the larger community
for increased resources or treatment more in accordance with social
justice or democracy. (Saul D. Alinsky & Paulo Freire - consciousness-
raising)

PHASES AND ACTIVITIES OF COMMUNITY ORGANIZING

1) Area or Site Selection - Considerations: the area is relatively

economically depressed; it must have a relative concentration of poor
people; there is no strongresistance from the community; there must be
no serious peace and order problem, not unless the situation really call
for it.
2) Entry/Integration in the Community - Establishing rapport with the
people in continuing effort to imbibe community life.
3) Community Study or Social Investigation - A systematic and scientific
process of collecting, collating, synthesizing and analyzing data in
order to draw a clearer picture of the community.
4) Spotting of Potential Leaders - Potential leaders can assist the organizer
in providing/validating data about the community and its people.
5) Core Group Formation - The laying down of the foundation of a strong
people's organization brought about by bringing together several of
the most advanced indigenous leaders to exchange knowledge and
insight towards a deeper understanding of the dynamics of the
community.
6) Formation of Community Organization - Fomal setting-up of community
organization. Facilitates wide participation and collective action on
community problems, needs and other activities of the community.
7) Mobilization - Activities undertaken by the community organization to
solve problems or realize needs of the community.
Steps: Issue spotting Analysis > Target Analysis > Plan of Action >
Implementation > Evaluation / Reflection Stage

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 SOCIAL CHANGE AND DEVELOPMENT PERSPECTIVES

SOCIAL CHANGE

Vago (1996) stated that Social change is conceptualized as the process of

planned or unplanned qualitative or quantitative alterations in social
phenomena that can be analyzed in terms of five interrelated components:

1. Identity - refers to a specific social phenomenon undergoing

transformation, such as definite practice, behavior, attitude, interaction
pattern
2. Level - delineates the location in a social system where a particular
change takes place examples- group, organization, institutions and
society
3. Duration - refers to the questions of how long a particular change form
after it has been accepted
4. Magnitude - may be based on a three part scheme of incremental or
marginal, comprehensive, and revolutionary changes
5. Rate - may be based on any arbitrary scale such as fast or slow,
continuous or spasmodic, orderly or erratic
Social Change is the transformation of culture and social institutions over
time.

1. Social Change is universal although the rate of change varies.

2. Social Change is both intentional and unplanned.
3. Social Change is often controversial.
4. Social Change has variable consequences.
(Macionis, 1991)
DEVELOPMENT

➢ as a vision, description, or measure of the state being of a desirable

society
➢ as a historical process of social change in which societies are
transformed over long periods
➢ as a consisting of deliberate efforts aimed atimprovement on the part
of various agencies, including governments, all kinds of organizations
and social movements.
➢ too often, development is interpreted as being synonymous with
economic development, the increase in per capita GDP. (Stiglitz, 2002)

Development as a history and process

Four issues surrounding the definition of development (Sue Ellem Charlton)

1. The role of ethical and moral choice in development.

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 2. The structure of the international system in the late twentieth century
3. The influence and in some instances, domination of western norms and
institutions in development concepts and policies
4. The political control of development

Amartya Sen: Development as freedom

✓ Main purpose of development is to spread freedom and 'thousand

charms' to the unfree citizens
✓ Freedom is at once the ultimate goal of social arrangenments and the
most efficient means of realizing general welfare.
✓ Social institutions like markets, political parties, legislatures, the judiciary,
and the like contribute to development by enhancing individual
freedom and are in turn serve social values
✓ Values, institutions, development, and freedom are closely linked

PERSPECTIVES ON DEVELOPMENT

➢ According to Seers (1979) the purpose of development is to reduce

poverty. On the other hand, for Sen (1999) development involves
reducing deprivation and broadening choice. (economic perspective)
❖ Economic Development Perspective
➢ Economic development usually refers to the adoption of new
technologies, transition from agriculture-basedindustry-based
economy, and improvement in to general living standards.
❖ Sociological Perspective
➢ Puts people at the center of development, regards economic
growth as a means and not an end, protects the life
opportunities of future generations as well as the present and
respects the natural systems on which all life depends (Payne,
2005)

INDICATORS AND MEASUREMENTS USED TO CALCULATE DEVELOPMENT

➢ The UNDP (UN development programme) describes development as:

'the three essentials of development include the ability to lead a long
and healthy life, to acquire knowledge, and to have a decent
standard of life.
➢ Some people also believe that the political health of a country is an
important factor in its development, which includes freedom of
demonstration and speech.

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Indicators of Development

1. Gross Domestic Product (GDP)

➢ The value of all goods and services produced in the economy
divided by the population
2. Gross National Income
➢ Comprises the value witnn a country together with its income
received from other countries, less similar paymentsmade to other
countries.
➢ The GNI consists of: the personal consumption expenditures, the
gross private investment, the government consumption
expenditures, the net income from assets abroad (net income
receipts), and the gross exports of goods and services, after
deducting two components: the gross imports of goods and
services, and the indirect business taxes. The GNI is similar to the
gross national product (GNP), except that in measuring the GNP
one does not deduet the indirect business taxes.
3. Human Development Index
➢ This is a tool to measure the overall achievements in three basic
dimensions of human development, namely: longevity, knowledge,
and a decent standard of living. lt is premised on the principle that
human development cannot be measured by the yardstick of
income alone since income is a means, not an end, and there is no
automatic link between income growth and human progress. The

129
 Philippine Human Development Reports measures these dimensions
across provinces.
➢ serve as measure of how well a country has performed, not only in
terms of real income growth, but also in terms of social indicators of
people's ability to lead a long and healthy life, to acquire
knowledge and skills, and to have access to the resources needed
to afford a decent standard of living. Outcomes are measured
through 3 Components:
✓ state of health - State of health is reflected in the life expectancy
indicator.Life expectancy measures the number of years an
infant isexpected to live when born in a given year. lt
bestrepresents and ultimately reflects information on
physicalsafety, nutritional levels, efficacy of health
interventions,and other health indicators.
✓ level of knowledge and skill - Knowledge and the understanding
of one's natural, social and cultural environment greatly
increases the achievements that people can attain. Adult
literacy rate and enrollment ratios are the indicators used to
measure knowledge. Adult literacy rate shows the proportion of
the population who have basic reading and writing skills.
Enrollment ratios show the proportion of the population who are
receiving formal education at primary, secondary and tertiary
levels.
✓ level of real income - Livelihood and income provides for basic
expenditures and can be used for further improvement in human
capabilities. It also reflects the extent to which people are
productive contributors to societal development. To estimate
income levels, gross national product (GNP) per capita is used.
GNP measures the value of goods and services produced by a
group of people within a year. The total value is divided by
population size to arrive at average income.
4. Demographic indicators
➢ Birthrate - number of live birth per thousand of population per year
➢ Mortality rate - a measure in the number of deaths in a particular
population, scaled to the size of that population, per unit of time.
➢ Morbidity rate - the rate at which a disease or illness occurs in a
population and can be used it determine health of a population
and its healthcare needs.
➢ Life expectancy - number of years a person can expect to live

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Important attributes of life:

• Quality of Life - means that development is measured in relation to the

health and nutrition status of the people, education. Legal status,
public participation, etc.
a. Capacity to do - the ability to perform the things one wants to do
and covers a wide range of activities and situations that a person
can participate in his/her pursuit of a better life such as:
✓ To do productive and satisfying work
✓ To have control over one's income
✓ To enjoy nature and the natural environment
✓ To care for others
✓ To bear and rear children
✓ To travel in search for opportunities
B. Capacity to be- be able to become the kind of person one aspires
to be, given the opportunities and resources available, able to
attain objectives for a better life (be knowledgeable and skillful, well
nourished, be confident of one's abilities, achievements,
independence, power, etc.)
• Length of Life - means more economically productive years for
members of the society. (This would include the citizen's meaningful
participation in development).

SOCIAL DEVELOPMENT

Characteristics of Social Development

➢ Linked to economic development

➢ Interdisciplinary focused
➢ The goals of growth and change are expliciit
➢ Progressive in nature - always towards human betterment
➢ Interventionists: it is the result of social and economic policies and
planning

What is new about social development in social work?

Old New

Problem-based Strengths-based

Welfare Social Investments

Support Growth

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 Entitlement Empowerment

Correcting Deficiencies Realizing Potentials

Dependency Enterprise

Subsistence Asset-building

Consumption Building social and human

capital

MORAL PRINCIPLES OF DEVLOPMENT

1. Human dignity
➢ Core value which serves as the foundation for development
➢ It is a principle which recognizes the humanness of man; that man is
endowed with rights and has certain humarn faculties to perfect or
maximize.
2. Popular Participation
➢ A principle which means that people or the recipients of
development initiatives should not be treated simply as receivers or
beneficiaries of development rather they should be involved in the
process of planning and implementing programs. They should
always be involved and consulted on matters affecting their
welfare.
3. Empowerment
➢ Development should provide opportunities for people to know and
analyze their own community problems and meet their own needs
with less assistance from others. It should provide skills to encourage
people to become more self-reliant.
4. Common good
➢ Development should be for the welfare of the majority and not
simply of the few or the powerful.
5. Social Justice
➢ Development should provide for the equitable distribution of wealth,
power and opportunities among families, groups, communities, and
nations. Those who have more should provide opportunities for
those who have less in life.
6. Sustainability (Intergenerational Equity)
➢ Development should not only look at the needs of the present
generation but also that of the next generation. It should meet
people's needs not only on a short-term basis, but should meet
lasting or long term needs.

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 7. Social Responsibility
➢ A principle which means that everyone is a steward of society.
everyone should be involved in addressing social issues and
problems. It emphasizes the social dimension of development and
addressing social problems. Everyone is co-responsible for the
welfare of society.

CORE VALUES OF DEVELOPMENT

A. Sustenance
B. Self-esteem
C. Freedom
D. Economic sectors
There are 5 types of economic sectors:
• Primary - focuses on the extraction of natural resources from the
earth. e.g., agriculture and mining
• Secondary - focuses on manufacturing the natural resources
extracted by the primary sector to create new products e.g.,
automobile production
• Tertiary - this sector provides services to the consumers e.g., lawyer,
doctors, salesperson
• Quaternary - teh activities in this sector are focused on acquiring,
processing, and sharing information or knowledge. e.g., teachers,
researchers
• Quinary - this sector's role is to make decisions e.g., president

SELECTIVE PERSPECTIVE AND THEORIES

a. Evolutionary Perspective
➢ Most evolutionary theories of social change have adapted the
approach of identifying a succession of stages through which
human societies have progressed, from the supposedly relatively
simple patterns of our remote ancestors to the complexity an
diversity of the present way (Noble, 2000).
➢ August Comte
- conceptualized that there are three stages of social evolution which relate
both to the development of human thought from primitive superstition to
modern scientific reason, and to the changing order which the evolution of
consciousness give rise to (Noble, 2000).

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 Stages of Dominant mode of Dominant social
development thought groups

Theological Supernatural / Priests and warriors

religious

Metaphysical Philosophical / Lawyers and

theoretical theologians

Positive Scientific Scientists and

engineers

B. Structural Functionalist
➢ Society is stable, orderly system characterized by societal
consensus, whereby the majority of members show a common set
of values, beliefs, and behavioral expectations.
❖ Talcott Parsons
➢ The character of social system is determined by five pattern
variables:
a. particularism vs. universalism;
b. ascription vs. achievement;
c. affectivity vs. affective neutrality;
d. collective orientation vs. self-orientation;
e. diffuseness vs. Specificity
(Noble, 2000; Peet & Hartwick, 2009)
➢ Parsons argued that four functions are imperatives i.e., they are
necessary for or characterized by all systems. If they are to survive,
all systems must engage in four sets of activities aimed at meeting
their needs:
1. Adaptation (A) or the need for a system to adjust to its
environment and adjust the environment to its needs;
2. Goal attainment (G) or the need for a system to define and
achieve its primary goals;
3. Integration (I) or the need for a system to regullate the
interrelationship of its component parts;
4. Latency or pattern maintenance (L) Or the need for a system to
furnish, maintain, and renew the cultural patterns that create
and sustain individual motivation
(Ritzer, 2007).

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 C. Marxist Perspective
➢ Utilizing historical materialism, Marx postulated that every society,
whatever its stage of historical development, rests, on an economic
foundation- the mode of production which has two elements:
a. Forces of production - physical or technological arrangements of
economic activity
b. Social relations of production - the pattern of organization,
management and exploitation by those who own the means of
production of those who work creates the product
(Vago), 1996; Noble, 2000).
➢ The successive stages in the development of history are
characterized by the type of economic production:
• Tribal ownership, a type of primitive communism
• Ancient or slave mode of production
• Feudal mode of production
• Capitalism
• Communism
➢ For Marx, the mode of production is the substructure upon which
the rest of society the superstructure, is built. Social institutions such
as the government, education, and religion are dependent on the
mode of economic production in a given society (Vago, 1996).
➢ As Marx (1859) said: In the social production of their life, men
inevitably enter definite relations, which are independent of their
will, namely relations or production which orresponds to a definite
stage of development of their material productive forces. The sum
total of these relations of production constitutes the economic
structure of society. The real foundation on which raises a legal and
political Superstructure and to which correspond definite forms of
social consciousness. The mode of production of material life
conditions the social, political and intellectual life process in
general. It is not the consciousness of men that determines their
existence, but their social existence, determines their consciousness.

D. Dependency Theory
❖ Andre Gunder Frank
➢ Contemporary underdevelopment is in large part the historical
product of past and continuing economic and other relations
between the satellite underdeveloped and the now developed
metropolitan Countries (Frank, 1966)
➢ Noble (2000) summarizes the key points in Frank's dependency
theory:

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 ✓ Economic neo-colonialism was responsible for perpetuating
underdevelopment of the poorer countries in the interests of
the capitalist powers.
✓ The basic structural feature of the capitalist system is the
division between the economies of the metropolitan core
and their satellites at the periphery.
✓ This pattern of metropole and satellite is repeated within each
society, with the metropolitan centers directing and exploiting
the satellite regional economies; and again, within each
region in turn, local metropoles surrounded by their satellite
local economies
✓ The concentration of capital at the core and the process of
expropriation of any economic surplus from the producers,
and its approbation by the owners of the capital,
systematically sip off resources from the peripheral regions.

E. Neoliberalism
➢ As Shah (2007) states, neoliberalism, in theory, is essemuaiy about
making trade between nations easier; it is about freer movement of
goods, resources and enterprises in a bid to always find cheaper
resources, to maximize profits and efficiency. To help accomplish
this, neoliberalism requires the removal or various controls deemed
as barriers to free trade, such as: tariffs, regulations, certain
standards, laws, legislation and regulatory measures; restrictions on
capital flows and investments.
➢ The main points of neoliberalism include:
1. The rule of the market (liberating "free" enterprise or private
enterprise from any bonds imposed by the government)
2. Cutting public expenditure for social services (and reducing the
social safety net): Deregulation (reducing government regulation
of everything that could diminish profits)
3. Privatization (selling state-owned enterprise, goods and services
to private investors)
4. Eliminating the concept ofthe public good" or" "community" and
replacing it with "individual responsibility (pressuring the poorest
people in the society to find solutions to their lack of health care,
education and social security all by themselves- then blame
them if they fail, as "lazy")

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 F. Post-Modernism
Fook (2002) explains:
➢ Postmodernism, in its simplest sense, involves a critique of totalizing
theories and the structures, boundaries and hierarchies which
maintain and enact them.
➢ Postmodernism acknowledges the existence of diverse and multiple
frameworks of discourses.
➢ Our meaning (and therefore our reality) is constructed out of the
language of our (multiple) discourses about it. In this way, there is no
one universal truth or reality, but instead "reality" is constructed out
of a multiplicity of diverse and fragmented stories.
➢ The grand narratives like Science and Reason, which sought to
provide a universal explanation and basis for human action and
inquiry, are now deconstructed and seen to be a mass of
conflicting ways of making sense of different experiences from
different perspectives.

G. Theory of Dualism
➢ Disarticulated development due to lack of integration between
traditional and modern sectors of the economy

H. False Paradigm Theories

➢ Faulty inappropriate advice from experts from developed countries

I. Big Push Theory

➢ A big push or big and comprehensive investment package can be
helpful to bring economic development. In other words, a certain
minimum amount of resources must be devoted for development
programs, if the success of programs is required

Wny is Big Push theory not applicable in third-world countries like the
Philippines ?
✓ Lack of resources to use - a big push strategy requires a huge
number of resources for a country to invest to attain development,
but third-world countries may have limitations in terms of Resources
and capacities.
✓ Heterogeneity of economic conditions - different regions in third-
world countries have different levels of economic conditions. This

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 strategy may be applicable to urban areas but may not to rural
areas.
✓ Poltcal lnstability - Third-world countries have various political issues,
and it may hinder or block the execution of a big push strategy.
✓ Concern of Sustainability - The execution of a big push strategy in
third-world Countries may only be applicable during the early
period but not in the long run due to limited resources.

J. Multidisciplinary perspective of development

1. Basic Needs Approach
➢ Developed during International Labour Organization's (|LO)
World Employment Conference in 1976.This approach to
development is one which gives priority to meeting the basic
needs of all the people. The actual content of BN has been
variously defined: they always include the fulfillment of certain
standards of nutrition, (fo0d and water), and the universal
provision of health and education services. They sometimes also
cover other material needs. such as shelter and clothing, and
non-material needs Such as employment, participation, and
political liberty. The idea of making the meeting of certain
Tundamental human needs a development priority is not a
recent idea nor a sophisticated one; it stems from the simple
view that development should be concerned with removing
absolute deprivation, as a first priority.

2. Rights-based Approach
➢ Originated from international human rights standards and
operationally directed to promoting and protecting human
rights. This approach seeks to analyze obligations, inequalities,
and vulnerabilities, and to tackle discriminatory practices and
unjust distributions of power that impede and undercut human
rights.
➢ This framework helps to promote sustainablity, empowering
people themselves (rights holders) especially the most
marginalized to participate in policy formulation and hold.
accountable those who have a duty to act (duty bearers).
o Duty Bearers - refers to the non-state or state actors who have
the responsibility to promote, uphold, protect, and fulfill the
human rights of rights holders.
o Rights Holders - are individuals who have human rights and
entitled to be protected from any abuse to their rights.

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 ➢ RBA has 5 principles which are known as PANEL:
✓ Participation - evervone has the right to participate in the
decision making process.
✓ Accountability - duty bearers have the responsibility and are
accountable to ensure the protection and fulfllment of the
human rights of rights holders.
✓ Non-discrimination and equality - all individuals are entiled to
their rights without discrimination of any kind.
✓ Empowerment - everyone is entitled to claim and exercise
their rights
✓ Legality - the approach should have a legal basis.

3. Human Development Approach (Mahbub ul Haq)

➢ An approach that is focused on people and their opportunities and
choices. It is about the expanding of the richness of human life,
rather than simply the richness of the economy in which human
beings live.
a. Human Development focuses on improving the lives people lead
rather than assuming that economic growth will lead,
automatically, to greater well-being for all. Income growth Is
seen as a means to development, rather than an end in itself.
b. Human development is about giving people more freedom to
live lives they value.
c. Human development is, fundamentally, about more choice. It is
about providing people with opportunities, not insisting that they
make use of them.

4. Capability Approach (Amartya Sen)

➢ Theoretical framework that entails two core normative claims: first,
the claim that the freedom to achieve well-being is of primary moral
importance, and second, that freedom to achieve well-being is to
be understood in terms of people's capabilities, that is, their real
opportunities to do and be what they have reason to value
➢ In Development as Freedom, Sen outlines five specific types of
freedoms:
a. Political freedoms refer to the ability of the people to have a
voice in government and to be able to scrutinize the authorities.
b. Economic facilities concern both the resources within the market
and the market mechanism itself. Any focus on income and

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 wealth in the country would serve to increase the economic
facilities for the people.
c. Social opportunities deal with the establishments that provide
benefits like healthcare or education for the populace allowing
individuals to live better lives.
d. Transparency guarantees allow individuals to interact with some
degree or trust and knowledge of the interaction.
e. Protective security is the system of social safety nets that prevent
a group affected by povety from being subjected to terrible
misery.

5. Sustainable Development
➢ It Is a muitidisciplinary perspective pursuing both the development
of the human person and society but also preserving the natural
environment for future generations. A long range perspective in
social development is yo look into the effect of development
approaches on the environment and consequently on future
generations.
➢ Different areas of focus of sustainable development:
A. Culturally sustainable
B. Politically sustainable
C. Ecoomically sustainable
D. Manageably sustainable
E. Environmentally sustainable
6. Gender and Development
➢ Development perspective and process that are participatory and
empowering, equitable, sustainable, free from violence, respectful
of human rights, supportive of self-determination and actualization
of human potentials; asserts that women are active agents of
development. (Magna Carta of Women of the Philippines)
➢ Key concepts in GAD:
• Gender - Society or culture prescribes as proper, roles, behavior
personal identities and relationships
• Gender roles - Vary among societies. which in societies and
ourselves they are not bound to either men or women.
• Sex - As an analytical category, sex distinguishes males and
females, exclusively by biological characteristics
• Gender Equality implies that both men and women enjoy equal
power and opportunities in areas such as financial
independence, education, and personal development.

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 • Women's empowerment plays a crucial role in achieving gender
equality, encompassing aspects ike enhancing a woman's self-
esteem, declsion-making authority, access to resources, control
over her life, and the ablity to instigate change.
• Gender Equity on the other hand, pertains to fair treatment
based on the distinct needs of men and women. This may
involve equal treatment or different but equivalent treatment in
terms of rights, benefits, responsibilities, and opportunities.
• Intersectionality, an approach introduced by Kimberlé Crenshaw
and essential to women, gender, and sexuality studies, is an
analytical approach that examines how various factors uch as
race, class, gender, sexuality, age, and ability intersect and
mutually shape an individual's identity. It recognizes that people
simultaneously experience and navigate multiple aspects of
identity, and the meanings of these aspects are interconnected.
• Gender Mainstreaming - Strategy for making women's and men's
concerns and experiences an integral dimension of the design,
implementation, monitoring and evaluation of policies and
programs in all political, economic, societal spheres so that men
and women benefit equally and inequality is not perpetuated.

7. Feminist Perspective
➢ Lengermann and Niebrugge (2007) explain the varieties of feminist
theory:
o Feminist theory is a generalized, wide-ranging system of ideas
about social life and numan experience developed from a
woman-centered perspective.
o Gender is understood as the socially constructed patterning of
masculinity and femininity and of the relationships between men
and woman
o One type of feminist theory that focuses on gender difference is
cultural feminism which extols the positive aspects of what is seen
as the female character or feminine personality. Explanatory
theories locate the source of gender differences in biology,
institutional roles, socialization, and social interaction
o Another type of feminist theory focuses On gender inequality.
Associated with this is liberal feminism which argues that woman
may claim equally with men on the basis of an essential human
capacity for reasoned moral agency, that gender inequality is
the result of a sexist patterning of the division of labor, and that

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 gender equality can be produced by transforming the division of
labor through the re-patterning of key institutions such as law,
work, family, education, and media
o Another typeof feminist theory focuses on gender oppression.
Theories of gender oppression describe women's situation as the
consequence of a direct power relationship between men and
women in which men have fundamental and concrete interest
in controlling, using, subjugating, and oppressing women.
Associated with this variety is radical feminism which is based on
the belief that women are of absolute positive value as women,
a belief asserted against what they claim to be the universal
devaluing of women, and that women are everywhere
oppressed by the system of patriarchy.
o Still another type focuses on structural oppression. Structural
oppression recognize that women's experience of difference,
inequality, and oppression varies by their social location within
capitalism, patriarchy, and racism. Oppression results from the
fact that some groups of people derive direct benefits from
controlling, using, subjugating, and oppressing other groups of
peeople. Associated with this type is socialist feminism which
seeks to bring together Marxian and radical feminist thought.

8. Social Movements
➢ Social movements are purposeful, organized groups striving to work
toward a common goal.
➢ These groups might be attempting to create change to resist
change (anti-globalization movement), or to provide
disenfranchised (civil rights movements).
➢ Life cycle/Stages of social movements: Blumer (1969) and Tilly (1978)
a. Emergence - Preliminary stage: people become aware of an
issue and leaders emerge.
b. Coalescence: when people join and organize in awareness.
c. Institutionalization/Bureaucratization: the movement no longer
requires grassroots volunteerism: it is an established organization,
typicaly populated with a paid staff
d. Decline can occur in five ways:
✓ Repression: authorities, or agents acting on behalf of the
authorities, use measure (sometimes violent) to control or
destroy a social movement.

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 ✓ Co-optation: highly dependent on centralized authority or on
charismatic leadership, through co-optation
✓ Success
✓ Failure
✓ Establishment within the mainstream.

Theoretical Perspective on Social Movement:

• Resource mobilization theory: focuses on the purposive organizational

strategies that social movements need to engage in to asuccesstuly
mobilize support, compete with other social movements and
opponents, and present political claims and grievances to the state
• Framing theory: focuses on the way social movements make appeals
to potential supporters by framing or presenting their issues in a way
that aligns with commonly held values, beliefs, and common sense
attitudes.
• New social movement theory: focuses on the unique qualities that
define the “newness" of post-materialist social movements like the
Green, Feminist, and Peace Movements.

➢ Types of movements:
a. Reform movements - seek to change something specific about
the social structure
b. Revolutionary movements - seek to completely change every
aspect of society
c. Redemptive movements - "meaning seeking," and their goal are
to provoke inner change or spiritual growth in individuals.
Organizations pushing these movements might include
Alcoholics Anonymous, New Age, or Christian fundamentalist
groups.
d. Alternative movement- are focused on self-improvement and
limited, specific changes to individual beliefs and behaviour.
These include groups like the Slow Food movement, Planned
Parenthood. and barefoot jogging advocates.
e. Resistance movements- seek to prevent or undo change to the
social structure.

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Social Welfare
Policies,
Programs and
Services

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 SOCIAL WELFARE POLICIES, PROGRAMS, AND SERVICES

A. SOCIAL WORK STATISTICS

a. Statistics and Social Work, Differences, Importance, Uses and Functions

• STATISTICS
❖ Definitions:
- Statistics is defined as “the science and art of development and
application of the most effective methods of collecting, tabulating,
and interpreting quantitative data in a such a manner that the
fallibility of conclusions and estimates may be assessed by means of
inductive reasoning based on the mathematics of probability.”
- Data is defined as “information that is represented by numbers or by
attributes.”
- Variables is defined as “a characteristic or attribute of persons or
objects which can assume different values or labels for different
persons or objects under consideration.”
o Discrete variable assumes a finite or at most a countable infinite
number of values.
o Continuous variable assumes the infinitely many values
corresponding to a segment of the number line.
o Qualitative variable yields categorical responses such as sex,
occupation, marital status, and tribe.
o Quantitative variable produces numerical observations such as
weight, height, and number of pets owned.
- Measurement is defined as “the process of determining the value or
label of a particular variable for a particular experimental unit.”
- Experimental Unit is defined as “the element or object on which a
variable is measured.”
- Population consists of all of the objects that possess a specified set of
characteristics.
- Sample consists of some but not all of the objects in a population.
❖ Role of Social Statistics: It is part of the larger scientific or research
process and that research process starts with a simple research question.
It is the starting point. Ask a question about the world we live in. Device
a plan, collect data, analyze data.
❖ Methods of Applied Statistics:
- Descriptive statistics is the use of numbers and graphs.
- Inferential statistics uses probability to determine how confident we
can be that the conclusions we make are correct.
❖ Univariate, Bivariate, and Multivariate Statistics:
- Univariate pertains to a single variable at a time.

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 - Bivariate conveys the relationship or lack of thereof between two
variables. Two variables are related (associated) when the values of
one variable vary, differ, or change according to those of the other.
- Univariate involves three or more variables at a time. It often concerns
whether one variable actually affects (i.e., causes) another. There is
a causal relationship.
❖ Levels of Measurement:
- Nominal Level of Measurement involves data that consist of names,
labels, or categories only. The data cannot be arranged which is
better. Categorical variables. Communicates whether any two
individuals are the same or in different in terms of the variable being
measured. This is for qualitative only.
- Ordinal Level of Measurement is characterized by data that may be
arranged in some order, but difference between data values either
cannot be determined or are meaningless (provides information
about relative comparisons but the degrees of difference are not
available).
- Interval Level of Measurement involves data that may be arranged
in some order and meaningful amounts of differences between data
can be determined (Data may lack an inherent zero starting point,
and differences are meaningful but ratios are not). Precise
magnitude of the difference.
- Ratio Level of Measurement is a modification of the interval level in
which there is an inherent starting point (the starting point makes ratio
meaningful).

• SOCIAL STATISTICS
❖ Definition: Social statistics is a field that utilizes statistical methods to study
various aspects of human behavior, social structures, and societal
trends. It is a crucial tool for researchers and policymakers in
understanding and making decisions about social issues. These
observations can help our understanding of society. Social Statisticians
are concerned with such questions as:
- How are populations growing?
- Are wealthy people happier?
- Is society becoming more tolerant of diversity?
- How do people cope with financial hardship?
- Do people with higher qualifications earn more?
- Does volunteering increase your sense of wellbeing?
❖ Patterns and Relations: Statistical analysis techniques can be used to
explore patterns and underlying relationships in data sets, such as: in
relation to people’s responses to multiple questions in a survey; to take
account of aspects of people's circumstances such as the

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 unemployment rates of where they live; the educational standards of
the class and/or school they are studying in; to measure change through
longitudinal surveys where people are interviewed at different points
during their lives.
❖ Covariance-based Methods:
- Regression Analysis – a set of statistical methods used for the
estimation of relationships between a dependent variable and one
or more independent variables.
o Formula: 𝑌𝑖 = 𝑓(𝑋𝑖 , 𝛽) + 𝑒𝑖 , where 𝑌𝑖 is the dependent
variable, 𝑓 is the function, 𝑋𝑖 is the independent variables, 𝛽
is the unknown parameters, and 𝑒𝑖 is the error terms.
- Canonical Correlation – used to identify and measure the
associations among two sets of variables
o Formula: 𝑋 = (𝑥1 , … , 𝑥𝑛 )𝑇
- Causal Analysis – a process for identifying and addressing the causes
and effects of a challenge or problem.
- Factor Analysis – a sophisticated statistical method aimed at
reducing a large number of variables into a smaller set of factors.
o Formula: 𝑥𝑗 = 𝑎𝑗1 𝐹1 + 𝑎𝑗2 𝐹2 +. … … , 𝑎𝑗𝑚 𝐹𝑚 + 𝑒𝑗
- Linear Discriminant Analysis - an approach used in supervised
machine learning to solve multi-class classification problems.\
o Formula: 𝑍 = 𝛽1 𝑥1 + 𝛽2 𝑥2 +. … + 𝛽𝑑 𝑥𝑑
- Path Analysis – a precursor to and subset of structural equation
modeling, is a method to discern and assess the effects of a set of
variables acting on a specified outcome via multiple causal
pathways.
- Structural Equation Modeling – a statistical model that extends factor
analysis and multiple regression analysis and can be used to
understand and identify the putative causal associations between
latent and observed variables.

• TABULAR AND GRAPHICAL PRESENTATIONS

❖ Bar Chart – it contains a vertical axis and horizontal axis and displays
data as rectangular bars with lengths proportional to the values that
they represent; a useful visual aid for marketing purposes.

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❖ Histogram – this closely resembles the bar chart with the basic difference
that a bar chart uses the class limits for the horizontal axis while the
histogram employs the class boundaries. Using the class boundaries
eliminates the spaces between rectangles, thus giving it a solid
appearance.

❖ Frequency Polygon – it is constructed by plotting the class marks against

the frequency. Straight lines connect the set of points formed by the
class marks and their corresponding frequencies together with
additional class marks at the beginning of the distribution.

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❖ Ogives – it represents a cumulative frequency distribution. It is
constructed by plotting class boundaries on the horizontal scale and the
cumulative frequency less than the upper-class boundaries in the
vertical scale.

❖ Pie Chart – a circle divided into pie-shaped sections, which look like slices
of a pizza.

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• CENTRAL TENDENCY
❖ Mean, often called the average, of a numerical set of data, is simply the
sum of the data values divided by the number of values. This is also
referred to as the arithmetic mean. The mean is the balance point of a
distribution.
𝑠𝑢𝑚 𝑜𝑓 𝑡ℎ𝑒 𝑣𝑎𝑙𝑢𝑒𝑠
- Formula: 𝑚𝑒𝑎𝑛 =
𝑡ℎ𝑒 𝑛𝑢𝑚𝑏𝑒𝑟 𝑜𝑓 𝑣𝑎𝑙𝑢𝑒𝑠
❖ Median is the number that falls in the middle position once the data has
been organized. Organized data means the numbers are arranged from
smallest to largest or from largest to smallest. The median for an odd
number of data values is the value that divides the data into two halves.
- Formula: If n represents the number of data values and n is an odd
𝑛+1
number, then the median will be found in the 𝑚𝑒𝑑𝑖𝑎𝑛 = 2
❖ Mode of a set of data is simply the value that appears most frequently
in the set.
- Unimodal – if a data set has only one value that occurs most often.
- Bimodal – if a data set that has two values that occur with the same
greatest frequency.
- Multimodal – when a set of data has more than two values that occur
with the same greatest frequency.

• FOUR MAIN MEASURES OF VARIABILITY

❖ Range: The range is the distance from the largest score to the smallest
score in a distribution.
- Formula: 𝑥 = 𝑎 − 𝑏, where 𝑥 is the range, 𝑎 is the largest score, and 𝑏
is the smallest score.

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 ❖ Interquartile range: The interquartile range is the range covered by the
middle 50% of the distribution.
- Formula: 𝑥 = 𝑄3 − 𝑄1, where 𝑥 is the interquartile range, 𝑄3 is the third
quartile (75%), and 𝑄1 is the first quartile (25%).
❖ Standard deviation: The standard deviation is the average amount of
variability in your dataset. It tells you, on average, how far each value
lies from the mean. A high standard deviation means that values are
generally far from the mean, while a low standard deviation indicates
that values are clustered close to the mean.
∑(𝑋− 𝜇)2
- Formula: 𝜎 = √ , where 𝜎 is the population standard deviation,
𝑁
∑ is the sum of…, 𝑋 is each value, 𝜇 is the population mean, and 𝑁 is
the number of values in the population.
❖ Variance: The variance is a measurement of the spread between
numbers in a data set.
∑(𝑥𝑖 −𝑥̅ )2
- Formula: 𝑠 2 = , where 𝑠 2 is the sample variance, 𝑥𝑖 is the value
𝑛−1
of the one observation, 𝑥̅ is the mean value of all observations, and
𝑛 is the number of observations.

• SAMPLING DISTRIBUTION
❖ Definition: Sampling distribution or finite-sample distribution is the
probability distribution of a given random-sample-based statistic.
𝜎
- Formula: 𝜎𝑥̅ = 𝑛
√

• STANDARD NORMAL DISTRIBUTION

❖ Definition: Also called the z-distribution, is a special normal distribution
where the mean is 0 and the standard deviation is 1.
𝑥− 𝜇
- Formula: = 𝜎 , where 𝑥 is the individual value, 𝜇 is the mean, and 𝜎
is the standard deviation.

b. STATISTICAL MODELS
• ANALYSIS OF VARIANCE (ANOVA)
❖ Definition: ANOVA is a statistical test used to analyze the difference
between the means of more than two groups. A one-way ANOVA uses
one independent variable, while a two-way ANOVA uses two
independent variables.
𝑀𝑆𝑇
- Formula: = 𝑀𝑆𝐸 , where MST is the mean of the sum of the squares due
to treatment, and MSE is the mean of the sum of the squares due to
errors.

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• CHI-SQUARED TEST
❖ Definition: Chi-squared test as a statistical hypothesis test used in the
analysis of contingency tables when the sample sizes are large.
(𝑂𝑖 −𝐸𝑖 )2
- Formula: 𝑥 2 = ∑ , where 𝑥 2 is the chi squared, 𝑂𝑖 is the observed
𝐸𝑖
value, and 𝐸𝑖 is the expected value.

• PEARSON CORRELATION COEFFICIENT

❖ Definition: Pearson Correlation Coefficient is a correlation coefficient
that measures linear correlation between two sets of data.
∑(𝑥𝑖 − 𝑥̅ ) (𝑦𝑖 −𝑦̅)
- Formula: 𝑟 =
√∑(𝑥𝑖 − 𝑥̅ ) (𝑦𝑖 −𝑦̅)2

• SPEARMAN’S RANK CORRELATION COEFFICIENT

❖ Definition: Spearman’s Rank Correlation Coefficient is a method of
testing the strength and direction (positive or negative) of the correlation
(relationship or connection) between two variables.
6 ∑ 𝑑𝑖2
- Formula: 𝜌 = 1 − 𝑛(𝑛2 −1)

• PROBABILITY THEORY
❖ Definitions:
- Probability theory, a branch of mathematics concerned with the
analysis of random phenomena. The outcome of a random event
cannot be determined before it occurs, but it may be any one of
several possible outcomes. The actual outcome is considered to be
determined by chance.
- The word probability has several meanings in ordinary conversation.
Two of these are particularly important for the development and
applications of the mathematical theory of probability. One is the
interpretation of probabilities as relative frequencies, for which simple
games involving coins, cards, dice, and roulette wheels provide
examples. The distinctive feature of games of chance is that the
outcome of a given trial cannot be predicted with certainty,
although the collective results of a large number of trials display some
regularity.

B. SOCIAL WORK RESEARCH I

a. Overview of Social Work Research

• SOCIAL WORK RESEARCH
❖ Definition:

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 - Social work research may be defined as systematic investigation into
the problem in the field of social work. The study of concepts,
principles, theories underlying social work methods and skills are the
major areas of social work research. It involves the study of the
relationship of social workers with their clients; individuals, groups or
communities on various levels of interaction or therapy as well as their
natural relationships and functioning within the organizational
structure of social agencies.

• COMMON FORMS OF RESEARCH

❖ Qualitative research determines relationships between collected data
and observations based on mathematical calculations. Statistical
methods can prove or disprove theories related to a naturally existing
phenomenon. Researchers rely on qualitative observation research
methods that conclude “why” a particular theory exists and “what”
respondents have to say about it.
❖ Quantitative research is for cases where statistical conclusions to collect
actionable insights are essential. Numbers provide a better perspective
for making critical business decisions. Quantitative research methods are
necessary for the growth of any organization. Insights drawn from
complex numerical data and analysis prove to be highly effective when
making decisions about the business’s future.
❖ Other forms:
- Descriptive: In a descriptive composition, a researcher is solely
interested in describing the situation or case under their research
study. It is a theory-based design method created by gathering,
analyzing, and presenting collected data. This allows a researcher to
provide insights into the why and how of research. Descriptive design
helps others better understand the need for the research. If the
problem statement is not clear, you can conduct exploratory
research.
- Experimental: Experimental research establishes a relationship
between the cause and effect of a situation. It is a causal research
design where one observes the impact caused by the independent
variable on the dependent variable. For example, one monitors the
influence of an independent variable such as a price on a
dependent variable such as customer satisfaction or brand loyalty. It
is an efficient research method as it contributes to solving a problem.
- Correlational research: Correlational research is a non-experimental
research technique. It helps researchers establish a relationship
between two closely connected variables. There is no assumption
while evaluating a relationship between two other variables, and

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 statistical analysis techniques calculate the relationship between
them. This type of research requires two different groups.
- Diagnostic research: In diagnostic design, the researcher is looking to
evaluate the underlying cause of a specific topic or phenomenon.
This method helps one learn more about the factors that create
troublesome situations.
- Explanatory research: Explanatory design uses a researcher’s ideas
and thoughts on a subject to further explore their theories. The study
explains unexplored aspects of a subject and details the research
questions’ what, how, and why.

• ETHICS OF SOCIAL WORK RESEARCH

❖ Basic Ethics:
- Beneficence means that some demonstrable benefit could derive
from any proposed research, if not to the research participants
themselves then at least to others like them in future. This means that
research must be methodologically sound so that any findings from it
will have scientific credibility. Adherence to this principle also means
that any possible risks to research participants must be anticipated
and steps taken to minimize them. Conflicts between researchers
and institutional review board (IRB) committees can arise based on
differences of opinion about what constitutes sound research,
especially when it comes to community-based participatory (CBPR)
studies. More than this, non-malfeasance, or the injunction to do no
harm, also arises from the principle of beneficence. In some national
and organizational codes, this principle, also traced to the
Nuremberg Code, is separately mentioned. Although there are other
examples of misconduct in medical and social science research, the
Tuskegee experiment, which ended in 1972, is the most widely known
example of malfeasance in medical research in the United States
(Jones, 1993). In this study, poor and mostly illiterate African American
sharecroppers with syphilis were studied without consent, without
information about the true nature of their disease, and without
effective treatment even when it became available, practices that
are no longer permissible in treatment research.
- Justice in research focuses on the fair distribution of burden and
benefit” (Antle & Regehr, 2003, p. 138), meaning that all involved—
those who are studied and those who do the studying—are treated
with fairness, which also applies to traditionally understudied groups
and communities. For social work, justice also means that research
activities and findings should promote social justice and equity in
society (Antle & Regehr, 2003) and empower research participants.
The Society for Social Work and Research (SSWR; Herrenkohl et al.,

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 2020) and the Group for the Advancement of Doctoral Education
(GADE) have issued statements on antiracism in social work research
(Lee et al., 2020).
- Respect means that the autonomy, privacy, and self-determination
of those who participate in research must be safeguarded. Anyone
who is part of a study must consent to do so voluntarily and after
being fully informed of what will be required of them, including any
risks they might incur during the conduct of the study or from the
dissemination of its findings. Anonymity and confidentiality are not
the same, and risks to confidentiality must be addressed at all stages
of the research process from recruitment to measures taken to
safeguard research data once collected and the collection,
storage, and sharing of research data. Password-protected storage
and encryption of data are common measures used.
❖ Minimizing Risk
- Informed consent: Informed consent has two vital dimensions: that
research participation is voluntary, and that consent is given in full
knowledge about the nature of the study and of what will be required
of study participants. Models of consent forms can be obtained from
individual IRBs and from the website of the federal Office for Human
Research Protection (OHRP). The nature, probability, and likely
severity of any risks of research participation must be described in a
consent form. However, initial consent to participate leaves
participants free not to answer specific questions or take part in
specific procedures and to withdraw their consent at any point
during the conduct of the study—rights that must also be made clear.
- Confidentiality: Social workers know how to protect the
confidentiality of client information and therefore understand the
need for secure storage of research data. Identifiable data on
research participants, including signed consent forms and lists linking
names to research codes, must be securely stored separately from
the research data itself, which is identified only by a code number or
pseudonym. Data stored electronically must also be secure—that is,
password-protected and preferably encrypted. When and how data
will be destroyed must also be specified. Federally funded research
requires that data be made available to other scholars via research
repositories. De-identification of such data is therefore essential.
❖ Current Issues and Future Trends
- Qualitative methods: Qualitative researchers have been more ready
than others to consider power differentials in the relationships
between researchers and study participants addressing the
principles of justice and respect They also call for researcher
reflexivity, reciprocity, and participant empowerment and for
consideration of the implications of these factors for research ethics.

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- Participatory action and community-engaged research: Social work
researchers concerned with the social justice aims of research are
embracing an investigational model, most commonly called
participatory action research (PAR) or community-based
participatory research (CBPR), that seeks maximal power-sharing
between researchers and those being studied, individually and
collectively. In these kinds of studies, procedures and findings are
generated collaboratively over the course of a study, making it
difficult to comply with what IRBs require in an application for
approval of a study, since sampling plans, data-gathering
procedures, data-analysis plans, and even the nature of anticipated
findings are not predetermined. IRBs themselves may not be well
prepared to review such studies (Tamariz et al., 2015). Articulating the
risks and benefits of these kinds of research and explicating how
protections can be offered using different procedures is essential
(Khanlou & Peter, 2005).
- Internet-based studies: Research using the World Wide Web is now
more common, and ethical issues in Internet research is an important
area of discussion (Vitak et al., 2016; Association of Internet
Researchers, 2019). Internet research can simply involve recruiting
participants for conventional forms of data gathering such as surveys.
Chat rooms and other Internet sites Williams et al. (2017) can be used
for participant recruitment or as the source of study data. Informed
consent can be compromised without face-to-face interaction, as
when children represent themselves as adults and parental consent
is therefore not obtained. Anonymity or privacy of data collected
may be compromised because IP addresses might be included,
although some software allows data files to be generated without
them. In addition, when there is no face-to-face interaction, it is
difficult to determine if a study has produced distress in a participant.
- Big Data research: Ethics in Big Data research are an area of
controversy (Metcalf & Crawford, 2016; Rothstein, 2015), especially
with regard to consent and the inferred identity of participants
(Froomkin, 2019). Risks to privacy and instances of harm to
participants have occurred in such studies. IRB review of the ethics of
such studies is recommended. Doing Internet-based research,
including Big Data research, requires staying current with emerging
best practices in the ethical conduct of such studies.
- Decolonizing social work research: One dimension of research ethics
involves assessment of the aims and methods of research. The
research methods and ethical standards for the conduct of research
that guides social work research in the United States and elsewhere
derive from Western European concepts of scholarship. These date
back to the Enlightenment period when the development of modern

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 science was deeply entwined with colonialism. Smith (2012) describes
the expropriation of indigenous knowledge and the usual lack of
engagement of indigenous people in the design of the research and
presents models for respectful and constructive engagement with
indigenous people and communities. In Canada, Inuit people have
provided input into national guidelines on research ethics describe
collaborative and nonexploitative ways to conduct research in
Native American communities.

• COMMON WAYS OF KNOWING THE WORLD

❖ Intuition – the dictionary definition of intuition is instinctive knowing
(without the use of rational processes) or the impression that something
might be the case but you do not have a reason for that knowledge.
Intuition relies on justifications like “it feels right to me”.
❖ Authority – this approach relies on acquiring the knowledge from a
person who is a respected source of information on that particular
subject. This approach relies on the fact that we accept what is fixed or
established especially by order or authority. While there is always a
chance that the fact stated by the authority/expert might be
inaccurate, it can generally be a good starting point as it is one of the
quickest and easiest ways to obtain knowledge. But there are problems
with authoritative sources of knowledge too.
❖ Empiricism or Experience – this approach to acquiring knowledge relies
on the idea that all knowledge is gained through experience which can
be verified or disproved by observation, experimentation, or experience.
Philosophers John Locke (1632–1704) and David Hume (1711–1776)
argued that virtually all knowledge is based on experience. We gain
knowledge through sensory perception. Empirical or a posteriori
knowledge comes through senses. But we also know from research, that
our past experiences and motivations at the time of perceiving can
drastically influence our senses. There is also evidence that memory of
events does not remain constant. Nonetheless, empiricism is a vital
approach to gaining knowledge.
❖ Reasoning or Rationalism or Metaphysical World – this approach to
acquiring knowledge rests on the idea that reason is the primary source
of knowledge. Favored by many philosophers, it assumes that the
behavior of natural objects is governed by a set of laws and that people
can discover these laws by their efforts. That is, truth is knowable or can
be discovered independent of observations, purely through thinking,
including mathematical and logical reasoning and other thinking
processes. There is a priori knowledge that is supplied by our
consciousness independently of all experience, achieved by pure
reasoning alone. This type of reasoning begins with the search for true

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 premises. Then, by the use of logic, deduces natural laws from these
axiomatic truths.
❖ Scientific Method – empiricism and rationalism are the key cornerstones
of the scientific method. Scientists use reasoning (mostly deductive
reasoning) to provide a theoretical and empirical rationale for the
research, to develop hypotheses, and to determine the validity of the
results. And they make empirical observations under controlled
conditions and provide systematic documentation to reduce biases. This
provides objectivity to validate or refute the hypotheses. Thus, the
modern science stands tall on the two main pillars: rationalism and
empiricism.

b. OVERVIEW OF THE RESEARCH PROCESS

• SOCIAL RESEARCH PROCESS
❖ Disclaimer: It must be borne in mind that the process of social work
research is not completely identical to social research. In fact, there are
many similarities between this process and the traditional research
process. The process however, has some additional steps designed to
suit the objectives of social work research. By following the process social
work researchers are in a position to know precisely what intervention
was applied and how much effect was produced. The process also links
research and practice
❖ Steps for Conducting Social Work Research: (1) Identification of
problems; (2) Need assessment; (3) Selection of social work research
design; (4) Pre-intervention measurement (data collection); (5)
Introduce intervention; and (6) Assess the intervention effects (data
collection).
❖ Relevance: Social work is a practice profession. As such, the major
objective of social work research is to search for answers to questions
raised regarding interventions or practice effectiveness. In other words,
social work research attempts to provide knowledge about what
interventions or treatments really help or hinder the attainment of social
work goals. In addition, it also helps in searching for answers to problems
or difficulties faced by social work practitioners in the practice of their
profession. Ultimately it helps building knowledge base for social work
theory and practice. Social work research also deals with problems
faced by professional social workers, social work agencies and
community in its concern with social work functions. In other words, in
social work research the problems to be investigated are always found
in the course of doing social work or planning to do it (Dasgupta, 1968).
❖ Scope: Identification of social work needs and resources, evaluation of
programs and services of social work agencies are some of the areas in
which social work researches are undertaken. Social work research may

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 be conducted to know the problems faced by professional social
workers in social work agencies and communities in its concern with
social work functions. Thus, social work research embraces the entire
gamut of social work profession; concepts, theories, methods, programs,
services and the problems faced by social workers in their practice.
❖ Categories: (1) Studies to establish, identify and measure the need for
services; (2) To measure the services offered as they relate to needs: (3)
To test, gauge and evaluate results of social work intervention; (4) To list
the efficacy of specific techniques of offering services; (5) Studies in
methodology of social work.
❖ Research areas: (1) Community Development and Scope; (2)
Community Health (Including Mental Health); (3) Child Welfare; (4)
Women Welfare; (5) Youth Welfare; (6) Aged Welfare; (7) Welfare of SC
& ST Groups; (8) Poverty Alleviation; (9) Physical and Mental Disabilities:
(10) Juvenile Delinquency; (11) Crime and Correction etc.; (12)
Management of Social Welfare Department and Organization: (13)
Disaster Management; (14) Industrial Social Work; (15) Issues concerning
Advocacy and Networking; and (16) Other social sciences areas where
issues and concerns are significant for the profession.
❖ Goals and Limitations: Social work research offers an opportunity for all
social workers to make differences in their practice. There is no doubt
about the fact that social worker will be more effective practitioner
guided by the findings of social work research. Thus, social work research
seeks to accomplish the same humanistic goals, as does a social work
method. Social work research deals with those methods and issues,
which are useful in evaluating social work programs and practices. It
explains the methodology of social research and illustrates its
applications in social work settings. A substantive part of social work
practice is concerned with the micro-level practice, such as working
with individuals, groups, or a community. Social work research has to
take into consideration the limitations of micro level design of study and
techniques.

• COMMON RESEARCH PROCESS

❖ The Research Process: (1) Identify the problem; (2) Review the literature;
(3) Clarify the problem; (4) Clarify and define terms and concepts; (5)
Define the population; (6) Develop the instrumentation plan; (7) Collect
data; and (8) Analyze the data.
❖ Other Research Process:
- The Primary Stage, which includes:
o Observation – The first step in the research process is that of the
observation, research work starts with the observation which can
be either unaided visual observation or guided and controlled

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 observation. It can be said that an observation leads to research,
the results obtained from research result in final observations which
can play a crucial part in carrying out further research. Deliberate
and guided observations also play an important part in this
primary stage. This method is very simple and helps a great deal
in framing of the hypothesis as it is very accurate in nature but it
also has some major limitations like some of the occurrences may
not be open to the observation and the occurrences which may
be open for observation may not be studied conveniently.
o Interest - As studied in the above paragraph, research starts with
the observation and it leads to a curiosity to learn and gain more
and more about what has been observed. Hence it can be said
that observation results in the creation of an interest in the mind of
the researcher. The interest can be either academic in nature or
it may be a policy making interest. It may be a self-interest or a
group interest. Group interest is also referred to as the social
interest.
o Crystallization - It can be defined as the process involving the
designing of the definite form of research to be used in the study
of the subject matter that has been observed. During this stage,
the research project gets a concrete shape and structure.
o Formulating a research problem – a research problem can belong
to one of the following two categories – it can belong to the
category in which there can be relationships between various
variables or it may belong to the other category, which is based
on nature. In the beginning, it is important for a researcher to find
out the general interest or the subject matter, which he wants to
study. By this the researcher will be able to state a problem more
broadly and also in a much-generalized form then the ambiguities
linked to the problem can be referred and understood. This really
supports in the formulation of a problem of research. Although this
process is not that simple and requires many fruitful discussions in
order to achieve a proper conclusion or a decision.
o Primary Synopsis – Before starting with the actual study work, it is
very necessary for a researcher to prepare a summary or a plan
about the activities he has to perform in connection with research
operation. This will help him a lot to get a definite idea or an
understanding of what would be written in the final report.
o Conceptual Clarity – It is very much important for a researcher to
have in depth knowledge and understanding of the subject or the
topic he has to study as it helps a lot in achieving one’s goal and
objectives in a much easier and also a comparatively much
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 o Documentation – The documents help in providing important
information to a researcher, document is something in writing it
can be a record, files or diaries etc. may be published or
unpublished in nature. Documents can be extracted and can be
used in the research work.
- Secondary Stage, which includes:
o Research and Project Planning – Involves selection of the future
courses of action for conducting and directing a research project.
A research project plan gives a rational approach to research by
which one is able to decide in advance about what to do, how
to do, when to do, where to do and who is to do a particular task
in a specific activity.
o Research Project Formulation – After the planning of the project
has been done the researcher follows this with a practical
approach in order to carry out the project. This step of the
secondary stage involves the systematic setting forth of the total
research project, with an aim of conducting a systematic study.
o Data Collection – This step involves the in depth meaning for the
concepts that are to be investigated and looks forward to data
analysis, data requirement etc. Sources of understatement or
overstatement should be avoided and the data should be free
from any type of error. The data collection planning should be
done or implemented in a very careful manner, with the help of
specialist researchers. The data should be good and meaningful
in nature should not only be a collection of words but should
provide meaningful information.
o Classification and Tabulation – Classification can be defined as
the arrangement of the data into groups and classes depending
on the resemblance and the similarities. By classification, the data
can be condensed in a very elegant way by which the various
important features can be easily noticed i.e., one can easily
highlight the various salient features of the data at a glance.
Tabulation of the data can be defined as the orderly
arrangement of the data in columns and the rows this step also
helps a great deal in the condensation of the data and also in the
analysis of the relations, trends etc.
o Data Analysis – In this step, the collected data is arranged
according to some pattern or a particular format and this analysis
of the data is done mainly to provide the data with a meaning. It
is actually the computing of the some of the measures supported
by the search for the relationship patterns, existing among the
group of the data.

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 o Testing of Hypothesis – This step of testing acts as the back bone
of the data analysis. Various tests like “t” test, “z” test. Chi square
test are used by the statisticians for the testing of the hypothesis.
o Interpretation of Results – It is very important that the results are
interpreted into action recommendations and the results should
be able to refer to a decision i.e., should help in drawing a
conclusion.
- Final Stage, which includes:
o Conclusions and Recommendations – This act as the crux of the
research project work. Recommendations are based on the
conclusions obtained and further these conclusions are based on
the interpretation of the results of data analysis. But a major point
to be kept in mind here is that all these conclusions and the
recommendations should be linked to the research hypothesis
stated.
o Report Writing – For the researcher as well as the reader, report
writing is very crucial as it acts as the best way for communication
between the two. Report written must be very simple in nature with
easy language, high clarity. Report writing cannot be done by
everyone and requires an especial skilled person for this purpose.

C. SOCIAL WORK RESEARCH II

a. Ways of research instrumentation, data gathering, data tabulation, and

data analysis
• RESEARCH INSTRUMENTATION
❖ Definition: A Research Instrument is a tool used to collect, measure, and
analyze data related to your research interests. These tools are most
commonly used in health sciences, social sciences, and education to
assess patients, clients, students, teachers, staff, etc. A research
instrument can include interviews, tests, surveys, or checklists.
❖ Characteristics of a Good Research Instrument: (1) Valid and reliable; (2)
Based on a conceptual framework, or the researcher's understanding of
how the particular variables in the study connect with each other; (3)
Must gather data suitable for and relevant to the research topic; (4) Able
to test hypothesis and/or answer proposed research questions under
investigation; (5) Free of bias and appropriate for the context, culture,
and diversity of the study site; (6) Contains clear and definite instructions
to use the instrument.
❖ Types of Research Instrument:
- Interviews or the interaction where verbal questions are posed by an
interviewer to elicit verbal responses from an interviewee.

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 o Structured Interview: A formal set of questions posed to each
interviewee and recorded using a standardized procedure.
o Unstructured Interview: A less formal set of questions; the
interviewer modifies the sequence and wording of questions.
o Non-Directive Interview: An unguided interview, including open-
ended questions and use of spontaneous engagement.
o Focus Interview: An emphasis on the interviewees subjective and
personal responses where the interviewer engages to elicit more
information.
o Focus Group Interview: A group of selected participants are asked
about their opinion or perceptions concerning a particular topic.
- Observations (watching what people do) is a type of correlational
(non-experimental) method where researchers observe ongoing
behavior.
o Structured Observations: Research conducted at a specific place,
time, where participants are observed in a standardized
procedure. Rather than writing a detailed description of all
behaviors observed, researchers code observed behaviors
according to a previously agreed upon scale.
o Naturalistic Observation: The study the spontaneous behavior of
participants in natural surroundings. The researcher simply records
what they see in whatever way they see it.
o Participant Observation: A variation on natural observations
where the researcher joins in and becomes part of the group they
are studying to get a deeper insight into their lives.
- Surveys research encompasses any measurement procedures that
involve asking questions of respondents. The types of surveys can vary
on the span of time used to conduct the study. They can be
comprised of cross-sectional surveys and/or longitudinal surveys.
Types of questions asked in surveys include:
o Free-Answer: Also referred to as open-ended questions, these
include unrestricted, essay, or unguided questions.
o Guided Response Type: Recall-type questions asking the
participant to recall a set of categories. Multiple-choice or
multiple response questions.

• DATA COLLECTION
❖ Definition: Data collection is the process of collecting and evaluating
information or data from multiple sources to find answers to research
problems, answer questions, evaluate outcomes, and forecast trends
and probabilities. It is an essential phase in all types of research, analysis,
and decision-making, including that done in the social sciences,
business, and healthcare.

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- Primary Data Collection. Primary data collection involves the
collection of original data directly from the source or through direct
interaction with the respondents. This method allows researchers to
obtain firsthand information specifically tailored to their research
objectives. There are various techniques for primary data collection,
including:
o Surveys and Questionnaires: Researchers design structured
questionnaires or surveys to collect data from individuals or
groups. These can be conducted through face-to-face interviews,
telephone calls, mail, or online platforms.
o Interviews: Interviews involve direct interaction between the
researcher and the respondent. They can be conducted in
person, over the phone, or through video conferencing. Interviews
can be structured (with predefined questions), semi-structured
(allowing flexibility), or unstructured (more conversational).
o Observations: Researchers observe and record behaviors,
actions, or events in their natural setting. This method is useful for
gathering data on human behavior, interactions, or phenomena
without direct intervention.
o Experiments: Experimental studies involve the manipulation of
variables to observe their impact on the outcome. Researchers
control the conditions and collect data to draw conclusions
about cause-and-effect relationships.
o Focus Groups: Focus groups bring together a small group of
individuals who discuss specific topics in a moderated setting. This
method helps in understanding opinions, perceptions, and
experiences shared by the participants.
- Secondary Data Collection. Secondary data collection involves using
existing data collected by someone else for a purpose different from
the original intent. Researchers analyze and interpret this data to
extract relevant information. Secondary data can be obtained from
various sources, including:
o Published Sources: Researchers refer to books, academic journals,
magazines, newspapers, government reports, and other
published materials that contain relevant data.
o Online Databases: Numerous online databases provide access to
a wide range of secondary data, such as research articles,
statistical information, economic data, and social surveys.
o Government and Institutional Records: Government agencies,
research institutions, and organizations often maintain databases
or records that can be used for research purposes.
o Publicly Available Data: Data shared by individuals, organizations,
or communities on public platforms, websites, or social media can
be accessed and utilized for research.

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 o Past Research Studies: Previous research studies and their findings
can serve as valuable secondary data sources. Researchers can
review and analyze the data to gain insights or build upon existing
knowledge.
- Tools
o Word Association. The researcher gives the respondent a set of
words and asks them what comes to mind when they hear each
word.
o Sentence Completion. Researchers use sentence completion to
understand what kind of ideas the respondent has. This tool
involves giving an incomplete sentence and seeing how the
interviewee finishes it.
o Role-Playing. Respondents are presented with an imaginary
situation and asked how they would act or react if it was real.
o In-Person Surveys. The researcher asks questions in person.
o Online/Web Surveys. These surveys are easy to accomplish, but
some users may be unwilling to answer truthfully, if at all.
o Mobile Surveys. These surveys take advantage of the increasing
proliferation of mobile technology. Mobile collection surveys rely
on mobile devices like tablets or smartphones to conduct surveys
via SMS or mobile apps.
o Phone Surveys. No researcher can call thousands of people at
once, so they need a third party to handle the chore. However,
many people have call screening and won’t answer.
o Observation. Sometimes, the simplest method is the best.
Researchers who make direct observations collect data quickly
and easily, with little intrusion or third-party bias. Naturally, it’s only
effective in small-scale situations.

• DATA TABULATION
❖ Definition: Tabulation passes on to the meticulous arrangement of the
information in to two forms (i.e., Column wise and row wise
preparations). These columns and rows are systematically put in an order
and are horizontally arranged. The records, facts of any data or statistics
are tabulated and are represented in rectangular formation with
appropriate headings to put together clearly all the information into
special columns and rows. The most important intention of the table is to
formulate simpler the figures / numbers and to facilitate comparisons.
❖ Core Objectives: (1) To bring out investigation and for evaluation of
data; (2) To find omissions and errors in the data; (3) To employ space
economically and learn the development trends and make things easier
to understand the statistical figures for future reference; and (4) To

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 facilitate the process of comparison, summarization and detections of
computational errors.
❖ Principles of Tabulation: (1) Tables should be comprehensible, concise
and adequately titled; (2) Each and every table should be distinctly
numbered for easy reference; (3) The heading in each and every
column and rows in a table should be very clear, specific or relevant and
brief; (4) Instructive footnotes should be placed at appropriate places in
a table with a suitable indications; (5) Source of information of data
should be clearly indicated; (6) The columns and rows should be clearly
separated with dark lines; (7) Differentiation should also be made
between data of one class and that of another; (8) Comparable data
should be presented side by side; (9) The figures in percentage should
be approximated before tabulation; (10) The alignment of the figures,
symbols etc. should be properly aligned and adequately spaced to
enhance the readability of the same; and (11) Abbreviations should be
avoided.
❖ Types of Tabulation:
o Simple Tabulation – The statistics are tabulated to one distinctive
format.
o Double Tabulation – Two exclusive or different data are tabulated.
o Complex Tabulation – Complex tabulation of figures includes extra
data than two characteristics.

• DATA ANALYSIS
❖ Definition: Data analysis is a critical step in the social work research
process. It is the process of making sense of the data that has been
collected and using it to answer the research questions that were posed.
❖ Steps in Data Analysis:
o Planning: (1) Determine the type of data analysis that will be used.
Select the appropriate statistical methods; and (2) Prepare the
data for analysis.
o Data exploration: (1) Review the data to get a sense of its overall
characteristics; and (2) Identify any potential problems with the
data.
o Data analysis: (1) Apply the statistical methods to the data; and
(2) Interpret the results of the analysis.
o Reporting: (1) Communicate the results of the analysis to others.

• GENDER-SENSITIVITY IN DATA COLLECTION

❖ Integrating Gender into Data Collection
- Census: Population censuses are an essential source of information
about national populations and household composition. Given their
universal coverage, they can be especially useful for generating

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 data on vulnerable and marginalized groups, and they are essential
to design sampling frames for other population surveys. In many
countries, census data are the only option for indicators that call for
disaggregation by migration status, disability and race/ethnicity, as
many surveys do not cover representative samples of these
population groups. Census data can also be a useful source of
information on specific groups of women and girls, such as older
women, who are often left out in standardized household surveys. As
census data cover nearly every person in a country, they can be
used to generate estimates disaggregated at multiple levels
simultaneously (e.g., estimates for rural women of a certain ethnicity
who live in a specific location and have a disability) without running
into sample size concerns. It is important to keep in mind, however,
that census questions are often only asked to household heads –
typically males – and therefore census data is not suitable for the
calculation of some gender indicators, particularly those pertaining
to issues that males might not be knowledgeable about or willing to
talk about, such as reproductive health, violence, sexual orientation
of household members, etc. Many countries are increasingly
integrating questions on sexual orientation in their census
questionnaires. Although this is very pertinent information, data
collection exercises to date reflect significant underreporting of all
categories besides straight male / straight female. This might be a
result of the stigma associated with such categories in some
countries, as well as the fact that heads of household are the primary
respondents for census questionnaires, and they might not disclose
the sexual orientation of all household members. UNSD recommends
the following for the preparation of census manuals and training of
interviewers:
o Both women and men are selected as training instructors and
appear as trainers presented in the audio-visual materials;
o Gender-related measurement issues are reflected in the manual
through descriptive examples and illustrated sketches
o The language and all the examples given in the manual or during
training exercises are free of gender-based biases or other
stereotypes related to the characteristics measured;
o Training examples need to be reviewed so as not to foster gender-
based or other stereotypes related to the characteristics
measured; and
o Training provides guidelines regarding sex-selective
underreporting or misreporting.
- Administrative Records and Registries: Administrative records make
up the bulk of the data collection activities of many national
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 range of data on demographic, social, economic, cultural and
environmental topics. Administrative records are compiled for
regulatory purposes or to support and document the administration
of various government programs, such as immigration regulations,
social security benefits, education and public health services. For the
generation of gender statistics, the most relevant administrative
records are civil registration and vital statistics. While these can be
cost-effective sources of data collection for variables such as births,
marriages, divorces, adoption, deaths and causes of deaths, the
quality of this data and coverage of population remains low in some
countries. From a gender perspective, women and girls face unique
barriers, including national laws that require the signature of a
husband or father on official registration documents; stigma
associated with registering teen births or single mothers; and barriers
linked to direct and indirect costs associated with registration, such
as fees, travel time and low levels of education/literacy. In addition,
it is important to note that religious or customary marriages, as well as
births from teen and unwed mothers, often remain unregistered. To
respond to the issues of gender bias in administrative records and
registration systems, the Centre of Excellence on Civil Registration
and Vital Statistics has proposed the following measures:
o Consistently registering sociodemographic characteristics of the
individual, including sex, place of residence, ethnicity, etc.
o Once registered, calculating vital registration-based statistics by
breaking down the estimates by sex, wealth, urban/rural, race,
ethnicity and other features that may result in social exclusion.
o Asking about marriage registration and certification in regular
household survey instruments.
o Identifying and combating social or cultural reasons for the
underregistration of women and girls’ deaths, as well as
recognizing and relying on women’s first-hand knowledge to more
accurately report on deaths and probable causes of death within
households.
o Encouraging the uptake of WHO’s verbal autopsy protocol for
asserting causes of death, with a special focus on better capturing
causes of maternal death.
- Household Surveys
o Household surveys are important sources of social statistics. They
provide data for a wide range of indicators, covering areas such
as population, labor, income, health and nutrition, violence and
safety, etc. Often, surveys are the best-suited data-collection
vehicle to generate information on sensitive issues, such as
violence against women, reproductive health, crime statistics and
governance issues. UNSD (2015) recommends a general model for

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integrating a gender perspective into survey instruments and the
data collection process. Some of the recommendations are
provided below:
▪ Selecting Topics for Surveys: (1) To ensure the survey data is
widely used, it is important that it responds to the needs of
data users, including policymakers. Prior to designing survey
questionnaires, NSOs should assess the data needs in line
with country priorities as set out in National Development
Plans or Strategies. Priority development areas for the
country should help identify priority topics and related
indicators for data generation; (2) With extensive user-
producer dialogues between technical experts, data
analysts, policymakers, journalists, academics and
researchers, priority gender areas can be identified and
related data can eventually be produced and used.
▪ Questionnaire Design and Testing: (1) Two important issues
need to be taken into consideration for questionnaire
design: who will be the survey respondent, and how to
structure the information we wish to find out; (2)
Traditionally, heads of household – typically men – were
automatically designated as survey respondents. Although
this may provide accurate information for some questions,
heads of household may fail to provide accurate
information about intra-household inequalities, intimate
details, use of time, or feelings of different household
members. Therefore, it is important that both men and
women are interviewed to obtain an accurate picture; (3)
As questions about women should be asked to women
themselves directly, it is recommended that survey
questionnaires are split into groups of questions, each
addressed to a different respondent. For instance, questions
about the characteristics of the household may be asked
only to one household member, while questions about
individual income or feelings of safety should be asked to
women and men both, separately. (4) The language used
to formulate the questions and the order in which the
questions are posed will determine the quality of the
answers obtained. Therefore, it is important to ensure that
survey questions do not introduce any gender bias and that
the enumerators are adequately trained to ask the question
exactly as it appears in the questionnaire; (5) Coding
experts, field supervisors, data-processing staff and data
analysts, who may not necessarily have a background in
gender, must consult (and receive training from) subject

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 matter experts to gain knowledge on gender issues; and (6)
Gender bias should be avoided when drafting, posing the
questions and recording respondent’s answers.
▪ Manuals: (1) Manuals should include detailed explanations
of gender-related terms and concepts for interviewers and
supervisors; (2) Manuals should have detailed explanations
on questions that may lead to underreporting or sex-
selective underreporting (for example, domestic violence
or economic activity); (3) The manual’s language should be
free from gender-based bias; (4) The supporting examples
in the manuals should not reinforce gender stereotypes.
▪ Sampling: (1) Samples selected should be able to capture
a wide range of factors known to have distinct gender
patterns. For instance, the samples should cover all groups
and subgroups of population, different types of households,
agricultural holdings and economic units; and (2) Sample
designs should ensure sufficient statistics are produced for
groups of both women and men in sufficient detail. For
instance, sampling methods and size should allow for data
disaggregation at multiple levels.
▪ Selecting and training interviewers and supervisors: (1)
Interviewers need to be trained on how to handle the
interview when sensitive questions need to be asked. This is
especially relevant for violence-related questions,
reproductive health questions or in the case of women’s
earnings. For sensitive questions, the interviewer should
make sure no one else is around besides the respondent; (2)
For violence- and crime-related questions, specialized
training is necessary for enumerators. It is important to
allocate sufficient time to conduct this training (typically
each person trained should undergo training for one to two
months minimum); (3) Interviewers should be trained on how
to proceed in case multiple members of the household
need to be interviewed; and (4) The sex of the interviewer
does play a role in obtaining certain types of information
from the respondents. This is especially true for violence- or
reproductive-health-related questions. For instance,
women are more likely to disclose information on these
topics to women interviewers than men interviewers. Thus, it
is important to keep this in mind prior to hiring enumerators.
▪ Data coding and editing: (1) Pre-coded responses should
be used in questionnaires to facilitate consistency,
comparability and conceptual soundness of data; (2)
Gender specialists must be consulted when data is being

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 coded and edited. Additionally, when data is being
imputed, this consultation can prevent assumptions based
on gender stereotypes.
▪ Research Questions: As a first step, it is important to identify
research questions that specifically refer to inequalities
between women and men in all aspects of life, as well as
issues that pertain specifically to women or to men only.
Such research questions should be in line with information
needs required to design, implement and monitor public
policies. In addition, questions can also arise from
anecdotal or qualitative evidence of existing inequalities
that need to be proven through the production of official
statistics. The use of internationally agreed indicators to
generate estimates that respond to these questions might
facilitate the process of data collection, analysis and
estimation, as international guidance and methodology is
widely available online.
❖ Gender terms and definitions:
- Gender – Social attributes and opportunities associated with being
female and male and to the relationships between women and men
and girls and boys, as well as to the relations between women and
those between men. These attributes, opportunities and relationships
are socially constructed and are learnt through socialization
processes. They are context- and time-specific, and changeable.
Gender determines what is expected, allowed and valued in a
woman or a man in a given context. In most societies, there are
differences and inequalities between women and men in
responsibilities assigned, activities undertaken, access to and control
over resources, and decision-making opportunities. Gender is part of
the broader sociocultural context.
- Gender equality – Equal rights, responsibilities and opportunities of
women and men and girls and boys. Equality does not mean that
women and men will become the same, but that women’s and
men’s rights, responsibilities and opportunities will not depend on
whether they are born female or male. Gender equality implies that
the interests, needs and priorities of both women and men are taken
into consideration, thereby recognizing the diversity of different
groups of women and men. Gender equality is not a women’s issue,
but should concern and fully engage men as well as women. Equality
between women and men is seen both as a human rights issue and
as a precondition for, and indicator of, sustainable people-centered
development.
- Gender equity – Provision of fairness and justice in the distribution of
benefits and responsibilities between women and men.

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- Gender mainstreaming – Systematic consideration of the differences
between the conditions, situations and needs of women and men in
all policies and actions.
- Equal opportunities for men and women – Absence of barriers to
economic, political and social participation on grounds of sex and
gender.
- Equal treatment of men and women – A state of no direct or indirect
discrimination based on sex and gender, including less favorable
treatment for reasons of pregnancy and maternity.
- Diversity – Differences in the values, attitudes, cultural perspectives,
beliefs, ethnic background, sexual orientation, gender identity, skills,
knowledge and life experiences of each individual in any group of
people. It is important to consider the lived realities of women and
men in all their diversity. Differences in the values, attitudes, cultural
perspectives, beliefs, ethnic background, sexual orientation, gender
identity, skills, knowledge and life experiences of each individual in
any group of people. It is important to consider the lived realities of
women and men in all their diversity.
- Intersectionality – Analytical tool for studying, understanding and
responding to the ways in which sex and gender intersect with other
personal characteristics/identities, and how these intersections
contribute to unique experiences of discrimination. Gender analysis
considers the different experiences of women and men depending
on their different characteristics, such as age, socioeconomic
background, poverty, race, ethnicity, location (rural/urban),
disability, sexual orientation (lesbian, gay, bisexual, transgender and
others) or religion. This intersectional analysis of the characteristics
that affect women’s and men’s daily lives is essential to understand
inequality.
- Intersectional discrimination – Discrimination that takes place on the
basis of several personal grounds or characteristics/identities, which
operate and interact with each other at the same time in such a way
as to be inseparable.
- Inclusion – The practice or policy of including and integrating all
people and groups in activities, organizations, political processes,
etc., especially those who are disadvantaged, have suffered
discrimination or are living with disabilities.
- Gender identity – Each person’s deeply felt internal and individual
experience of gender, which may or may not correspond to the sex
assigned at birth, including the personal sense of the body (which
may involve, if freely chosen, modification of bodily appearance or
function by medical, surgical or other means) and other expressions
of gender, including dress, speech and mannerisms.

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 - Institutional and structural change – ‘Institutional change’ was
originally known as ‘structural change’. Furthermore, structural
change has been complemented with the terms ‘structural and
cultural change’ and ‘organizational change’. While the concept of
structural, cultural and organizational change can still be found in
several documents, publications and research papers, it is now
referred to as ‘institutional change’.

D. SOCIAL WELFARE POLICIES, PROGRAMS, AND SERVICES

a. Social Welfare Principles and Concepts

• PRINCIPLES OF SOCIAL WELFARE
❖ Individual Welfare: We refer to what is 'good' for people as being in their
interests - interests being those things which lead to well-being. Feinberg
uses the term 'welfare interests' to refer to the interests that he considers
fundamental. They include physical health and vigor; physical integrity
and functioning; the absence of pain or disfigurement; a minimum
degree of intellectual activity; emotional stability; the absence of
groundless anxieties and resentments; engagement in a normal social
life; a minimum amount of wealth, income and financial security; a
tolerable social and physical environment; and some freedom from
interference by others. (1980, p.32) These interests are 'basic', in his view,
because without them a person cannot be a person. In other words,
welfare interests are needs - items that are essential.
❖ Needs and Wants: Bradshaw (1972) distinguishes two other categories of
need: felt need and expressed need. The terms are fairly self-
explanatory; felt need is what people feel they must have, and
expressed need is a strongly expressed want. The distinction between
them is that a person can feel a need without telling other people about
it - people are sometimes reluctant to claim services because of fear,
apprehension or stigma - and it is possible to express a need without
feeling it. Unlike normative and comparative concepts of need, these
categories are formed by the people in need themselves. Interests can
be categorised in a similar way: they can be decided by the person who
has them, or by others who apply different standards to the
circumstances of the individual. Little, in a critique of welfare economics,
identifies welfare with 'happiness' (1957, ch.5). 'Happiness' is a mental
state or point of view. It is a value-laden term, because it suggests that
individual feelings are important; one might argue that only an individual
can really tell if he or she is happy, and it seems to follow that individuals
are likely to be the best judge of their own welfare. 'Welfare' seems, on
this basis, to be closely linked to individual choices and desires. Dahl

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 (1961), a political scientist firmly committed to the American model of
democracy, argues that interests can only be identified by the people
who have them, which tends to identify interests directly with wants.
However, what people want or choose is not always something that is
good for them. People can make the wrong choices; they may be
better off if they are steered in another direction. Barry (1965) links
interests with those things which lead to the satisfaction of wants. It is not
necessarily in a child's interests to stay off school, even if the child wants
to play instead, because ultimately schooling increases one's
opportunities for wants to be satisfied. There is certainly a link between
the satisfaction of wants and a person's welfare. But if people can be
mistaken about where their interests lie, their welfare will not be served
by considering their wants alone. Jordan suggests that a person's
interests are best defined by reference to that person's 'life-plan' (1987b,
pp.18-19) - which covers, not only what people currently want, but what
they are likely to want in the future. Interests may, then, overlap with
expressed desires, but they might not; the two concepts are distinct.
Goodin (1982, ch.3) argues that opinion is shaped by experience, and
that values and perceptions of interests change constantly. If popular
opinion had been the test, it is doubtful whether there would be any
Social Security system in the United States, and if it is taken as the test in
the future there may never be a National Health Service there. He
describes the emphasis on what people want as 'myopic'. (p.42).
❖ Social Welfare: The discussion of 'need' and 'welfare' so far has been
based on people as 'individuals'. One view of 'society' is that it consists
simply of many individuals; 'social welfare', therefore, is nothing but the
sum of individual welfares. Oakeshott (1975, p.340), a conservative
political philosopher, condemns the idea of society as an abstraction; it
implies, he argues, some association between people without specifying
what the association is. There are, however, few measures of social
welfare provision which leave absolutely no-one worse off - if only
because someone, somewhere has to pay for them. The main
exceptions are measures which increase both efficiency and
effectiveness. Efficiency depends on the relationship between aims and
costs; the most efficient measure is the one that yields the best result at
least cost, but the constraint of cost means that something less than the
maximum goal may be achieved. Effectiveness depends on maximising
the achievement of goals. Efficiency and effectiveness are sometimes
elevated to the status of principles, because they are the means to
increase welfare; but in fact they are secondary to other principles,
because their importance derives from the aims they are serving.
❖ The common good: The 'individuals' of moral and political philosophy are
not like real people. Real people live in families, groups and
communities; they learn values and ideas from each other. Opinions,

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 views and preferences may differ, but they are not formed in a vacuum.
There may be a general consensus about certain values. There may be
shared interests. When we consider the idea of 'social welfare' in
practice, we tend to refer not to individual preferences, but to groups of
people who have interests in common. Old people have diverse
problems, but by virtue of their age they share concerns about, for
example, policies for retirement, pensions, and the maintenance of
health. Children require education, material stability and emotional
support. Everyone is first a child, and most of us expect to become old;
these concerns are likely to affect all of us in some way. But pensions,
schooling and medical care are not universal truths of human nature.
The ways in which the problems are defined, and policies are formed to
deal with them, depend on the society in which they occur. People may
differ in their choices, or in their views as to how these issues are best
dealt with, but the interests apply to these groups as a whole, and
through them to every member of a society. There is a common good,
a concept of social welfare distinct from the welfare of individuals.
❖ Welfare in society: When 'social welfare' is discussed, we do not
necessarily begin by talking about 'individuals'; we are just as likely to talk
about 'society', and to think of individuals as members of it. Little argues:
'Most people who consider the welfare of society do not, I am sure, think
of it as a logical construction from the welfares of individuals. They think
rather in terms of social or economic groups, or in terms of average or
representative men.' (1957, p.49). The criticism is a justifiable one. When
we say that a measure will benefit 'old people' in general, we know that
some of them will be dead before any improvement takes place. This
would not be any reason for not undertaking the programme, because
it will still help the representative person. However, there is also the risk
that concentration on the 'average' member of society might lead to
sacrifices on the part of specific individuals or minority interests who are
unrepresentative. An illustration of this in practice has been the use of
slum clearance in urban areas. Many of the houses demolished were
irredeemable; houses, like everything else, wear out. The removal of the
worst slums, and rehousing into better physical conditions, certainly
benefited many individuals - though the social costs of clearance were
great, and the policy was not always unequivocally beneficial.
Clearance commonly took place at the expense of certain individuals
who were content with their house and did not want to move. As a
former housing officer myself, I had to explain to people why their houses
could not be excluded from the programme - for example, because it
was not really feasible to knock down all the houses in a terrace except
for one in the middle; because the environment they wanted to stay in
was being destroyed; because the land their house was on was going
to be used for a new school or road and it was impossible to build it

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 round them. The interests of the group or community, and of the
representative member of society, were served by clearance; but those
interests were directly opposed to the people who wanted to stay.
Welfare, in these cases, totters perilously close to becoming the 'greatest
good of the greatest number'

• SOCIAL WELFARE PERSPECTIVES

❖ Social Protection
- Definition: Social protection is defined as the set of policies and
programs designed to reduce poverty and vulnerability by promoting
efficient labor markets, diminishing people’s exposure to risks, and
enhancing their capacity to protect themselves against hazards and
interruption/loss of income.
- Components of Social Protection:
o Labor market policies and programs designed to facilitate
employment and promote the efficient operation of labor
markets:
▪ Labor market assessments describing demographic trends,
labor aborbing sectors, unemployment, migration flows,
and the size and causes of the informal sector can help
identify a country’s needs and development options.
▪ Active labor markets programs include (a) direct
employment generation (promoting small and medium
enterprises, public works); (b) labor exchanges or
employment services (job brokerage, counseling) linking
supply with demand for labor; and (c) skills development
programs (training and retraining of labor).
▪ Passive labor market policies include (a) unemployment
insurance, (b) income support, and (c) an appropriate
legislative framework that strikes a balance between
economic efficiency and labor protection. An appropriate
legislative framework will include provisions on issues such as
minimum age, maximum hours and overtime, labor
contracts, industrial relations, special protection
appropriate for new mothers, and anti-discrimination
provisions to protect women and minorities. Internationally
recognized labor standards, when ratified, are also part of
the legislative framework of a DMC. With regard to the Core
Labor Standards, no explicit ratification is needed for them
to be part of the legislative framework of a country. The
Core Labor Standards consist of (a) freedom of association
and the effective recognition of the right to collective
bargaining, (b) the abolition of all forms of forced or

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 compulsory labor, (c) the elimination of discrimination in
respect of employment and occupation, and (d) the
elimination of child labor.
▪ Safeguards: appropriate steps should be taken to ensure
that procurement of goods and services, contractors,
subcontractors, and consultants, comply with the country’s
labor legislation (e.g., minimum wages, safe working
conditions, social security contributions, etc.) as well as with
the Core Labor Standards.
o Social insurance programs to cushion the risks associated with
unemployment, health, disability, work injury, and old age.
education of their children are not sacrificed in an economic
downturn. Social insurance programs mitigate the risks by
providing income support in the event of illness, disability, work
injury, maternity, unemployment, and old age. Such programs
include:
▪ Unemployment insurance to deal with frictional (sometimes
structural) unemployment;
▪ Work injury insurance to compensate workers for work-
related injuries or diseases;
▪ Disability and invalidity insurance, normally linked to old-
age pensions, to cover for full or partial disability;
▪ Sickness and health insurance to protect workers from
diseases;
▪ Maternity insurance to provide benefits to mothers during
pregnancy and post delivery lactating months;
▪ Old-age insurance to provide income support after
retirement; and
▪ Life and survivors insurance, normally linked to old-age
pension to ensure that dependents are compensated for
the loss of the breadwinner.
o Social assistance and welfare service programs for the most
vulnerable groups with no other means of adequate support.
Social assistance interventions may include:
▪ Welfare and social services, institutionalized or community-
based, to highly vulnerable sections of the population, such
as the physically or mentally disabled, orphans, and
substance abusers;
▪ Cash or in-kind transfers such as food stamps and family
allowances to vulnerable groups;
▪ Temporary subsidies, such as energy life-line tariffs, housing
subsidies, or support of lower prices of staple food in times
of crisis; and

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 ▪ Safeguards: attention should be paid to possible short-term
negative impacts of policy reforms: in cases of a rise in
prices and/or loss of entitlements to the poor, adequate
mitigation measures are needed to prevent any adverse
effect on the poor and the vulnerable; in the case of
infrastructure, it should be designed to allow disabled
populations to benefit from public investments.
o Micro and area-based schemes to address vulnerability at the
community level:
▪ Microinsurance. Microinsurance involves voluntary and
contributory schemes for the community, handling small-
scale cash flows to address major community risks. Often
such schemes are of a local character and have a very
small membership.
▪ Agricultural Insurance. This form of protection could be
available for farming communities. It is a financial
mechanism in which the uncertainty of loss in the farms is
minimized by pooling a large number of uncertainties that
impact on agriculture so that the burden of loss can be
distributed. The loss may be due to a number of natural
perils like storms, floods, droughts, hail, frost, earthquakes,
volcanic eruptions, plant pests, diseases, etc. The risks of loss
can be spread temporally or spatially. With reinsurance, the
risks can be further spread across national boundaries.
▪ Social Funds. Such funds have evolved recently outside the
Asia and Pacific region as mechanisms to channel public
resources to meet particularly pressing social needs.
Community-based social funds are agencies, typically
managed at the local level, empowering communities,
NGOs, and local governments that provide finance for
small-scale projects, such as infrastructure schemes and
livelihood programs to community groups.
▪ Disaster Preparedness and Management. This is essential to
assist communities in risk coping and mitigation. Victims of
catastrophes are usually assisted by public relief programs;
however, given the important economic and human loss
caused by disasters, the critical issue is to invest in disaster
preparedness. Several countries in the Asia and Pacific
region have established disaster management centers for
assessing hazards, planning risk reduction and monitoring
programs, providing emergency assistance, and
strengthening local-level risk reduction capacity.
o Child protection to ensure the healthy and productive
development of the future Asian workforce. High child/adult

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 dependency ratios indicate the need to provide social protection
for the young, such as:
▪ Early child development to ensure the balanced
psychomotive development of the child through basic
nutrition, preventive health, and educational programs;
▪ School feeding programs, scholarships, or school fee
waivers;
▪ Waiving of fees for mothers and children in health services;
▪ Streetchildren initiatives;
▪ Child rights advocacy/awareness programs against child
abuse, child labor etc.;
▪ Youth programs to avoid social anomia in teenagers,
criminality, sexually transmitted diseases such as HIV/AIDS,
early pregnancies, and drug addiction; and
▪ Family allowances, either means-tested cash transfers or
coupons/ stamps for basic goods and services (i.e., food,
clothing) to assist families with young children to meet part
of their basic needs.
❖ Social Development
- Definition: The term ‘social development came to lime light at a point
where it was felt that development in true sense cannot be attained
only through economic advancement and there is an urgent need
for a holistic and multi-dimensional approach
- Concept: (1) Social development it is generally understood to
comprise of a set of objectives including equity and social justice,
which subsume additional objectives including social inclusion,
sustainable livelihoods, gender equity, increased voice and
participation; (2) Social development is a process of social change,
not merely a set of policies and programs instituted for some specific
results; (3) Social development can be described as the process of
increasing the assets and capabilities of individuals to improve their
wellbeing, the capacity of social groups to exercise agency,
transform their relationships with other groups, and participate in
development processes, and the ability of society to reconcile the
interests of its constituent elements, govern itself peacefully, and
manage change.
- Indicators: (1) Positive change in the levels of living; (2) Elimination of
poverty; (3) Expansion of education; (4) Increasing in the level of
employment; (5) Social justice- that is equal distribution of
development fruits; (6) Upliftment of weaker members of the society;
(7) Well organized and reliable provisions for security against various
contingencies of life; (8) Improvement of social welfare measures; (9)
Reduction of regional and sectoral inequalities; (10) Protection and
improvement of health; (11) Increased popular participation in the

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 developmental programs; (12) Improved mechanisms for
environment protection; and (13) Good governance.
- Objective: (1) A shift in emphasis from the individual to larger
collectivities, encompassing the poor majority or greater emphasis on
collective betterment; (2) To define social goals in terms of the
satisfaction of human needs; (3) To improve the quality of life; (4) To
create a redistributive institutional structure for the attainment of new
social objectives; (5) To evolve a broad strategy for organizational
and value change to ensure speedy attainment of redefined social
goals; (6) To formulate indicators so as to evaluate social progress
and to assess emerging social needs; (7) To set up monitoring
mechanisms to ensure that the growth levels are measurable and
sustainable; (9) To anticipate upcoming growth-related and other
problems and to prepare for handling them quickly and effectively;
and (9) To create an ethos in which it is possible to question and
rethink the appropriateness and adequacy of existing social
formations and to work towards their restructuring.
- Principles of Social Development: (1) We define social development
in its broadest social terms as an upward directional movement of
society from lesser to greater levels of energy, efficiency, quality,
productivity, complexity, comprehension, creativity, choice, mastery,
enjoyment and accomplishment; (2) Growth and development
usually go together, but they are different phenomena subject to
different laws. Growth involves a horizontal or quantitative expansion
and multiplication of existing types and forms of activities.
Development involves a vertical or qualitative enhancement of the
level of organization; (3) Social development is driven by the
subconscious aspirations/will of society for advancement. The social
will seeks progressive fulfillment of a prioritized hierarchy of needs –
security of borders, law and order, self-sufficiency in food and shelter,
organization for peace and prosperity, expression of excess energy
in entertainment, leisure and enjoyment, knowledge, and artistic
creativity; (4) Development of society occurs only in fields where that
collective will is sufficiently strong and seeking expression; (5)
Development of the collective is subconscious. It starts with physical
experience which eventually leads to conscious comprehension of
the process; (6) Society is the field of organized relationships and
interactions between individuals; (7) Every society possesses a huge
reservoir of potential human energy that is absorbed and held static
in its organized foundations—its cultural values, physical security,
social beliefs and political structures. At times of transition, crises and
opportunities, those energies are released and expressed in action;
(8) The act is the basic unit of social organization. The evolution of
more complex and productive activities woven together by people

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 to form systems, organizations, institutions and cultural values
constitute the fabric or web of social organization; (9) The essential
nature of the development process is the progressive development
of social organizations and institutions that harness and direct the
society’s energies for higher levels of accomplishment; (10)
Development requires an enormous investment of energy to break
existing patterns of social behavior and form new ones; (11)
Development is a process, not a program. Development is an activity
of the society as a whole. It can be stimulated, directed or assisted
by government policies, laws and special programs, but it cannot be
compelled or carried out by administrative or external agencies on
behalf of the population; (12) Infinity is a practical concept. Human
potential is unlimited. Development potential is infinite; (13) The same
principles and process govern development in different fields of
social life – political, economic, technological, scientific, cultural,
etc.; and (14) The same principles and process govern development
at the level of the individual, the organization and the society.
❖ Social Welfare
- Definitions:
o A need is something that is necessary for an individual to live a
healthy life. All human beings have needs and wants in their lives.
▪ Felt Need – what people feel they must have.
▪ Expressed Need – a strongly expressed want, demanded
need.
o Social Problem – Any difficulty of misbehavior of a fairly large
number of persons which we wish to remove or correct. There are
three requirements for a given social condition to be regarded as
a social problem: (1) it must be social in origin; (2) it must be
regarded by the society as a problem; and (3) it must require some
form of social intervention.
o Social Welfare – the organized system of social services and
institutions, designed to aid individuals and groups to attain
satisfying standards of life and health and personal and social
relationships which permit them to develop their full capacities
and to promote their well-being in harmony with the needs of their
families and the community.
o Welfare: The older English term ‘welfare’ can be traced back to
the fourteenth century, when it meant to journey well and could
indicate both happiness and prosperity.
- Characteristics:
o The risks to be protected against (What are the problems that
need to be addressed? e.g; disaster, economic hardship);
o The population covered (Who are the recipients of welfare
services?);

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 o Eligibility criteria (Who is more deserving?);
o Levels of benefits (To what extent the services will be provided;
short term or long term); and
o Manner of financing (Who will fund? Either the recipients must
contribute for the services, or by the government will manage
through taxes)

b. Social Welfare Policies, Policy Making Process and Implementation

• GENERIC STEPS OF POLICY-MAKING
❖ Definitions:
- Change agent. An individual who sees change as an opportunity
rather than a threat, who will be instrumental in managing change
and taking it forward. The individual will give direction and
momentum to the implementation of new policies and methods.
Bridger (see Ambrose 1989) first developed the term.
- Development discourse. A development discourse describes a way
of thinking and outlook, a system of values and priorities that
marginalizes other possible ways of thinking. A discourse is a
configuration of ideas which provides the threads from which
ideologies are woven. Numerous discourses can be identified, for
example the ‘scientific discourse’, which sees development as a
rational, technical and scientific process, grounded in Western
expertise.
- Discourse analysis There are two meanings for this term depending
on how ‘discourse’ is defined:
o When used to mean a particular way of thinking and arguing
which involves the political activity of naming and classifying (as
above), discourse analysis attempts to make explicit the implicit
values and ideologies in discourses. It aims to depoliticize them
and strip them of their value-laden terminology.
o ‘Discourse’ can also refer to dialogue, language, and
conversation. If defined in this way, discourse analysis relates to
the analysis of language used in policy-making. It relates, for
example, to the use of labelling in policy discussions, such as
‘peasants’, ‘the rural poor’, or ‘landless’.
- Epistemic/policy community. A group of technical experts who have
access to privileged information and share and discuss ideas. Others
do not have access to this information and are excluded. Individuals
can be from the research community, NGOs, international
organizations or a range of other organizations. Epistemic
communities can have powerful influences on policy-making, some
expressing certain political opinions and having links with
governmental decision-makers.

182
- Escape hatches. A term developed by Clay and Schaffer (1984)
describing the way policy makers avoid responsibility for policies they
make. Clay and Schaffer pinpoint the dichotomy between
policymaking and implementation (see section three) as an avenue
which can be used to this end. For example, policy makers who see
implementation as a separate process to policy-making, may blame
a poor policy outcome on inadequate political will or lack of
sufficient resources in the implementation phase, rather than poor
policy-making.
- Force-field analysis. A term from management literature to
conceptualize the forces interacting to oppose and support change.
These forces act in opposition to each other to create a state of
equilibrium in a system. Change happens when the balance point of
the equilibrium shifts. For this to happen there needs to be substantial
alteration to one or more of the restraining or driving forces which
maintain the equilibrium.
- International Regime. A set of principles, norms, rules, and procedures
accepted by states, which help them to realize common interests.
Regimes are institutions with explicit rules, agreed upon by
governments that pertain to sets of issues in international relations. The
concept explains how states, each acting in self-interest, can come
together to work towards some basic common interests in the
absence of a regulating authority, such as a ‘global government’,
which forces them to do so.
- Policy narrative. A ‘story’, having a beginning, middle and end,
outlining a specific course of events which has gained the status of
conventional wisdom within the development arena. The ‘tragedy of
the commons’ is a policy narrative, for example, which outlines the
series of events leading from overgrazing of common land by
pastoralists to eventual desertification. The ‘wood fuel crisis’ in Africa
is another. Despite evidence which calls into question the validity of
many narratives, they persist widely because they simplify complex
development processes. They are an attempt to bring order to the
complex multitude of interactions and processes which characterize
development situations. Policy makers often base policy decisions on
the stories outlined in development narratives. Policy narratives are
distinct from discourses, which refer to a wider set of values and a
way of thinking. A narrative can be part of a discourse if it describes
a specific ‘story’ which is in line with the broader set of values and
priorities of a discourse.
- Policy network/coalition. A group of individuals and organizations
who share similar belief systems, codes of conduct and established
patterns of behavior.

183
 - Policy space/ room for maneuver. The room within which a policy
maker has to maneuver relates to the extent to which a policy maker
is restricted in decision making by forces such as the opinions of a
dominant epistemic community or narrative. If there are strong
pressures to adopt a particular strategy a decision maker may not
have much room to consider a wider set of options. There may be
times, on the other hand, when an individual has a substantial
amount of leverage over the process, able to assert his or her own
preferences and mound the way policy choices are considered fairly
considerably.
- Political technology. First introduced by Foucault, this term relates to
the way policy is often ‘depoliticized’, if such depoliticization is in the
interest of dominant group. A political problem is removed from the
realm of political discourse and recast in the neutral language of
science. It is represented as objective, neutral, value-free, and often
termed in legal or scientific language to emphasize this. This reflects
the ‘technology of politics’, the way various means are used to work
within a political agenda. ‘This masking of the political under the
cloak of neutrality is a key feature of modern power’ (Shore and
Wright 1997).
- Street level bureaucracy. A concept developed by Lipsky (1980) to
refer to the role actors who implement policy changes have to play
in the process. He emphasizes that such individuals are not simply
cogs in the process, but rather have substantial ability to mound
policy outcomes. Street level bureaucracies are schools, welfare
departments, lower courts, legal service offices etc. As a result of time
constraints and other practical considerations, as well as political
opinion, those who work in these bureaucracies influence the
practical working out of a policy to produce an outcome which may
be substantially different from that originally intended by a policy
maker.
❖ The Linear Model
- Definition: Variously called the linear, mainstream, common-sense or
rational model, this model is the most widely-held view of the way in
which policy is made. It outlines policy-making as a problem-solving
process which is rational, balanced, objective and analytical. In the
model, decisions are made in a series of sequential phases, starting
with the identification of a problem or issue, and ending with a set of
activities to solve or deal with it.
- Phases: (1) Recognizing and defining the nature of the issue to be
dealt with; (2) Identifying possible courses of action to deal with the
issue; (3) Weighing up the advantages and disadvantages of each
of these alternatives; (4) Choosing the option which offers the best

184
 solution; (5) Implementing the policy; and (6) Possibly evaluating the
outcome.

This model assumes that policy makers approach the issues rationally, going
through each logical stage of the process, and carefully considering all
relevant information. If policies do not achieve what they are intended to
achieve, blame is often not laid on the policy itself, but rather on political or
managerial failure in implementing it (Juma and Clarke 1995). Failure can be
blamed on a lack of political will, poor management or shortage of resources,
for example. There is much evidence to suggest that this model is far from
reality. The pages that follow review how political science, sociology,
anthropology, international relations and business management consider
policy-making, and attempt to build a broader picture of the process.
❖ Different Model of Policy Process
- The incrementalist model. Policy makers look at a small number of
alternatives for dealing with a problem and tend to choose options
that differ only marginally from existing policy. For each alternative,
only the most important consequences are considered. There is no
optimal policy decision - a good policy is one that all participants
agree on rather than what is best to solve a problem. Incremental
policy-making is essentially remedial, it focuses on small changes to
existing policies rather than dramatic fundamental changes. What is
feasible politically is only marginally different from the policies that
exist, drastically different policies fall beyond the pale. In this model,
policy-making is also serial, you have to keep coming back to
problems as mistakes become apparent and are corrected, and
new approaches to the issues are developed. The model suggests
that major changes occur through a series of small steps, each of
which does not fundamentally ‘rock the boat’. The ‘policy process is
one of disjointed incrementalism or muddling through’ (Lindblom
1980).

185
 -The mixed-scanning model. This covers the middle ground between
the rational (or linear) and incrementalist models (Walt, 1994). It
essentially divides decisions into a macro (fundamental) and micro
(small) classification. It involves the policy maker in taking a broad
view of the field of policy. The rational/ linear model implies an
exhaustive consideration of all possible options in detail, and the
incrementalist approach suggests looking only at options which from
previous experience are known to exist. In contrast, a mixed-scanning
approach suggests taking a broad view of possible options and
looking further into those which require a more in-depth examination.
- Policy as arguments. Juma and Clarke (1995) describe this approach
as one in which policy reforms are presented as reasoned arguments.
Policy is developed through debate between state and societal
actors. Participants present claims and justifications which others
review critically. Language not only depicts reality in such arguments,
but also shapes the issues at hand in these debates. It is a means of
communication of ideas, but also serves to reflect certain political
stances, moulding social reality according to outlook and ideology.
- Policy as social experiment. This sees social change as a process of
trial and error, which involves successive hypotheses being tested
against reality in an experimental manner. It is based in the
experimental approach of the natural sciences.
- Policy as interactive learning. This approach is rooted in a criticism of
development policy as being ‘top-down’, not generated from the
communities in which polices are implemented. It argues for an
‘actor-perspective’, emphasizing the need to take into account the
opinions of individuals, agencies and social groups that have a stake
in how a system evolves. The approach promotes an interaction and
sharing of ideas between those who make policy and those who are
influenced most directly by the outcome. The advocacy of
participatory rural appraisal methods by Chambers (1983) is an
example of this.
❖ Models of Change
- A development model. Linking together the ideas of Blake,
Lievegoed, Greiner and Sadler and Barry, Plant (1995) states that it is
possible to see three phases organizations move through in the
normal course of their development. These are the autocratic,
bureaucratic and democratic phases. The essential difference
between them lies in the use of power and authority. The autocratic
phase is the ‘start-up’ phase, led by one individual with most
control, and entrepreneurial skills. The bureaucratic phase sees
power spread more evenly. The most distinctive feature of this
phase is the way activities have a set of rules by which they should
be carried out, all is spelled out clearly. The final phase is of

186
 horizontal organization, where influence is assigned meritocratically,
a structure that promotes collaboration and is highly complex.
- A crisis model. Healthy and successful organizations undergo
change as a natural part of their development, sometimes called
the ‘pioneer phase’, the ‘phase of differentiation’ and the ‘phase of
integration’. The transition between phases is marked by a period of
crisis, a different crisis being the cause in each stage.
❖ Stages of Policy Development
- Identifying the Problem and Agenda-Setting. Identifying the problem
involves addressing what is happening and why it is an issue. In
criminal justice, this might look at the increase in opioid use and
overdoses or acts of youth violence. Once the issue is identified, there
can be a serious debate about the plans of the policy. Once it is
decided what the policy will look like, it is placed on the agenda. This
is perhaps the most politicized part of the process as it involves many
different stakeholders. It involves identifying the legislative, regulatory,
judicial, or other institutions responsible for policy adoption and
formulation.
- Formulation and Adoption. The next stage involved adopting the
policy. Depending on the nature of the policy, this could involve a
new law or an executive order.
- Implementation of the Policy. Implementation is about moving
forward, taking action, and spending money. It involves hiring new
staff or additional police officers. This is where policies often stall
because of the lack of funding. For example, a popular program in
1990, Weed and Seed, involved “weeding” out criminals (targeting
arrest efforts) and “seeding” new programs (instituting after-school
programs, drug treatment facilities, etc.). The weeding portion of the
program was a great success, but the program ultimately failed
because of a lack of funding to adequately seed new community
programming. Funding is a major roadblock for proper
implementation.
- Evaluation. Finally, the evaluation examines the efficacy of the policy.
There are three different types of evaluation: Impact, Process, and
Cost-benefit analysis. Impact (outcome) evaluations focus on what
changes after the introduction of the crime policy. Changes in police
patrol practices aimed at reducing the level of residential burglaries
in an area are evaluated in terms of subsequent burglaries. The
difficulty with impact evaluations is that changes in the crime rate are
rarely, if ever, due to a single intervening variable. For example, after
the implementation of curfew laws for juvenile offenders, juvenile
crime decreased. Can we say that was because of curfew laws? The
entire crime rate in America decreased at the same time. Attributing
a single outcome based on a solitary intervention is problematic.

187
 o Process evaluations consider the implementation of a policy or
program and involve determining the procedure used to
implement the policy. These are detailed, descriptive accounts of
the implementation of the policy including the goals of the
program, who is involved, the level of training, the number of
clients served, and changes to the program over time.
Unfortunately, process evaluations do not address the actual
impact policy has on the crime problem, just what was done
about a specific issue or who was involved. While this is indeed a
limitation, it is essential to know the inner workings of a program or
policy if it is to be replicated.
o Cost-benefit evaluations, or analyses, seek to determine if the
costs of a policy are justified by the benefits accrued. A ubiquitous
example of this would be an evaluation of the popular anti-drug
D.A.R.E. program of the 1980s and 1990s. The D.A.R.E. program
was a school-based prevention program aimed at preventing
drug use among elementary school-aged children. Rigorous
evaluations of the program show that it was ineffective and
sometimes actually increased drug use in some youth. The cost of
this program was roughly 1.3 billion dollars a year (about $173 to
$268 per student per year) to implement nationwide (once all
related expenses, such as police officer training and services,
materials, and supplies, school resources, etc., were factored in).
Using a cost-benefit analysis, is that a good use of money to
support an ineffective program?
❖ The Role of Interest Groups in the Policy Process
- Society-centered Models:
o Class analytic models. Based in the Marxist approach, these
argue that the policy process is influenced by opinions that divide
along class lines, with the interests of the bourgeoisie dominating
the process and acting against those of other classes.
o Pluralist models. This approach presents policy as primarily
reflecting the interests of groups within society. The role of
government is to provide a playing field for the expression of social
interests, and to allow these to shape policy. In this model, policy
change simply reflects changes in the balance of power between
interest groups in society. There are concerns over the
applicability of these models, however, to developing countries,
where it is harder for groups to co-ordinate their activities and
positions than it is in the developed world. They are also criticized
for not reflecting the influence politicians have on the process.
‘There is a general recognition that .... images of responsive
politicians and compliant bureaucrats need to be amended’
(Atkinson and Coleman, 1992).

188
 - State-centered Models: One group is the bureaucratic politics
models that focus on conflict and negotiation between actors within
the state machinery. The contests are driven by individual career
incentives, and ‘turf wars’ between Ministries trying to maintain
control over policy arenas. A further important area of conflict is
between the bureaucracy and the executive. Grindle and Thomas
(1991) state that ‘players’ compete over preferred options and use
the resources available to them through their positions – hierarchy,
control over information, access to key decision makers, for example
– to achieve their goals’. A second group is the state-interests
approach. This focuses on the specific interests the state has in policy
outcomes, such as the interests of regime authorities to remain in
power and the maintenance of its own hegemony vis-à-vis societal
actors. These interests may or may not correspond to interests of
particular classes or groups in society. ‘The state is considerably more
than an arena for societal conflict or an instrument of domination
employed by the dominant class or class alliance. It is potentially a
powerful actor in its own right’ (Grindle and Thomas 1991). The
criticism of this model is that in some cases states are weak, and are
dominated by societal interests. They would not have the authority to
make decisions that reflected their own interests.

• SOCIAL WELFARE LEGISLATIONS

o Note: NEEDS IMPROVEMENT
SOCIAL
POLICIES PROGRAMS SERVICES
WELFARE
Farmers Republic Act No. Comprehensiv Landless farmers and
and 6657 – e farmworkers will
Landless (Comprehensive Agrarian receive the highest
Rural Agrarian Reform Reform consideration to
Workers & Law of 1998) - An Program promote social justice
Act instituting a (CARP) and to move the

189
Artisanal comprehensive nation toward sound
Fisherfolks agrarian reform rural development
program to and industrialization,
promote social and the establishment
justice and of owner cultivator
industrialization, ship of economic-size
providing the farms as the basis of
mechanism for its Philippine agriculture.
implementation,
and for other
purposes.
Republic Act No. Farmer- Providing training on
8435 – Agriculture Scientist values development
and fisheries Training and farming
modernization act Program (FSTP) technologies.
of 1997. An Act
prescribing urgent
related measure to
modernize the
agriculture and
fisheries.
Republic Act No. Fisheries and Institutionalizing the
8550 – The Aquatic major role of the local
Department of Resource fisherfolks and other
LGUs shall provide Management resource users in the
support to Council community-based
municipal fisherfolk (FARMC) planning and
through program implementation,
appropriate conservation,
technology and development and
research, credit, protection of fisheries
production and and aquatic
marketing resources of the
assistance and municipal waters as
other services such defined by the Local
as, but not limited Government Code.
to training for
additional/supplem
entary livelihood
Urban Poor Republic Act No. Community Providing access to
7279 – An act to Mortgage decent and
provide for a Program (CMP) affordable housing to
comprehensive – is a mortgage every Filipino family
and continuing financing
urban program of the
development and Social Housing
housing program, Finance

190
 establish the Corporation
mechanism for its (SHFC) which
implementation, assists the
and for other legally
purposes. organized
associations of
underprivilege
d and
homeless
citizens to
purchase and
develop a
tract of land
under the
concept of
community
ownership
Republic Act No. DSWD’s Livelihood and skills
11310 – An Act Sustainable trainings
Institutionalizing the Livelihood
Pantawid Program (SLP) Cash grants for
Pamilyang Pilipino education and health
Program (4Ps) to the beneficiaries
Indigenous Republic Act No. Paralegal The National
People and 8371 – An act to Training Commission on
Cultural recognize, protect Indigenous Peoples
Communiti and promote the (NCIP), through its
es rights of indigenous lawyers and legal
cultural officers, renders legal
communities/indige assistance to IP clients
nous peoples, as part of the general
creating a national mandate of the
commission on Office to recognize,
indigenous peoples, protect and promote
establishing the rights of our
implementing ICCs/IPs.
mechanisms, Indigenous The IPRA mandates
appropriating funds People Legal the NCIP to protect
therefor, and for Assistance and promote the
other purposes. interest and well-
being of the ICCs/IPs
with due regard to
their beliefs, customs,
traditions and
institutions. The same
law likewise considers

191
 the NCIP as the
primary government
agency through
which ICCs/IPs can
seek government
assistance and as the
medium through
which such assistance
may be extended.
Assistance to Provision of technical
Ancestral and/or financial
Domain assistance to the
Sustainable Indigenous Cultural
Development Communities/Indigen
and Protection ous Peoples (ICCs/IPs)
Plan (ADSDPP) in the formulation of
formulation. their Ancestral
Domain Sustainable
Development and
Protection Plan
(ADSDPP).
Ancestral Through the
Domain/Land Indigenous Peoples
Recognition Rights Act (IPRA),
Certificate of
Ancestral Domain
Titles (CADTs) are
issued to formally
recognize the rights of
possession and
ownership of ICCs/Ips
over their ancestral
domains as identified
and delineated in
accordance with this
law, while Certificate
of Ancestral Land
Titles (CALTs) formally
recognize the rights of
ICCs/IPs over their
ancestral lands
Senior Republic Act No. Senior Citizen 20% discount upon
Citizens 7432 – An Act to Discounts and purchase of goods
maximize the Benefit and services
contribution of Senior Citizen Provision of Walker,
senior citizens to Program Canes, Wheelchairs,

192
nation building, Eyeglasses and Health
grant benefits and Kits
special privileges
and for other Provision of Medicines
purposes.
Republic Act No. Health and Provision of service
9257 (Expanded Wellness delivery packages
Senior Citizen Act of Program for and integrated
2003) – An Act Senior Citizen – continuum of quality
granting additional promoting care in various
benefits and quality of life settings
privileges to senior among older
citizens amending persons and Accessibility to all
for the purpose contribute to health facilities
Republic Act 7432 the nation attending Doctors
otherwise known as building
the “An Act to Wellness camp for
maximize the Senior Citizens
contribution of
Senior Citizen to Elderly Filipino Week
Nation-Building (Walk for Life)
grant benefits and Celebration
special privileges
and for other
purposes”
Republic Act No. Social Pension Social pension worth
9994 (Expanded Program P6,000 every year
Senior Citizen Act of from the Department
2010) – An Act of Social Welfare and
granting additional Development
benefits and
privileges to Senior
Citizens, further
amending Republic
Act No. 7432, as
amended,
otherwise known as
“An Act to
maximize the
contribution of
Senior Citizen to
Nation-Building
grant benefits and
special privileges
and for other
purposes”

193
Differently- Republic Act No. Health and 20% discount and
abled 10754 – An act Wellness Value added Tax
Persons expanding the Programs (VAT) Exception
benefits and
privileges of persons Medical and dental
with disability (PWD) services, diagnostic
and Laboratory fees
and Professional Fees
of attending Doctors
Educational
Assistance

Benefits from GSIS, SSS

and Pag-Ibig based
on their respective
charters Special
Discounts in Special
Programs

Express Lanes
Republic Act No. National Health Construction of
7277 – An act Program Rehabilitation Centers
providing for the Housing Health services
rehabilitation, self- Programs
development and Auxiliary social
self-reliance of services
disabled persons
and their Family care services
integration into the
mainstream of Day care services for
society and for disabled children of
other purposes preschool age Public
Accommodation and
Services
Republic Act 10070 Dissemination Persons with Disability
– Establishing of information Affairs Office [PDAO]
Institutional on programs in every province, city
Mechanism To and activities and municipality with
Ensure The for PWDS, the local chief
Implementation Of training and executive appointing
Programs And employment a PWD affairs officer
Services For Persons opportunities, to manage and
With Disabilities In Education and oversee the
Every Province, City empowerment operations of the
and Municipality, s programs for office.
Amending Republic PWAs
Act No. 7277,

194
 Otherwise Known
As The Magna
Carta For Disabled
Persons, As
Amended, And For
Other Purposes
Republic Act No. National Health o Automatic
11228 – An Act Insurance coverage o Under the
Providing for The Programs law, all persons with
Mandatory (NHIP) of the disability (PWDs) shall
PhilHealth Philippine be automatically
Coverage for All Health covered under
Persons with Insurance PhilHealth‘s National
Disability (PWDs), Corporation Health Insurance
Amending for The (PhilHealth) Program (NHIP).
Purpose Republic
Act No. 7277, As
Amended,
Otherwise Known
As The “Magna
Carta For Persons
With Disability”
Republic Act No. PWD Construction of areas
7277 – An Act Accessibility for PWDs in
providing for the Program wheelchair in the
rehabilitation, self- CCP venues
development and Accessibility ramps
self-reliance of leading to the
disabled person theaters and rest
and their rooms were
integration into the constructed
mainstream of
society and for
other purposes.
Victims of Republic Act No. Emergency Provision of
Disasters 7160 – “An Act Assistance immediate food and
and Providing for a Program water relief Provision
Calamities Local Government of temporary shelters
Code of 1991” and evacuation
centers
Cash-for-Work Temporary
Program Employment and
Income Support to
the victims of disasters
and calamities

195
 Republic Act No. Integration of Mandatory Training
10121 – An act Disaster Risk for the Public Sector
strengthening the Reduction Employees
Philippine Disaster Education
Risk Reduction and Disaster risk Disaster risk reduction
Management reduction and and management
System, providing management activities for youth
for the National programs
Disaster Risk Calamity Loan Financial Aid to
Reduction and Assistance affected members in
Management Program calamity-stricken
Framework and areas.
Institutionalizing The Housing Provision of Housing
National Disaster Assistance materials Assistance
Risk Reduction And Programs
Management Plan,
appropriating funds
therefor and for
other purposes
Republic Act No. Comprehensiv Establishment of
10821 – An Act e Emergency evacuation centers
Mandating the Program for Immediate delivery of
Provision of Children basic necessities
Emergency Relief Stronger measures for
and Protection for the safety and
Children Before, security of the
During, and After children Provision of
Disasters and Other health, medical and
Emergency nutrition to the
Situations children
Child- Training on
responsive psychosocial
training interventions for
program children Training on
proper procedures to
assess the situation,
safeguard and
protect the affected
children
Workers in Presidential Decree Barangay Monthly travelling
Formal No. 1569 – Nutrition allowance Entitled to
Labor and “Strengthening the Scholar (BNS) second grade Civil
Migrant Barangay Nutrition Program – a Service Commission
Workers Program by human (CSC) eligibility after
providing for resource completing two years
barangay nutrition development of continuous and
scholar in every strategy of the satisfactory service.

196
 barangay, Philippine Plan BNS kit consisting of a
providing funds of Action for bag and other
therefore, and for Nutrition, which materials related to
other purposes.” involves the performing tasks, e.g.,
recruitment, forms; medical
training, assistance and
deployment survivorship
and supervision assistance.
of volunteer
workers or
barangay
nutrition
scholars.
Republic Act No. Legal Victims of illegal
10022 – An Act Assistance recruitment and
amending Republic related cases which
Act No. 8042 are administrative or
otherwise known as criminal in nature in
the Migrant Workers the form of legal
and Overseas advice.
Filipinos Act of 1995,
as amended,
further improving
the standard of
protection and
promotion of the
welfare of migrant
workers their
families and
overseas filipinos in
distress and for
other purposes.
Workers in Republic Act 8425 Philippine Protection by labor
the Informal (Social Reform and Approach to and social laws
Sector Poverty Alleviation Social Reform Security in their
Act) – An act and Poverty workplace, protection
institutionalizing the Alleviation - against discrimination,
social reform and Sector-Specific harassment and
poverty alleviation Flagship abuse. Access to
program, creating Program programs and
for the purpose of Cross Sectoral services catering to
National Anti- Flagship their special needs
Poverty Programs and organization into
Commission, Department of unions, cooperatives
defining its power Trade and and other forms of
Industry (for associations

197
and functions, and micro Institution-building
for other purposes. enterprises) and effective
Programs participation in
governance
Sustainable livelihood
programs Expansion
of
microcredit/microfina
nce services and
capacity-building
Infrastructure build-up
and development
Free briefing sessions -
info and guidance on
government
regulatory processes,
current business
trends, sources of
financing, and
livelihood skills training
(open to the public)
Capacity building
activities bring to the
provinces programs
for micro and small-
sized enterprises
designed to promote
entrepreneurship,
improve access to
credit and markets,
and increase
productivity and
operational
efficiency.
Consultancy and
Counseling Services
(nationwide)
Republic Act No. Promotion of Briefing/orientation
9178 (“Barangay the Barangay that is provided to
Micro Business Micro Business encourage the
Enterprises (BMBEs) Enterprises formation and growth
Act of 2002.”) – An (BMBEs) Law of barangay micro
act to promote the business enterprises
establishment of by granting them
Barangay Micro incentives and other
Business Enterprises benefits. The act
(BMBEs), providing primarily aims to

198
 incentives and integrate micro
benefits therefor, enterprises in the
and for other informal sector into
purposes. the mainstream of the
economy.
Republic Act No. Establishment Business Registration
10644 (“Go of Negosyo Assistance - Accept
Negosyo Act”) – An Centers in and facilitate all new
act promoting job every province registration and
generation and city and renewal application
inclusive growth municipality. of MSMEs, including
through the application for
development of Barangay Micro-
micro, small and Business Enterprise
medium enterprises. (BMBE). Facilitate
access to grants and
other forms of
financial assistance,
shared service
facilities and
equipment, and other
support for MSMEs
through national
government agencies
(NGAs)

Provide information
and services in
training, financing,
marketing and other
areas as may be
required by MSMEs
Women Republic Act Women’s Sustainable Livelihood
No.6734 – An Act Welfare Assistance - Increased
Providing for an Program - one options for economic
Organic Act for the of the regular security through
Autonomous programs of technical assistance,
Region in Muslim the Ministry of access to credit and
Mindanao Social Services marketability.
which aims to
promote the Protection and
welfare of Security –
disadvantaged Strengthening of
women giving human rights
special protection systems
attention to and participatory
the prevention, mechanism

199
 eradication of
exploitation of
women in any
forms as well as
promotion of
skills for
employment
and self-
actualization.
Republic Act 9262 Women and Establishment of
(This Act shall be Children women and children
known as the Protection protection units
“AntiViolence Program – (WCPUs) in DOH-
Against Women Establishment retained hospitals and
and Their Children of Women and Local Government
Act of 2004”) – An Children Unit (LGU) supported
act defining Protection Unit hospitals.
violence against in all
women and their Department of Provision of medical
children, providing Health (DOH) assistance to victims
for protective hospitals” through a socialized
measures for scheme by the
victims, prescribing Women and Children
penalties therefore, Protection Unit
and for other (WCPUs) in DOH-
purposes. retained hospitals or
in coordination with
LGUs or other
government health
facilities
Republic Act No. Gender and Conducting of free
9710 – An act Development seminars
providing for the Program (GAD)
Magna Carta Of - It seeks to Granting of
Women. achieve scholarship to
Recognizing that gender dependents of solo
the economic, equality as a parents, PWDs, and
political and fundamental IPs
sociocultural value that
realities affect should be
women’s current reflected in
condition, the State development
affirms role of choices and
women in nation contends that
building and women are
ensures the active agents
substantive equality of

200
 of women and development,
men. not just passive
recipients of
development.
Republic Act No. Extended 105 days leave with
11210 – An act Maternity full pay for live
increasing the Leave Program childbirth 60 days
maternity leave maternity leave for
period to one female employee
hundred five (105) who experienced
days for female miscarriage or those
workers with an who delivered stillbirth
option to extend for
additional thirty (30)
days without pay ,
and granting an
additional fifteen
(15) days for solo
mothers, and for
other purposes
Republic Act No. National Safe Establishment of
10354 (Responsible Motherhood birthing stations in
Parenthood and Program - urban and rural areas
Reproductive Guided by the in the country to
Health Act of 2012, Department of facilitate the health-
also known as the Health based assistance to
Reproductive FOURmula One birthing mothers
Health Law or RH Plus thrust and Delivery of quality
Law) – Law that the Universal maternal newborn
provided universal Health Care health services
access to methods
on contraception,
sexual education,
and maternal care
in the Philippines
Children, Republic Act No. Program for Basic Education
Youth, and 9155 – An Act Illiterates: Basic Training
Students instituting a Literacy
framework of Program (BLP)
governance for
basic education,
establishing
authority and
accountability,
renaming the
Department of
Education, culture

201
and sports as the
Department of
Education, and for
other purposes.
Republic Act 9231 – Philippine Livelihood Assistance
An Act providing for Program to Parents of Child
elimination of the Against Child Laborers
worst forms of child Labor (PPACL)
labor and affording
stronger protection
for the working
child, amending for
this purpose
Republic Act No.
7610 as amended,
otherwise known as
the “Special
Protection of
Children Against
Child Abuse ,
Exploitation and
Discrimination Act”
Republic Act No. Diversion Typical services
9344 – An Act Program provided for youth
establishing a and families in
comprehensive diversion programs
juvenile justice include one or more
welfare system, of the following:
creating juvenile Screening and
and justice welfare assessment o
council under the Education and tutorial
Department of services Victim
Justice, awareness classes
appropriating funds and activities Service
therefor and for learning programs o
other purposes. Substance use
education and
counseling Job skills
training o Mental
health treatment o
Crisis intervention o
Family counseling o
Parenting skill
development
supports for rebuilding
family relationship
Quality recreation

202
 and organized sports
programs
Republic Act No. Special Provision temporary
10917 – An act Program for employment to poor
amending certain Employment of but deserving student
provisions of RA Students (SPES) Providing students
9547, otherwise - is an with experience while
known as an act employmentbri earning income
strengthening and dging
expanding the programme
coverage of the that aims to
special program for provide
employment of temporary
students, amending employment to
for the purpose disadvantaged
provision of RA youth to
7323, Otherwise augment their
known as the family’s
special program for income and
employment of help ensure
students. that
beneficiaries
are able to
pursue their
education.
Republic Act No. Tertiary Subsidy Allowance for books,
10931 (“Universal Program supplies,
Access to Quality transportation, and
Tertiary Education miscellaneous
Act”) – An act personal expenses,
promoting universal including a
access to quality reasonable
tertiary education allowance for the
by providing for documented rental or
free tuition and purchase of personal
other school fees in computer or laptop,
state universities and other education-
and colleges, local related expenses;
universities and Allowance for room
colleges and state- and board costs
run technical- incurred by the
vocational student.
institutions,
establishing the
tertiary education
subsidy and student
loan program,

203
 strengthening the
unified student
financial assistance
system for tertiary
education, and
appropriating fund
therefor
NGOs Republic Act No. Microcredit Agricultural
10693 – An Act and financial microfinance
strengthening non- literacy
government programs Housing microfinance
organizations
(NGOs) engaged in
microfinance
operations for the
poor
Cooperativ Republic Act No. Capability Mandatory training
es 9520 – An Act Building for Officers
amending the Program for
cooperative code Cooperatives
of the Philippines to
be known as the
“Philippine
Cooperative Code
of 2008”. It is
declared policy of
the State to foster
the creation and
growth of
cooperatives as a
practical vehicle for
promoting self-
reliance and
harnessing people
power towards the
attainment of
economic
development and
social justice
People Republic Act No. Educations Utilizing information
Living with 8504 – The and regarding on HIV
HIV/AIDS Philippine AIDS Information on /AIDS in public and
Prevention and HIV/AIDS private schools at any
Control Act of 1998 level
- An act Free Testing, Availing free testing or
promulgating Screening and undergo screening
policies and Counselling and counselling

204
prescribing Accreditation Establishing testing
measures for the of HIV Testing centers all around the
prevention and Centers country for
control of HIV/AIDS accessibility
in the Philippines, HIV/AIDS Availability of free
instituting a Prevention voluntary HIV
nationwide Program Counselling Testing
HIV/AIDS services and
information and conducting
educational community
program, assemblies to reduce
establishing a stigma
comprehensive
HIV/AIDS monitoring
system,
strengthening the
Philippine National
Aids Council, and
for other purposes
Republic Act. 11166 Free HIV Packages including
– "Philippine HIV Treatment medication and
and AIDS Policy diagnostics for in-
Act" - An Act patients and
Strengthening the outpatients
Philippine
Comprehensive
Policy on Human
Immunodeficiency
Virus (HIV) and
Acquired Immune
Deficiency
Syndrome (AIDS)
Prevention,
Treatment, Care,
and Support, and,
Reconstituting the
Philippine National
Aids Council
(PNAC), Repealing
for the Purpose
Republic Act No.
8504, Otherwise
Known as The
"Philippine Aids
Prevention and
Control Act of
1998", and

205
 Appropriating
Funds Therefor

c. Policy Analysis
❖ Elements of Good Analysis Framework: (1) Analyze systematically; (2)
Context sensitive; (3) Rational methods of analysis, reliable, evidence-
based; (4) Explicit (others able to reach same conclusion); (5)
Commitment to greatest good at smallest cost; (6) Take into account
unintended consequences; (7) Considers alternative policies, use of
resources; (8) Examine potential impact of policy on public, other
policies; (9) Explicit about value preferences; and (9) Grounded in
practice experience.
❖ 2 Major Ways of Analysis: (1) It is very important to analyze the existing
policy which can be analytical or descriptive which attempts to explain
the policy and its development. This gives the policymaker a better
understanding of why the existing policy is not the best fit for the public
and it is necessary to see what can be improved in that policy so that
an efficient result is expected; (2) It is required to analyze and formulate
new policies to fill the loopholes that were in the existing policy. This kind
of “Policy Research” is done in a prescriptive manner which involves
formulating policies and also putting out proposals that can improve the
social welfare of the people.

❖ Approaches:
- Analysis- centric: This is a micro-level analysis in which individual
problems are studied and the solutions of those individual problems
are given separately. The interpretation of the problem usually

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 involves some technical solutions. However, the main goal of this
policy analysis is to evaluate and identify the most efficient solution
that can be provided for the problem in terms of economics and
technology. For example, if the economy is not doing well, there
might be a problem of asset allocation or a problem in the allocation
of resources. Therefore, this kind of analysis primarily concentrates on
how the resources can be efficiently allocated so that the optimal
output is expected.
- The policy process: The second approach is known as the policy
process. Its main point of discussion is into the political process along
with its involved individuals. The main aim of the policy process is to
determine what process should be used to evaluate the policy, what
kind of means should be used, and what the policy instruments,
namely regulation legislation are and subsidy can be used.
- The meta policy: The third process is known as the meta policy. This
policy is looking into the problems and the solution on a macro scale.
The interpretation of the problem, in this case, is usually structural. The
main aim of meta-policy is to explain the contextual factors affecting
the policy process. For example, we can say that the political,
economic, and sociological factors are there to influence public
policy and consequently the social welfare.
❖ Policy Evaluation: (1) To clarify the policy; (2) To engage the individuals
who are involved with the government; (3) To understand what kind of
resources are available and how they can be used for the optimal
output; (4) To determine what kind of evaluation questions are to be
answered in the policy; (5) To have a clear vision that what kinds of
methods and procedures are to be followed while formulating the
policy; (6) To have a rough idea that how the evaluation plan will look
like; (7) To collect relevant data based on the policy analysis which an
individual is doing; (9) The policy analysis is required to do the data
analysis and also interpret the results to get a clear vision of what kind
of problems are needed to be addressed; (9) To compare the existing
policy analysis with the new policy analysis and to also interpret what
kind of data analysis has been done in the previous policy and what
has failed; (10) Lastly, applying the evaluation findings that are done
from the very beginning of the policy analysis.

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E. SOCIAL WELFARE AGENCY ADMINISTRATION

a. Concepts, Principles, Theories and Issues Related to Social Administration,

Social Work and Social Welfare Administration

• MAJOR DISTINCTION
Social Work Social Welfare
Social Administration
Administration Administration
Definition: Definition: Definition:
Social administration Social work Social welfare
focuses on policies, administration is a administration is a
planning, and method of social work process through which
administration of goods concerned with social policy is
and services in relation provision and transformed into social
to the political, social, distribution of societal services. It involves the
and economic resources so as to administration of public
institutions and to the enable people to meet and private agencies.
determinants of the their needs and fulfill The following definitions
distribution of natural their potential towards are given to elaborate
resources to social their empowerment. the meaning of social
welfare needs. This is welfare administration.
used to refer to
administrations in the
fields of health,
education, and other
social development
field.

• ADMINISTRATION
❖ Various Definition of Administration
- Stein defined administration as “the process of defining and attaining
the objectives of the organization through a system of coordination
and cooperative effort.”
- Ehlers, Austin, & Prothero defined administration as “a process, a
method or a set of relationships between and among people working
toward common objectives in an organization.”
❖ Administration as a Method
- Determination of goals/setting of objectives;

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 - Formulation of policies;
- Creating and maintaining an organization;
- Making plans;
- Securing resources;
- Selecting necessary technologies for operations;
- Designing programs and services;
- Optimizing organizational behavior;
- Evaluating results for the improvement of services; and
- Accounting for resource utilization.
❖ Administration as a Process
- Is a continuous, dynamic process that leads to organizational growth
and development;
- Resources of people & materials are harnessed & coordinated;
- Leadership is implicit in administration;
- Coordination, cooperation & participation are means to achieve
organizational goals; and
- Focuses on the policies, planning and administration of goods and
services in relation to the political, social and economic institutions
and to the determinants of the distribution of national resources to
social welfare needs.
❖ Activities of Administration
- Determination of goals/objectives;
- Formulation of policies;
- Maintenance of organization;
- Formulation of plans;
- Securing of resources;
- Selection of technology;
- Design of programs and services;
- Optimization of organizational behavior;
- Evaluation of results for improvement of services; and
- Accounting for resource.
❖ Characteristics of Administration
• Human enterprise that involves activity of people in the organization;
• Continuous and dynamic process for common goal or purpose;
• Resources of people and materials are harnessed and coordinated;
and
• Leadership is implicit.
❖ Elements of Administration
• Organization: setting up of framework or structure of the different
units of the system to carry out or perform distinct tasks.

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 • Management: activity that allocates and utilizes resources to achieve
organizational goals. Involves establishing and maintaining an
organizational climate or internal environment in which people
working together in groups can perform effectively and efficiently.

• SOCIAL WORK ADMINISTRATION

❖ Various Definitions of Social Work Administration
- Trecker defined it as “a process of working with people in ways that
release and relate their energies so that they use all available
resources to accomplish the purpose of providing needed
community services and programs.”
- Kidneigh defined it as “the process of transforming social policy into
social services. It is a two-way process: 1) transforming policy into
concrete social services, and 2) the use of experience in
recommending modification of policy.”
❖ Characteristics of Social Work Administration
- The use of principles and techniques of administration in general.
- The use of philosophy, aims, and functions of social work, its methods
of social diagnosis, analysis, and synthesis of individual, group, or
community needs, and of generations for change or development in
agency functions and goals.
- Working with people based on knowledge and understanding of
human behavior, human relations, and human organizations.
- Methods encompassing not only in the services provided by the
agency but also in the administrative process and staff relations.
- Ethics playing a significant role.
❖ Dimensions of Social Work Administration
- Work assignment within the agency structure – allocation of tasks &
functions;
- Community in which the agency works – source of support & object
of services; and
- Psychosocial dimension in which people release their feelings and
energies – when properly harnessed constitute human resources to
achieve agency goals.
❖ Activities in Social Work Administration
- Study and analyze the community;
- Determine the agency purpose as basis for clientele selection or
people to be served;
- Provide financial resources, budgeting, and accounting;
- Develop agency policies, programs and procedures for the
implementation of agency purposes;
- Select and work agency leadership, professional and
nonprofessional staff, boards, committees, and service volunteers;

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 -Provide and maintain physical plant, equipment, and supplies;
-Develop a plan, establish and maintain effective community
relations and interpret programs;
- Keep complete and accurate records of agency operations and
make regular reports;
- Plan and conduct research on a regular basis; and
- Continuously conduct regular evaluation of program and personnel.
❖ Aspects of Social Work Administration
- Functions: (1) The means by which identified social needs are dealt
with by appropriate social services, whether under public of private
auspices; and (2) The societal action for improved or new services
needed by specific groups of community as a whole. There is
decision-making at every level of administration.
- Structure: (1) Studying it in relation to the organization as an element
of administration; and (2) Knowing that the social welfare agency
represents the organizational structure in social work administration.
- Process: (1) It is continuous, dynamic and total process of bringing
together people, resources and purposes to accomplish the agency
goal of providing social services. It includes dimensions which are:
o Central Dimensions: The task of work assignment within agency
structure. There is a wide distribution of responsibility in the
agency with the allocation of tasks and functions for every
level of work.
o Psychosocial Dimension: This presupposes that people that
people release their feelings and energies and that these
feelings and energies, when properly harnessed by
administrators, constitute the human resources in achieving
agency goals.

• SOCIAL WELFARE ADMINISTRATION

❖ Various Definitions of Social Welfare Administration
- Dunham defined it as “those supporting and facilitating activities
necessary and incidental to the giving of direct services by social
agency.”
- Cordero, Gutierrez, & Pangalanan defined it as “the administrative
processes in social welfare agency, the formulation of its policies and
plans, and their implementation into programs and services for
specific client groups.
❖ Activities in Social Welfare Administration
- Translation of social mandates into operational policies and goals to
guide organizational behavior;

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 - Design of organizational structures and processes through which the
goals can be achieved;
- Securing of resources in the form of materials, staff, clients and
societal legitimation necessary for goal attainment and
organizational survival;
- Selection and engineering of the necessary technology;
- Optimizing organizational behavior directed towards increased
effectiveness and efficiency; and
- Evaluation of organizational performance to facilitate systematic
and continuous solution of problems.

• SOCIAL WELFARE AGENCIES

❖ Types of Social Welfare Agencies and their Characteristics
- Government or public agencies: organizations supported by public
funds or taxes. An example is the Department of Social Welfare and
Development.
o They are created through any of these: constitutional mandate,
legislative act, executive order, presidential decree, or letter of
instruction.
o Their existence, functions, and programs are created by law or
executive order, hence, may only be changed or modified by law
or executive order.
o Their organizational structure is bureaucratic and less flexible than
private agencies.
o They must conform with the governmental procedures, especially
the accounting and auditing of funds, property, and other
resources.
- Private or voluntary agencies: organizations supported by private
contributions or donations or income from services. These are
popularly referred to as NGOs. An example is the Save the Children
Philippines.
o They are organized as a form of response of private organizations
to meet people’s needs in the community.
o They may be national chapters of international organizations,
such as the Red Cross, Young Man Catholic Association (YMCA),
World Vision, and others.
o They may have been established by sectarian or non-sectarian
organizations.
o They are governed by their own charters, constitution and by-laws,
and by a governing body.
o Their organizational structures do not generally follow a
bureaucratic pattern, and therefore, are more flexible in their
policies and programs.

212
 o Private agencies can pioneer and initiate demonstration projects
which may subsequently be turned over to the government. Their
latter can adopt the program on a larger scale with more
available resources and organizational capacity.
- Semi-Government or quasi-governmental organizations:
organizations that receive some form of subsidy, either in cash or kind,
from the government.
❖ Nature of Social Welfare Agencies
- Administrative bureaucracies: Established to attain specific goals,
and their internal structures, technologies, and procedures are
designed to implement these goals.
- Social system: Adaptively respond to external and internal pressures,
and that they generate informal patterns that may both facilitate
and hamper goal attainment.
❖ Levels in Social Welfare Agencies
- Policy-level: In public agencies, it is a function of the higher officials
based on constitutional mandate, legislative act, executive order, or
presidential decree. In private agencies, it is a function vested in duly
constituted board of directors.
- Administrative or executive level: Functions are (a) Participation in
the formulation and determination of policy; (b) Provision of
guidance and direction in the planning process; (c) Staffing and
organizing; (d) Provision of guidance, direction, supervision,
coordination, and fiscal control; (e) Provision of continuous
interpretation of the agency to the public, including the preparation
of annual report; (f) Provision of continuous evaluation to improve
agency standards; and (g) Representing the agency in councils and
other organizations in the community.
- Supervisory level: Enables the workers to perform their functions more
effectively and provides the means for them to grow their jobs.
- Direct service level: Have direct/field contact with the people or
clients needing agency services or assistance in the context of
professional values and ethics.

• ADMINISTRATIVE FUNCTIONS
❖ Policy Formulation
o Policy: a stated course of action adopted and followed by the
agency in doing its work; written statement formally adopted by
the Board or legislative body.
o Areas of policy consideration: policy values & objectives; policy
target group or clientele; methods of implementation and
environmental impact.

213
 o Stages in Policy Formulation: (1) Identification of the problem or
issue; (2) Analysis of the problem; (3) Informing the public about
the problem; (4) Development of policy goals; (5) Building of
public support; (6) Legislation or enunciation of policy; (7)
Implementation and administration; and (8) Assessment and
evaluation.
o Principles of Policy Determination: (1) Policy must be based on
agency purpose; (2) Must be based on adequately evaluated
facts & experience; participation of clientele & people affected
by policy; (3) Focus and direction for the attainment of agency
purpose; (4) Unity and consistency between various policies &
between policy & purpose: (5) Participation of agency staff in
policy; (6) Relate agency purpose to realities in community and
agencies facilities and resources; (7) Policy-making, planning and
operations are interrelated; (8) New policies should be based on
evaluation of existing policies and practice; (9) Thorough
knowledge of policy by staff is essential; (10) Policies be expressed
in positive forms; (11) Carrying out of policies in the spirit of their
intent be by administration and staff; and (12) Evaluate any
conflict between policy & practice.
❖ Planning and Programming
- Definitions:
o Planning is a process of mapping out one’s activities towards the
accomplishment of goals and projecting the means or resources
of achieving them.
o Programming is a process of preparing or setting up the program
involving a specific period of time and specific type of services.
o Plan: A course of action for reaching a goal beginning now or at
any predetermined time in the future.
- Reasons for Planning: (1) Efficiency; (2) Effectiveness; (3)
Accountability; and (4) Morale.
- Essential Elements: (a) goal or the what; (b) resources, means,
procedures and methods or the how; (c) people involved in
achieving the goals or the who; (d) method of evaluation and
review; (e) conditions under which the plan will be implemented.
- Principal Types of Plans:
o Substantive plan is designed to achieve program objectives. It
calls for the formulation of broad issues confronting the program.
o Procedural plan is designed for the organizational structure within
which are embodied the various administrative mechanisms such
as rules, guidelines, standard operating procedures, reporting
requirements, and the like.
- Principles of Planning: (a) grow out of the expressed interests and
needs of all persons in the agency; (b) participation of those to be

214
 affected; (c) adequate factual basis; (d) combines face-to-face
methods and committee work; (e) individualized/particularized
based on varied situations; (f) use of varied approaches indigenous
to the situation; (g) requires professional leadership; (h) requires the
efforts of volunteers, Non-professionals, community leaders: (i) calls
for documentation and recording; (j) use existing plans and
resources; and (k) dependent upon thinking prior to action.
❖ Organizing
- Definitions:
o Organizing is a process of setting up individuals and functions into
productive relationships towards the accomplishment of certain
common objectives.
o Organization is the structure or the pattern or network of
relationships between the various positions and the individuals
holding such positions; set of formal, planned relationships
between the physical factors and personnel required for the
performance of these functions.
- Organizational Structures:
o Formal, which is established by law, by-laws and activities are
consciously coordinated found in their policies, procedures, etc.
Kinds of this organization are as follows:
▪ Line organization – authority is from top to bottom; work
towards primary service goals;
▪ Functional organization – different staff units have authority
over the same people and are concerned with providing
benefits and services to the organization itself;
▪ Line and staff organization – units have authority over their
own subordinates; staff units assist, advise, etc. for use of line
executives; and
▪ Committee type of organization – group of persons act as a
body and perform functional, staff or line duties.
o Informal, which is established unconsciously by spontaneous
grouping of persons and consists of rules, sentiments, traditions.
- Models of Organization:
o Bureaucratic form – a pre-set system of procedures and rules;
division of labor based on specialization; promotion and selection
of personnel based on technical competence; impersonality in
human relations.
o Democratic form – more informal and employees participate &
share in decision-making; warm, cooperative relationships
encouraged.
o Adhocracy – blending of bureaucratic & democratic forms;
flattening of the pyramid (mixed matrix).

215
 o Collegial or professional team model – group of professional
colleagues organized in a collaborative lifestyle with maximum
informal communication.
- Kind of Organizational Chart:
o Vertical chart – shows the position of authority at the top with the
different levels in a horizontal position and the functions running
vertically.
o Horizontal chart – shows the position on the left side and presents
the different levels in a vertical position while the functions are
shown horizontally.
o Circular chart – shows the position of authority from the middle of
the circle and the functions flow from the center.
- Steps in Organizing: (1) Distinguish clearly the various functions
necessary to accomplish the action; (2) Group the functions into
organizational units and eventually into economical and effective
work assignments; (3) Provide in advance of the need for the physical
facilities and resources; and (4) Find the qualified personnel who can
perform the assigned responsibilities.
- Principles of Organization: (1) Work specialization or division of work;
(2) Unity of command; (3) Span of control; (4) Homogenous
assignment; (5) Delegation of authority; (6) Hierarchical or scalar
principle; and (7) Line and staff principle; (8) Division of labor; (9) Short
chain of command; and (10) Balance.
❖ Staffing
- Definition: Staffing is the art of acquiring, developing and maintaining
a competent workforce in such a manner as to accomplish with
maximum efficiency and economy the functions and objectives of
the organization.
- Objectives: To secure and develop adequate and efficient
personnel to aid management in accomplishing the goals; to aid
every personnel to develop and perform to the limit of his capacity
recognizing his interests & competency.
- Elements: (1) Effective recruitment, selection and hiring; (2)
Placement-right person for the right job; (3) Orientation or induction
and training; (4) Promotion; (5) Transfer-horizontal or vertical
movement; (6) Performance appraisal/rating; (7) Wage and salary
administration; (8) Discipline; (9) Employee benefits and services; and
(10) Turn-over, separation, retirement.
❖ Directing
- Definition: Directing is the process of implementing the total plan and
bringing into being all the necessary and available resources to
achieve the objectives of the organization; issuing instructions.
- Steps in Directing: (1) Setting-up the major responsibilities, persons,
units; (2) Placing the jobs, responsibilities and functions properly in an

216
 organizational pattern; (3) Issuing directions, special assignments and
orders; (4) Controlling or directing closely by basic policies and plans.
❖ Controlling
- Definition: Controlling is the work of constraining, coordinating and
regulating action in accordance with plans for the achievement of
specified objectives.
- Steps in Controlling: (1) Setting standards at strategic points, checking
& reporting on performance; (2) Getting feedback/information
about the results of performance; and (3) Taking corrective action.
- Methods: (1) Reporting; (2) Setting deadlines; (3) Inspection and prior
approval of projects.
❖ Coordinating
- Definition: Coordinating is the process of interrelating the various parts
of the work of an agency so that it functions as a whole.
- Types of Coordination:
o Coordination of thought – the relationship between mental
activities.
o Coordination of action – the establishment of harmonious
relationship between and among physical activities.
- Forms of Coordination:
o Perpendicular or vertical coordination – the competent
delegation of responsibility and the corresponding authority for
the performance of every act from the largest to smallest.
o Horizontal or cross-coordination – the supervisors or executives on
the same level coordinating and relating their activities or
functions among themselves.
- Ways for Effective Coordination: (1) clear lines of authority &
responsibility; (2) periodic reports; and (3) effective communication
system.
- Five Major Processes in Teamwork:
o Communication – sharing of ideas and feelings and involves
listening as well as interacting and reflecting back ideas and
involve both verbal and non-verbal components.
o 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.
o Cooperation – a process where two or more people are working
together and helping each other. It involves one’s own work
efficiently and effectively and making successful contribution to
the agency as a whole.
o Coordination – requires the involvement of all staff members.
o Consummation – activities and projects started with others must
be completed.

217
❖ Communication
- Definition:
o Communication, according to Davis and Filley, is that phase of the
managerial process that transmits ideas from one person to
another for use in the performance of managerial functions.
- Reasons why Communication is Important: (1) Effectiveness, (2)
Efficiency, and (3) Morale.
- Components of Communication: (1) The source or sender; (2) The
message; and (3) The receiver – unless the receiver gets to
understand the message, effective communication has not taken
place.
- Purposes: (1) Clarify what is to be done, how and by whom; (2)
Reinforce identity with agency purposes; (3) Transmit problems, ideas,
suggestions; (4) Report progress; (5) Promote participation; and (6)
promote social interchange/provide recognition.
- Patterns of Communication:
o Formal Communication – rational, planned system of procedures
and channels by which information flows from the lines of authority
as seen in organizational chart.
o Informal Communication – communication does not follow
channels of authority.
❖ Budgeting and Financing
- Definitions:
o Budget is a financial plan whether for an agency or a program.
o Budgeting is one of the areas of financial administration with
which an administrator must be concerned if he is to run the
organization efficiently.
o Accounting is the art of recording, classifying, and summarizing in
a significant manner and in terms of money transactions or events
which are part of a financial character and analyzing and
interpreting the results thereof.
o Recording includes making entries; classifying includes sorting
mass of transactions in an orderly and systematic manner;
summarizing means bringing together of accounting data in a
form that further enhances this information.
o Auditing is the state of making an audit or an examination of some
or all of the following: documents, records, reports, system of
manual control, accounting procedures, and other evidences.
o Financing may be defined as the allocation of an
organization/agency’s liquid assets to ensure their most
productive use. In other words, the limited supply of capital
available to an organization must, if the agency is going to be
successful, be used in a way in which it can do the most good in
terms of profitability.

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 o Financial record is an ongoing record of what the agency has
spent on what and how well it is staying within the budget.
- Type of Budget:
o Line-item budgeting – based on line-item accounting and
incremental increases in projecting ahead for a year or more.
o Program budgeting – goals and objectives are a significant part
and include services offered by the agency.
o Functional budgeting – encompasses program services but
emphasizes the supporting administrative services that are
needed for operating an agency.
o Zero-based budgeting – the agency starts with no money each
year and describes and justifies all expenditures for the coming
year, whether or not they have existed before.
❖ Recording and Reporting
- Definitions:
o Records has been defined as “an account in written or other
permanent form serving as a memorial or authentic evidence of
a fact or event.”
o Report means “to make or give an account of, often formally.”
These are based on accurate records, research, and
investigation.
o Reporting as a process of management is broadly interpreted as
a process of communication. It is only a two-way flow of
information upward and downward but also outward, across, and
around.
- Record-keeping Approaches:
o Tape recording – used to supplement and not to replace the need
to keep other records.
o Problem-oriented recording – currently used in health and mental
health settings, where the different disciplines collaborate in
collecting information, listing problems, formulating plans and
evaluating results, but record using the same format.
o Time series recording – the documentation of repeated measures
of the specific behaviors, attitudes, or interactions that are the
focus of social work intervention.
- Classification of Reports:
o Subject matter reports – finance, personnel, program, project,
research.
▪ Client service reports – those working with clients in any
capacity must make reports to their supervisors
regarding each client or client group.
▪ Program, project, or research reports – a periodic report
to the head concerning progress towards the goal
should be made.

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 ▪ Personnel report – the progress or lack of progress being
made by the personnel should be reported.
▪ Financial report – a periodic budget report by program,
project, or research directors and by the agency’s
finance executive should be made.
o Time interval reports – many subject matter reports are submitted
on a present time interval such as daily, weekly, monthly, quarterly,
semi-annually or annually.
o Interim and miscellaneous reports – memoranda are used within
the agency to inform staff and executive of activities and as a
reminder.
▪ Progress reports – this covers how activities are
progressing.
▪ Improvement reports – this may be made by program
and/or project directors concerning their programs or
employees.
▪ Recommendation reports – this is usually prepared by a
committee formed for a particular purpose or from
conferences.
- Preparing an Agency Report: (1) Stating the problem; (2) Defining the
scope of the problem; (3) Planning the methods for obtaining
relevant information; (4) Collecting the information; (5) Analyzing the
information; (6) Forming the conclusions; (7) Organizing the report; (8)
Preparing the first draft; (9) Editing the first draft; and (10) Publishing
the report.
❖ Public Relations
- Definitions:
o Organized public relations is the continuing effort to affect a
harmonious adjustment between an institution and its public.
o Public relations is a 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. It is
ninety percent doing the right thing and ten percent telling about
it.
- Salient Points of Successful Public Relations: (1) Know where and what
your goals are; (2) Know who you want to reach; (3) Evaluate
resources, such as money, facts, manpower, and skills available; (4)
Note how your benefits dovetail with those you reach; (5) Know
specific techniques of public relations in regard to preparation and
participation regarding advertising, publicity, and brochure; (6) Be
absolutely honest; and (7) Thank people.
❖ Evaluation and Research
- Definitions:

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 o Evaluation is the systematic process of collecting and analyzing
data in order to make a decision and to determine whether and
to what degree objectives have been or are being achieved.
o Research is a systematic, controlled, empirical and critical
investigation of hypothetical propositions about the presumed
relations among natural phenomena.
o Evaluation Research is used to determine the impact of a social
intervention. A social intervention is an action taken within a social
context designed to produce an intended result. Evaluation
research thus analyses the impact of a particular program on a
certain social problem the program is trying to solve.
- Key Reasons for Evaluation: (1) Evaluation is essential to ascertain the
extent to which the objectives of the agency are being achieved; (2)
Evaluation is essential to ascertain the extent to which the objectives
of the agency are being achieved; (3) Evaluation ensures the
flexibility essential to the continuous re-orientation of a service to the
changing needs of persons in changing social settings; and (4)
Evaluation is a form of social accountability required by all funding
sources and the taxpayer or contributor at large.
- Types of Evaluation Research Activities:
o Research for Program Planning. Gathering information to help
create or improve a program, like learning what people need or
want. It responds to the question “Is the program designed in
conformity with its intended goals, and are chances of successful
implementations maximized?”
o Program Monitoring. Keeping an eye on a program to see if it's
going as planned, like checking if activities are happening on
time. It answers the question “Is the program reaching the persons,
households or other target units to which it addressed?”
o Impact Assessment. Figuring out what effect a program has, like
seeing if it's making a difference in people's lives. It answers the
question “Is the program effective in achieving its intended
goals?”
o Research on Project Efficiency. Studying how well a project uses
resources, like time and money, to get things done effectively. It
responds to the question “Is the program an efficient use of
resources compared with alternative uses of resources?”

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b. Social Work Administration and Supervision and the Evolution of
Management Theories
• MANAGEMENT THEORIES
❖ Scientific Management: Scientific management was based on a
number of assumptions about people and their behavior in the work
place.
- Four Principles of Scientific Management: (1) Replace rule-of-thumb
work methods with methods based on a scientific study of the tasks;
(2) Scientifically select, train, and develop each worker rather than
passively leaving them to train themselves; (3) Cooperate with the
workers to ensure that the scientifically developed methods are
being followed; and (4) Divide work nearly equally between
managers and workers, so that the managers apply scientific
management principles to planning the work and the workers
actually perform the tasks.
❖ Administrative Management: Organizations do not manage themselves.
If policy is to be uniformly followed and resources fairly allocated,
communication and coordination have to be deliberately facilitated.
- Henri Fayol’s 14 Principles of Management: (1) Division of Work; (2)
Authority; (3) Discipline; (4) Unity of Command; (5) Unity of Direction;
(6) Collective Interest over Individual Interest; (7) Remuneration; (8)
Centralization; (9) Scalar Chain; (10) Order; (11) Equity; (12) Stability
of Tenure; (13) Initiative; and (14) Esprit de Corps.
❖ Bureaucratic Management Theory: Bureaucratic organizations, as
developed in later part of the 19th century, were thought to be superior
to other forms of organizations because they derived authority through
legal mandates, based decisions on objective or rational criteria and
were explicitly designed to control the performance and behavior of
staff members.
- Weber’s Five Main Characteristics of a ‘Pure’ Bureaucracy: (1) A clear
cut division of labor, with activities rationally distributed as official
duties; (2) The distribution of duties through a formal administrative
hierarchy, in which each office is supervised by the one above it and
communication is required to pass up and down this supervisory
chain; (3) A prescribed system of rules and procedures, which, if not
followed, can lead to disciplinary action and conversely, should
safeguard the worker if the rules are followed but a case does not
turn well; (4) The exclusion of personal considerations from the
conduct of official business, both by the employee and the
organization; and (5) Salaried employment based on technical
qualifications and constituting a career within the hierarchy –
recruitment and selection against job descriptions and person
specifications, staff development and promotion prospects all relate
to this element of a bureaucratic organization.

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 ❖ Human Relations Theory: The human relations theory or model describes
an approach to managing staff that is quite different from Weber’s and
Taylor’s mechanistic models, which assume that all worker behavior can
be strictly controlled through administrative action.
❖ Management by Objectives: Management by objectives (MBO) is a
systematic and organized approach that allows management to focus
on achievable goals and to attain the best possible results from
available resources. It aims to increase organizational performance by
aligning goals and subordinate objectives throughout the organization.
Ideally, employees get strong input to identify their objectives, time lines
for completion, etc. MBO includes ongoing tracking and feedback in
the process to reach objectives.
- MBO Three Basic Strategies: (1) All individuals within an organization
are assigned a special set of objectives that they try to reach during
a normal operating period. These objectives are mutually set and
agreed upon by individuals and their managers; (2) Performance
reviews are conducted periodically to determine how close
individuals are to attaining their objectives; and (3) Rewards are
given to individuals on the basis of how close they come to reaching
their goals.
❖ Theory X and Y: Theory X assume that workers must be forced to do their
jobs. The role of the manager is to control worker behavior and make it
fit the organization9s needs. Theory Y takes the opposite approach. Its
basic assumption is that workers are intrinsically well motivated to work,
but that they may become resistant to organizational demands
because of workplace dynamics.
❖ Motivation-Hygiene Theory: Two primary factors, known as motivating
and hygiene actors, play different roles in relating to job satisfaction and
motivation. Hygiene factors are extrinsic to the job and function only to
reduce levels of job dissatisfaction. Examples of hygiene factors include
salary, job security, and working conditions. Motivating factors are
intrinsic to the job and stimulate employees to perform at higher levels.
Examples include achievement, responsibility, and nature of work.

• LEADERSHIP AND MANAGEMENT STYLE

❖ Democratic Leadership: Also known as participative leadership, teams
and companies are run like a democracy. Everyone has a voice, and
leaders are keen to involve everyone in company decisions. This style
focuses on building team togetherness and ensuring that everyone feels
valued. The only downside is that discussing everything takes time. It can
make democratic leaders look indecisive and unable to make decisions
for themselves. That means while it can be used effectively most of the

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 time, in critical situations leaders need to switch to more autocratic and
commanding methods.
❖ Visionary Leadership: With the visionary management style, leaders
have a clear picture of what needs to be done on a strategic level –
and the communication skills to get their team on board with it. By
engaging them early employees feel motivated and inspired to perform
at their best to turn vision into reality. Success requires a great deal of
charisma and strong communication skills, however. Fail to convince
people about the purpose behind your vision and they won’t engage or
help you deliver it.
❖ Coaching Leadership: Coaching leaders are focused on supporting their
people, helping them develop their talents and achieve their potential.
They have the empathy to recognize employee strengths and
weaknesses and the ability to deliver regular, constructive feedback
and opportunities to promote growth. While this undoubtedly delivers
results in most circumstances, employees have to be open to changing
and improving. This style won’t deliver when people just see work as a
job to be done, rather than a career to develop. Coaching also takes
up a large amount of time, preventing leaders from covering other parts
of their role.
❖ Laissez Faire Leadership: As the name suggests, the laissez faire manager
just lets things happen. They don’t micromanage but trust their people
to get on with the job and deliver great performance. Providing
autonomy increases motivation and encourages people to use their
initiative, all good for creatively solving issues. However, the downside is
a lack of control – and it requires your team to be skilled self-starters who
can be trusted to perform without supervision.
❖ Autocratic Leadership: In many ways autocratic (or
authoritarian/commanding) managers fit the stereotype of the old-style,
top-down business leader. Autocrats demonstrate strong authority and
have total power over the decision-making process – they give orders
and their “underlings” defer to them and do what they are told.
Autocratic leaders have the final decision on everything. This may work
if you have a specific vision and strategy that you need to implement
quickly through hard-work or when dealing with a crisis, but doesn’t
engage employees or tap into their creativity. It therefore limits
innovation, drives away your most creative employees and risks
overwhelming your remaining people through constant
micromanagement.

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• SUPERVISION
❖ Overview of Supervision
- Definition: Supervision is a dynamic enabling process by which
individual workers who have a direct responsibility for carrying out
some of the agency’s program plans are helped by a designated
staff member or to make the best use of their ability so they can do
their job more effectively and with increasing satisfaction to
themselves and to the agency.
- Assumptions: (1) Supervision aims towards the agency’s control over
services and practice; (2) Supervision is essentially a function of
administrative leadership; and (3) The supervisory process as a
learning process.
❖ Role and Functions
- Administrative Functions: (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.
- Teaching Functions, also referred as educational: Regularly
scheduled individual or group supervisory conference is the primary
methodology utilized for teaching in supervision. Teaching functions
is carried out through the following:
o 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; and
o 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.
- Helping Functions, also referred to as supportive: (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; and (7) Develop attitudes and feeling in the workers
which are conducive to job performance.
❖ Types of Supervision
- Tutorial Model: consists of a supervisor and supervisee in a one-to-one
relationship.
- Group Supervision: there is a designated supervisor and a group of
supervisees.

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 - Case Consultation: there is a designated consultant and the worker
schedules the contacts as needed.
- Peer Group Supervision: there is no designated supervisor, and all the
members of the group participate as equals.
- Tandem Supervision: two group members decide to function apart
from the group.
- The Team: consists of varied members within the agency structure.

F. SOCIAL WELFARE PROJECT/PROGRAM DEVELOPMENT AND MANAGEMENT

a. Perspectives of social welfare project development and management,
meanings and concepts

• PROJECT/PROGRAM DEVELOPMENT AND MANAGEMENT

❖ Definitions:
- Project/Program Development and Management, at its core, is
concerned with creating an environment where people can work
together to achieve a mutual objective, in order to deliver successful
projects on time and on budget.
- Projects package of investments, policy measures, and institutional
and other actions designed to achieve a specific objective (or set of
objectives) within a designated period.
- Project management is a systematic process to manage a project at
different phases in life cycle; an application of knowledge, skills, tools,
and techniques to project activities to meet project requirements.
- Project Managers – Individuals specifically designated to coordinate
the implementation team and manage & monitor the project
process at various phases.
- Portfolio is a collection of projects and/or programs and other work
that are grouped together to facilitate the effective management of
that work to meet strategic business objectives. The components of
a portfolio are quantifiable (i.e., they can be measured, ranked and
prioritized).
- Program is a group of related projects managed in a coordinated
way to obtain benefits and control not available from managing
them individually. Programs may include elements of related work
(e.g., ongoing operations) outside the scope of the discrete projects
in a program.
❖ Projects
- Significance: (1) Hirschman (1967): Projects are “privileged particles
of development”. (2) Gittinger (1982): Projects are “the cutting edge
of development”. (3) Many textbooks on the subject of Project

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 Analysis: Boardman et.al. (1996), Gittinger (1982), Irwin (1978), Milward
(1971), Turvey (1971), Peters (1968), etc.
- Distinguishing Features:
o A project is an undertaking an observer can draw a boundary
around – a specific geographic area or area of concentration.
o Projects have a time sequence of investment, production and/or
economic and social benefits.
o Projects will have a special clientele whom the project is intended
to reach and whose economic and social life will be impacted
upon.
o Projects have a starting (inception) and finishing (completion)
time.
o Projects have a partial or wholly independent administrative
structure/set of accounts/monitoring and reporting system.
o Comprised of several distinct stages.
o The idea of a cycle underscores the point that the stages are
closely linked and follow a logical progression, with the later
stages providing the basis for the renewal of the cycle.
o The principal stages of the cycle are: identification, design,
preparation, appraisal, implementation, and evaluation.
▪ SITUATIONAL ANALYSIS
• Is the most critical phase of the project cycle.
• A wrong assessment of the project situation will lead
to inappropriate project intervention.
▪ PROJECT PLANNING
• Involves two stages – project design and feasibility
study.
• Project design involves the formulation of project
objectives based on the Situational Analysis.
▪ PROJECT APPRAISAL
• Involves the evaluation of the project of the funding
agency.
• It tries to determine if the project plan meets its
development requirements.
▪ PROJECT IMPLEMENTATION
• Is the stage where the contents of the project plan is
undertaken.
▪ PROJECT OPERATION
• Marks the full transfer of the operation of the project
to the beneficiaries.
▪ MONITORING
• Involves measuring the progress, accomplishments,
deviations of the project which serves as a reference
for adjusting and controlling the project.

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 ▪ EVALUATION
• Involves the measurement of the effects or impact of
the project.

b. The project management cycle

❖ Project Identification
- Purposes: (1) To establish the basic desirability of a project; and (2) To
identify the high priority projects that fall within the responsibility of the
public.
- Sources: (1) Development plans of the national, regional or local
government, NGAs or GOCCs; (2) Interest groups or beneficiaries; (3)
International funding agencies
- Basic Results: (1) Existing or potential needs are determined; (2) Ideas
for overcoming these existing or potential deficiencies are
established; (3) Initial technical, environmental and economic
considerations of projects are identified; (4) Alternative ways to
accomplish desired objectives are examined; (5) Initial assessment of
costs, timeframe and scope of the project is made; (6) Human and
non-human resources to create and support the facilities/services are
identified; and (7) Initial project design is selected.

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❖ Project Preparation
- Purposes: (1) To refine the elements described in the project
identification phase; and (2) Make the project ready for the appraisal
stage.
- Elements: These depend on the nature of the project, but in general
the following are considered: (1) Description of the project
objectives; and (2) Setting of timetables for the different phases of
the development cycle.
- Basic Results: (1) Detailed plans required to support the facility are
prepared; (2) Possible technical packages to be considered are
identified; (3) More realistic assessment of costs, time schedule and
operational requirements; (4) Areas where high risk and uncertainty
exists are identified; (5) Human and other resources required for the
project are more firmly identified; (6) Necessary support systems are
determined; and (7) Documents required to support the project are
identified & initially prepared
- Summary of Expected Results: (1) Project preparation must cover the
full range of market, technical, institutional, financial and economic
issues the relevant to achieving the project objectives (e.g.,
government policies and procedures, technical and institutional
alternatives)
o Areas of Viability
▪ Market Aspect
▪ Technical Aspect
▪ Financial Aspect
▪ Operational Aspect
▪ Economic Aspect
❖ Project Approval and Financing Negotiation
- Purposes: (1) To determine if project meets the financial, economic
& social criteria set by government for investment expenditures; (2)
To finalize the project financing; (3) To draft the detailed loan
document.
- Basic Result: Provisional decision to approve or disapprove the
project is made
❖ Project Implementation
- Purpose: (1) Resources are allocated & coordinated to make the
project operational
❖ Project Operation
- Essential Concern: The skills, plans, & controlling organization are
available & ready to avoid excessive start-up costs.
❖ Project Evaluation.

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- Two types of evaluation:
o On-going evaluation. Conducted within project life as early
warning system that may lead to adjustments in project design.
Evaluation focuses on whether the organization is implementing
right policies, programs and/or projects – i.e. As currently
constituted, are they likely to meet their intended target
beneficiaries needs [outcomes and impacts] when fully
implemented?
o Ex-post evaluation. Done after project life to determine impact.
To what extent have the Policies, Programs and/or Projects are
already met the needs of their intended target beneficiaries;
and what are the prospects for the long term?
- Purpose: (1) Project’s performance is assessed as to its overall
contribution to the country’s development; (2) Elements of success
and of failure are analyzed, so that....; (3) On going projects may be
modified and subsequent projects can be improved.
- Basic Result: (1) New policies, better management practices and
improved procedures are adopted to improve future project
performance; (2) Entity that may be interested to conduct
o Project management
o Sponsoring government department or agency
o Operating agency
o Controlling agency
o Government planning organization
o External aid agency.

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 Social Work
Practice 1 and
Field Instruction
1
(Working w/ Individuals and Families)

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 SOCIAL WORK PRACTICE I WITH FIELD INSTRUCTION I

Part I. SOCIAL WORK PRACTICE I

A. Knowledge and Philosophical Foundations of Social Work

1. -Historical Development of Social Work

EUROPE

16th Century

● Period of Reformation Martin Luther King (1520) in Germany appealed to

forbid begging instead organize a common chest.

17th Century

● Fr. Vincent de Paul in France became one of the most important

reformer of charities. He organized lay orders: Ladies of Charity and
Daughters of Charity (1633), the latter was considered as the forerunner
of modern social work

1852

● Elberfeld System – application of Vives concept as proposed by a

banker Daniel von Heydt
- An unsalaried almoner whose duty was to investigate each applicant for aid
and to make visits every two weeks as long as aid was given.
- The almoners met every two weeks under direction of an unpaid overseer to
discuss the cases and to vote needed relief.
- Relief was granted in money according to a fixed schedule for two weeks at
a time, any earning the family may have garnered being deducted.
- Tools were furnished when advisable.

ENGLAND

14th Century

● Made a distinction between 2 classes of poor:

a. The able-bodied – who can earn a living
b. The impotent poor – who could not work

● Statute of laborer of 1349 – King Edward III – first law for the poor in
England

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16th Century
● Poor relief system: (1) house of correction or (2) almshouse

17th Century
● Elizabethan Poor Law (The Poor Relief Act of 1601) - created a national
poor law system for England and Wales. It formalized earlier practices of
poor relief distribution in England and Wales and is generally considered
a refinement of the Act for the Relief of the Poor 1597 that established
Overseers of the Poor.

The "Old Poor Law" was not one law but a collection of laws passed
between the 16th and 18th centuries. The system's administrative unit
was the parish. It was not a centralized government policy but a law
which made individual parishes responsible for Poor Law legislation.

The 1601 act saw a move away from the more obvious forms of
punishing paupers under the Tudor system towards methods of
"correction"

Several amending pieces of legislation can be considered part of the

Old Poor Law. These include:
1662 – Poor Relief Act (Settlement Acts)
1723 – Workhouse Test Act
1782 – Gilbert's Act
1795 – Speenhamland

● 1782- Gilbert Act – transfer from indoor relief to outdoor relief which
provided that persons able and willing to work should be maintained in
their own homes until they found employment

● 1780-1847 - Rev. Thomas Chalmers, parish minister from Scotland

organized a program of “private charity” on the principle of neighborly
aid.

● Aug. 14, 1834 - Poor Law Amendment Act (NPLAA) - was an Act of the
Parliament of the UK passed by the Whig government of Earl Grey that
reformed the country's poverty relief system (with the exception of
Scotland, which reformed their poor law in 1845). Based on 3 main
doctrines:
1. Malthus's principle that population increased faster rather than
resources unless checked
2. Ricardo's "iron law of wages" and
3. Bentham's doctrine that people did what was pleasant, and would
tend to claim relief rather than working

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19th Century
Three main factors:
1. Social Reform Movement
- Chartists Consumer’s Cooperatives by Robert Owen
(1844-1848)
- Christian Socialists
- Housing Reforms: Octavia Hill (1864) with John Ruskin started a project of
rebuilding slums in London. Used/Enlisted Lady volunteers to collect rents, to
give advices to families in home management and sound leisure activities.

2. Charity Organization Societies

- Society for Organizing Charitable Relief and
Repressing Mendicity (SOCRRM) was founded in London in 1869 (Charity
Organization Society/COS/The Society)
- Toynbee Hall – 1st settlement housing in London (1884) named after Arnold
Toynbee

3. Methods of Social Research

- 1886 Charles Booth hired people to conduct a research into the real
conditions of thousands of employed workers’ families

20th Century
Problem on unemployment

19th Century
● 1905- Poor Law Commission established a policy of social reform with the
following:
- Abolished the punitive characteristics of poor relief in favor of humane
public assistance program
- Abolished mixed almshouses

● 1911 - Introduced a system of national pensions for the aged, free

hospital treatment for the poor, gratuitous public employment services,
and a program of “social insurance” with unemployed and health
benefits
● 1909- 1920s Social Legislations on
1. slum clearance and public housing
2. old-age pensions to unemployable blind people, and consultation
centers for expectant mothers and children

● During the 2nd World War (1939)- Allowance to war victims

● 1941- Abolished the responsibility of grown up children for their parents

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 ● 1942- Re-examined the entire British Social Insurance and Welfare
program by a Committee headed by Lord William Beveridge which
devised a comprehensive system of social security based upon 5
program:
1. A unified, comprehensive, and adequate program of social insurance
2. A program of public assistance for people not sufficiently protected thru
social insurance
3. Children’s allowances (family allowance)
4. Comprehensive free health and rehab. Services for the entire population
5. Maintenance of full employment thru public works measures

UNITED STATES OF AMERICA

17th Century- Early settlers from England viewed paupers as criminals

-They adopted the Elizabethan Poor law (legal settlements or
residential qualifications)

Public – poor relief was given in the form of outdoor relief in kind (food,
clothes, fuel) or by selling out the pauper to the lowest bidder
Private – poor relief was given by church charities, benevolent societies
or associations of certain nationality and philanthropic associations

● 1773- 1st institution for mentally ill – Eastern State Hospital at Williamsburg,
Virginia
● 1783- Dr. Benjamin Rush introduced a humane treatment of the mentally
ill
● 1790- 1st state penal institution at Philadelphia, Pennsylvania
● 1817- 1st asylum for the deaf at Hartford, Connecticut
● 1821- 1st asylum for the blind at Boston, Massachusetts
● 1848- 1st state school for the feeble minded at Boston
● 1879 1st prison for women at Sherborn, Massachusetts
● 1843-1853- Dorothea Dix – exposed thru documentation the suffering of
mentally disturbed patients resulting to the construction of 32 hospitals
for mentally ill
● 1863– Creation of the 1st State Board of Charities in Massachusetts a
central agency for the supervision of all state charitable institutions
● 1871– Charity Organization Society (COS) in Buffalo, NY intended to
avoid waste of funds, competition and duplication of work among the
relief agencies thru a board composed of representatives of these
agencies
- Required the social investigation of every relief applicants by the
“friendly visitors”
- COS functioned as the SW coordination and planning body

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 - United Charities or Association of Charities is concerned with
family and children services
● 1897 Establishment of Training School for Applied Philanthropy by Mary
Richmond which led to the organization of the 1st social work courses in
NY in 1898

19th Century

2 major changes are:

1. active role of private charities and
2. State responsibility to certain type of needy groups

● 1913- Establishment of Community Chest in Cleveland – tasked to collect

private contributions and donations and for fair distribution to social
agencies
● 1887- 1st settlement house in the US – The Neighborhood Guild of NY
● 1889- Hull House in Chicago by Jane Addams and Ellen Gates
Starr
● 1909 Pres. T. Roosevelt invited workers of child welfare agencies to the
White House. The conference was about the care of dependent
children
● 1920- Establishment of Child Welfare League of America – a voluntary
nationwide organization for the development of standards for childcare
and protection
● May 1933 Pres. F. Roosevelt – Federal Emergency Relief Act (FERA) In
1935 FERA was abolished and replaced by Works Projects Administration
● 1933-1942 Civilian Conservation Corps (for youth ages 17-25)
● 1935-1944 National Youth Administration
-Student Aid Program
- OSY
● Aug. 14, 1935– Passage of the Social Security Act

PHILIPPINES

Pre-colonial (900 AD to 1521)

SW during the pre-colonial period centered on mutual protection and
economic survival

Spanish Period (1565- 1898)

The Spaniards brought the teaching, “to do good to others for the salvation of
their souls”, and which for many years was the underlying philosophy behind
all social welfare activities.

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 ● 1565 1st hospital in Cebu - founded Don Miguel Lopez de Legaspi
● 1565 1st school in Cebu – founded by Augustinians
● 1571 Transferred in Manila and in 1578 named Hospitalito de Santa Ana
renamed during the American: Sternberg General Hospital
● 1578 San Lazaro Hospital was built for Filipino beggars and became a
hospital for lepers (1631) pioneered the organized isolation of the sick by
Fr. Juan Clemente
● 1586 San Juan de Dios
● 1850 Start putting up of public schools
● 1885 Asilo de San Vicente de Paul – asylum for girls
● 1867 593 primary schools with a total of 138,990 enrollees
● 1882 Hospicio de San Jose - to house the aged and orphans, the
mentally defective and young boys requiring reform
● 1899 The National Red Cross Hermanos – a women’s group that gives
medical carE

American Period(1898–1946)

Americans introduced a new educational system, new health methods, and

religious freedom

● 1902 - Creation of insular board

- Tasked to coordinate and supervise private institutions engaged in
welfare work
- Provide subsidy to expand hospitals and asylums
● 1905 Philippine Chapter of American Red Cross (ARC)
● 1907 La Gota de Leche was established to furnish child-caring institutions
with fresh cow’s milk from dairy farm in Pasay, Manila, supervised by a
veterinarian. This agency later opened free consultation clinic for
mothers.
● 1908 Philippine General Hospital
● 1910 - 1st deaf and blind school was established
- Philippine Anti-tuberculosis was organized
● 1911 Est. of Tuberculosis Sanitarium in Santol, QC
● 1913 Association de Damas Filipinas was organized to help destitute
mothers and their children.
● Feb. 5, 1915 Public Welfare Board was created – tasked to coordinate
the welfare activities of various existing charitable organizations under
Legislative Act No. 2510
● Jan. 1917 1st government owned orphanage was established in Makati
● In 1926 some children were transferred to Welfareville
● 1917 Associated Charities of Manila was established

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 - concept of community chest
- between 1919 -1921 the ACM was fused w/ARC
● 1924- The Associated Charities became an independent agency under
the supervision of the Public Welfare Commissioner, and was partly
financed by the government, and partly by private contributions.

Considered as the Mother of social work profession in the Philippines

● 1921 - Office of the Public Welfare Commissioner (OPWC) was created

under Dept. of Interior
- Josefa Jara Martinez introduced the scientific approach in SW in
the Phils.
- Replaced the Public Welfare Board
- Studied SW in New York in 1921
● 1922 OPWC prepared solicitation forms which it required the public to
demand of any person appealing for donations and charities. This was
done to protect the public and organizations from unscrupulous persons
collecting funds.

This was not legal sanctioned until in 1933 wherein a law (Philippine
Legislative Act No. 3203) was passed requiring “any person, etc. desiring to
solicit or receive contribution for charitable or public welfare purposes to
secure a permit to do so from the Director or Public Welfare.”
● January, 1924 -March, 1925- The first known school social work program
in the
country took the form of an “experiment” at the Zaragoza Elementary School
in Tondo (now the Rosauro Almario Elem. School).

The project resulted from the voluntary act of a social worker in the Public
Welfare Commission, Josefa Jara Martinez

● 1924 Philippine Legislative Act No. 3203 - relating to the care and
custody of neglected and delinquent children and providing probation
officers for them
● 1926 Association de Damas Filipinas founded a Settlement House on
Rizal Ave., Manila patterned after Jones Addams’ Hull House in Chicago
● 1930s The Associated Charities were unable to cope with the number of
applicants for relief and other social services, despite appropriations
made by the Office of the PublicWelfare Commissioner. Public Welfare
Commissioner director at the time is Dr. Jose Fabella
● 1933 Frank Murphy became the Governor-General. Under him the
following were conducted:
1. Scholarship grants for professional training in social work in the United
States

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 2. The Legislature appropriated funds for the operations of government
child and maternal health centers which was established in every town
with at least 2,000 pop.
3. Created First Housing Committee which studied Manila Slums resulted
to 31 model houses in Tondo
4. Unemployment Committee which recommended the creation of
National Emergency Relief Board

The Murphy administration’s social welfare programs marked the first time the
government assumed full responsibility for the relief of the distressed due to any
cause.
Commonwealth (1935-1946)
● 1940 The Office of the Commissioner of Health and Public Welfare was
abolished and replaced by a Department of Health and Public
Assistance Service, which took over the activities that used to be
performed by the Associated Charities which, by then, had ceased to
exist.
● Pres. M. Quezon passage of the anti-usury laws – 8 hours labor law,
minimum wage, et.al.
● November 1, 1939 Commonwealth Act No. 439 created the Department
of Health and Public Welfare
● 1941 - Establishment of the Public Assistance Service
- Bureau of Public Welfare officially became a part of the Department
of Health and Public Welfare. In addition to coordinating services of all
public and private social welfare institutions, the Bureau also managed
all public child-caring institutions and the provision of child welfare
services.

Japanese Period (1941-1945)

Social Welfare activities during the period consisted mainly of giving medical
care and treatment, as well as food and clothing, to the wounded soldiers,
prisoners and civilians.

● 1945 Philippine War Relief, Inc. from US landed in Leyte

Post War Years

● 1946 - Re-open of Bureau of Public Welfare (BPW) but lack of funds
limited its operations
- UN General Assembly created The United Nations
- International Children’s Emergency Fund (UNICEF)
● In 1948 UNICEF became active in the Philippines
● 1947 Creation of Philippine Association of Social Workers (with 8
members)

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 ● Oct. 4, 1947 BPW became the “Social Welfare Commission” under Office
of the President
SWC offered 3 categories:
1. Child Welfare - including probation and parole
2. Public Assistance – relief and case work
3. Coordination & Supervision – War Relief Office was place under
SWC
● 1948 Pres. Quirino created the President Action Committee on Social
Amelioration (PACSA) – It is a comprehensive program of health,
education, welfare, agriculture, public works and financing PACSA was
also tasked with giving relief assistance to the hungry, homeless and sick.
● 1949 Council of Welfare Agencies of the Philippines and the Community
Chest of Greater Manila were organized
● 1950’s Establishment of
- The Philippine Youth Welfare Coordinating Council
- Philippine School of Social Work (MA in Social Admin.) at PWU
With 33 youth serving agencies
Jan. 3, 1951 The Social Welfare Commission and the President’s Action
Committee on Social Amelioration were fused into one agency called the
Social Welfare Administration
3 divisions are:
- Division of Public Assistance
- Child Welfare Division
- Division on Rural Welfare (created by Administrative Order No. 7, on
September 5, 1951)
It deals with the mounting social problems in the rural areas.

“Self-Help” became the underlying philosophy for the rural community

development projects.
● July 1961 Launching of the UNICEF Assisted Social Services Project
under the Social Welfare Admin.
● Nov. 24, 1964 Adopted the Phil. SW Code of Ethics, rev. on Nov. 1998
● 1965 RA 4373: “An Act to Regulate the Practice of Social Work and the
Operation of Social Work Agencies in the Philippines”
– The law requires completion of a Bachelor of Science in Social Work
degree, one thousand hours of supervised field practice, and the passing of a
government board examination in social work for licensing or registration as a
social worker.
– It is the formal recognition of social work as a profession in the
Philippines.

● 1967/1968/1969 3 National Workshop on SW education, formed an

ADHOC Comm. → became School of Social Work Association of the
Philippines (SSWAP) in Nov. 12, 1969 SSWAP → PASWI = NASWEI
● 1968 RA 5416: Social Welfare Act – elevated SWA to a Department

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 ● Sept. 8, 1976 DSW change to DSSD (Dept. of Social Services and
Development)
- Prioritization of the bottom 30%
● June 2, 1978 Pres. Marcos issued Presidential Decree No. 1397,
converting departments into ministries thus the Ministry of Social Services
and Development.

The organizational structure, functions and programs remains the same.

The sixties and seventies marked the existence of voluntary organizations and
establishment of even more agencies.

● 1980’s MSSD:
- Launched the Case Management System, Total Family Approach and
Integrated Human Resource Development Program
- Self-Employment Assistance was upgraded.
- Social Welfare Indicators was updated to monitor the
level of well-being of the MSSD service users
● Jan. 30, 1987 Pres. Aquino reorganized MSSD and change it to DSWD

1990’s The DSWD continued the 5 program areas of concern during the early
nineties. It also gave priority attention to Low Income Municipalities (LIMs) and
other socially depressed barangays.

The aftermath of the Mt. Pinatubo eruption was the use of Crisis Incident Stress
Debriefing (CISD), a form of crisis intervention used with victims of disasters and
other crisis situation.
● October 10, 1991 R.A. 7160: Local Government Code
Implementing functions together with its programs and services were
devolved to its local government unit.

The Department, retained its specialized social services consisting of four

categories:
a. Center/institution-based services;
b. Community-based programs and services;
c. Locally-funded and foreign-assisted projects; and
d. Disaster relief and rehabilitation augmentation.

● Feb. 1999 NGO Network launched the Philippine Council for NGO
Certification (PCNC)

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Definition of Social Work in the West and in the Philippines

Social Work – is the profession which is concerned with mans adjustment to his
environment: a person (or groups) in relation to a person’s (or their) social
situation.

Social Functioning - is a result from the performance of person’s various social

roles in society.

Social Functioning are caused by any of the following:

a. Personal inadequacies or sometimes pathologies;
b. Situational inadequacies;and
c. Both personal and situational inadequacies

Social Work’s Focus of Concern:

Wernes Boehm (1958) – Social work seeks to enhance the social functioning of
individuals, singularly and in groups, by activities focused upon their social
relationships which constitute interaction between the individuals and their
environments.

William Schwartz (1961) – the general assignment for the social work profession
is to mediate the process through which the individual and society reach out
to each other through a mutual need for self fulfillment.

William Gordon (1969) – person-in his-life situation complex.

Harriet Bartlett (1970) – social functioning is the relation between the coping
activity of people and the demand from the environment.

Louise C. Johnson (1989) – social workers become involved when individuals

are having difficulty in relationship with other people; in growing so as to
maximize their potential; and in meeting the demands of the environment.

Social work is a profession that is practiced independently or as part of a team

in many different fields, health, education, corrections, and community
development

The US Council on Social Work Education has this

definition of social work: “Social work seeks to enhance the social functioning
of individuals, singly and in groups, by activities focused upon their social
relationship which constitute the interaction between man and his
environment. These activities can be group into three functions:
a. Restoration of impaired capacity
b. Provision of individual and social resources
c. Prevention of social dysfunction

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June 27, 2001 - the International Association of Schools of Social Work and the
International Federation of Social Workers jointly announced this new
International definition of social work which, it is believed, is applicable to social
work practitioners and educators in every region and country of the world:
“The social work profession promotes social change, problem solving in human
relationships and empowerment and liberation of people to enhance well
being. Utilizing theories of human behavior and social systems, social work
intervenes at the points where people interact with their environment.
Principles of human rights and social justice are fundamentals to social work.”

1930 – Social Work introduced as a systemic method of helping people in the

field of public welfare in the Philippines.

1. Definition of Social Work as a Profession

De Guzman- Social Work is universally regarded as the profession which helps

individuals, families, groups and communities to develop, improve, maintain,
or restore their capability for coping with the demands of their environment
through the use of social work methods of intervention.

R.A. 4373 (Social Work Law)- Social Work as a profession that is primarily
concerned with organized social service activities aimed to facilitate and
strengthen basic relationships in the mutual adjustment between individuals
and their social environment for the good of the individual and society and by
the use of social work methods.

Five Elements of a Profession (by Ernest Greenwood)

1. Systematic Body of Theory – the skills that characterize a profession flow from
and are supported by a fund of knowledge that has been organized into an
internally consistent system called body of theory.
Three types of knowledge:
▪ Tested knowledge –knowledge that has been established through
scientific study (research).
▪ Hypothetical knowledge – still has to undergo transformation into
tested knowledge,
even if tentatively such knowledge may be accepted to explain certain
facts, unapproved theory.
▪ Assumptive knowledge – practice wisdom.
2. Professional Authority – extensive education in the systematic theory of her
discipline provides the professional with a type of knowledge which the
layman does not have.

3. Community Sanction – the community sanctions a profession’s authority by

way of giving it certain powers and privileges such as control over its training

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centers, admission into the profession, and standards for professional
performance.

4. Regulative Code of Ethics – every profession has a built-in regulative code,

partly formal and partly informal, which compels ethical behavior on the part
of its members.

● Formal Discipline – exercised by the professional

associations, which usually have some system of censuring
unprofessional behavior.
● Informal Discipline – comes in the form of subtle and the not-
so-subtle pressures that co-professionals exert upon one
another such as consultation and referral.

5. Professional Culture – the interactions of social rules required by the formal

and informal groups generate a social configuration unique to the profession.
● Social values – refer to the basic and fundamental beliefs of a
professional group, practically the reason for its existence.
● Professional norms – are the accepted standards of behavior of
doing things, which guide the professional in various situations.
● Symbols – are meaning-laden items.

Functions of Social Work

● Restorative, Curative or Rehabilitative Function - This function seeks to

assist individuals and groups to identify and resolve or minimize problems
arising out of a disequilibrium between themselves and the environment.

● Preventive Function - to identify potential areas of disequilibrium

between individuals or groups and the environment in order to prevent
the occurrence of disequilibrium.

● Developmental Function - provision to seek out, identify , and strengthen

the maximum potential in individuals groups and communities.

4 BASIC COMPONENTS OF SOCIAL WORK PRACTICE

(De Guzman) 4 P’s (Helen Perlman)

1. Person Person
2. Problem Problem
3. Agency Place
4. Helping Process Process

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 ● Person/client
It refers to an individual (man, woman, or child), a family, small group or
community who finds himself or themselves is found to be in need of help in
some aspects of his economic, social and emotional living. It also refers to “one
for whom professional services are rendered” or the “one dependent on the
patronage(protection) of other. “Case” is another term refers not only to the
person or persons involved but includes the state of affairs or the situation in
which they are the principal characters.

Types of clients:
Walk-in. This refers to an individual, a couple, or representatives of an
organization or community who, on their own, seek the help of an
agency/social worker about a concern or problem. The client initiates
the contact.

Referred. The client is referred to the worker or agency by some

interested or
concerned party- a relative, neighbor, teacher, etc. Examples are the
mentally disturbed and severely handicapped persons. This term is also
applicable to those who are referred by others merely forced to secure
help- involuntary clients. Examples are drug users and juvenile
delinquents.

Reach-out. These are the subjects for the “outreach” efforts of the
agencies. They are aware of the existing community agencies and the
services they offer yet are too shy or are not adequately motivated to
seek help, especially on a personal or family problem.

“Person-in-situation” approach/”total person in-situation” approach is the

approach of studying the person/client not only by himself but the person in
his element as a biopsychosocial being.

Client system refers to all entities, person, family, group, organization or

community that receive or command the attention of the social worker.
System implies that the entities are acting like units of one collective entity and
are interacting in an interrelated and interdependent manner with each other.

● Problem. It is a question or situation that presents uncertainty, perplexity

or difficulty. The following are the problems that are most often
presented to social workers in the Philippines.

Economic problem:
Lack of economic and social resources
Lack of educational skills, knowledge and experience
Emotional problem:
Lack of love, care and protection

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Illness and disability
Lack of opportunities or access to resources
Psychosocial problems:
Emotional reaction to stress
Loss of relationship
Internal conflict
Culture conflict
Maladaptive group Functioning

● Agency. It is a human service instrumentally which has been set up to

help human beings who are experiencing some difficulty in the
management of their own affairs either as individuals, families, groups
and communities. In simpler terms, it is known as the “provider of
resources”. Social welfare agency is the structured framework within
which the administrative tasks are carried out. It is the operational
translation of social policy which has been set up by the founders and/or
organizers, or by the government itself.

The Department of Social Welfare and Development (DSWD) is the

government’s primary welfare agency.

Type of agencies (based on funding):

❖ Governmental (Public): DSWD

❖ Non-governmental (Private): Christian Children’s Fund, Foster Parents
Plan Inc., CARITAS Inc., Education and Research Development Agency
(ERDA), Huspicio de San Jose (operated by the Daughters of Charity)
❖ Semiprivate: Philippine National Red Cross

● Helping Process

The last and most important component of social work practice it is the helping
process, it is means through which an agency purpose is achieved. It is the
phase through which treatment is applied to attain a change in behavior or in
the environment, or a problem is alleviated or resolved.

The goals are: (1) to help individuals, families, groups and communities cope
with problems they find difficulty in solving or in meeting their basic needs in
such a way that they will make use of their conscious, efforts, choices, and
competencies; and (2) engage the client in ways of coping that may be of use
to him in dealing with new or other problems that he may encounter now and
then as long as he lives, It has basically three major phases (Hepworth and
Larsen, 1986):

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PHASE I – Exploration, assessment and planning (Beginning)
PHASE II – Implementation and goal attainment (Middle)
PHASE III – Termination and evaluation (Ending)

The following are the two presentation of the simplified steps in the helping
process:

(De Guzman) (Mendoza)

1. Identification of the presenting problem 1. Assessment
2. Data-fathering 2. Planning
3. Diagnostic assessment 3. Implementation/Intervention
4. Planning the intervention 4. Evaluation
5. Implementation/Intervention 5. Continuation or Termination
6. Evaluation
7. Continuation or Termination

2.1 Differentiate Philosophical Values Foundation from Knowledge

Foundation of Social Work

The Philosophical and Values Foundation of Social Work Profession

Distinguishing Profession from an Occupation (Boehm):

● A profession is expected to be responsible to the public interest
● Should possess a relatively coherent, systematic, and transmissible body
of knowledge
● Professional Practitioner must adhere to an identifiable body of values
● Must have body of skills
● Must be organized

Three Essential Components of a Profession:

knowledge + value= skills

1. Value
- defined as that worth which man attaches to certain things,
systems,
or persons within the realm of usefulness, truth, goodness or
beauty.
- Is to prefer (William Gordon)
-Our values are the source of our attitudes and determine our
relationships with others.
2. Knowledge
-Refers to what is thought to be, as confirmed by reality.
-Established by the highest standards of objectivity and rationality
of which man is capable.
3. Skill

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 - Ability, expertness, or proficiency gained from practice and
knowledge.
- Concerned with the application, with doing.
- It is an art.

Professional skill – refers to one’s ability to apply the knowledge

and values of one’s profession in her work with people.

The Philosophy of Social Work

● Based on the belief that man has worth and dignity associated
with a democratic theory which views that man as having worth
because he is capable of reason, of rational analysis, and choice.
● Man is created in the image of God.

The Values of Social Work

1. Each person has the right to self-fulfillment.

2. Each person has the obligation to seek ways for self-fulfillment for
common good.
3. Society has the obligation to facilitate self-fulfillments.
4. Each person requires for the harmonious development of his
powers.
5. Specialized social organization is required to facilitate the
individual’s effort at self-realization.
6. Social organizations must make available socially-provided
devices for needs-satisfaction for the general welfare.

Concepts Implied in these Values:

1. The concept of human potentials and capacities.
2. The concept of social responsibility – the concept of rights and
responsibilities.
3. The concept of equal opportunities – premised on the ideal of social justice:
fairness and equality.
4. The concept of social provision “The ultimate value of social work rests upon
a conviction that it is good and desirable for man to fulfill his potential, to realize
himself and to balance this with equal effort to help others do the same.”

Different Views about Man (Schneiderman)

1. Natural vs Transcendental View – natural- man is part of nature;

transcendental– science can never fully explain man.

2. Man as Social, Asocial, or Anti-social – social- men aspire to live in good

terms with others: asocial- they are discreet individuals who come together to

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form groups for their mutual protection and safety: anti-social- men are viewed
as inherently self-seeking, egotistical, out to extend personal gain at the
expense of others.

3. Democracy’s View of Man – man is viewed as capable of reason, of rational

analysis and choice.

Dominant Filipino Values:

1. Social Acceptance – being taken by one’s fellow for what one is, or believes
he is, and being treated in accordance with his status.
a) Smooth Interpersonal Relations (SIR) – a facility at getting along with
others in such a way as to avoid outward signs of conflict, either thru
pakikisama, euphemism, and go-between (tulay).
b) Amor Propio – is a term used to refer to the sensitivity to personal
affront and functions to protect the individual loss of social acceptance.
2. Emotional Closeness and Security in a Family
3. The Authority Value – with God is considered the ultimate source of authority
4. Personalism – this value attaches major importance to the personal factor
which guarantees intimacy, warmth, and security of kinship and friends in
getting things done.
5. Utang na Loob – debt of gratitude
6. Patience, Suffering and Endurance – a person must suffer before he she
gains happiness.

Social Work Principles

1. Acceptance of people as they are.

2. Participation of the client in problem solving.
3. Self-determination as a right of the client.
4. Individualization of clients
5. Confidentiality
6. Worker Self-awareness
7. Client-Worker Relationship

Professional Ethics

Ethics is the science that treats of morals and right conduct.

Professional Ethics is the system of ethical principles and rules of conduct
generally accepted by members of a professional group, based on the
philosophy, values, and guiding principles of that profession.

• Purposes of Code of Ethics:

1. It helps check abuses.

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 2. It provides the community some protection against abuses by
members of the profession.
3. It sets forth basic principles.
4. It sets guidelines for relationships.
5. It is a useful resource for the enrichment or improvement of the
professional curriculum.

• Ethical Dilemmas:
1. Manipulation
2. Advocacy
3. Conflicting loyalties
4. Cultural and other realities

Global Social Work Statement of Ethical

Principles:
1. Recognition of the Inherent Dignity of Humanity
2. Promoting Human Rights
3. Promoting Social Justice
4. Promoting the Right to Self-Determination
5. Promoting the Right to Participation
6. Respect for Confidentiality and Privacy
7. Treating People as Whole Persons
8. Ethical Use of Technology and Social Media
9. Professional Integrity

The Knowledge Foundation of Social Work

Knowledge base of social work is a comprehensive topic which

encompasses the facts and theories and skills and attitudes necessary for
effective, efficient practice. (Alfred Kadushin)

“Values answer the question whether a proposition is right or wrong;

while knowledge answers the question as to whether something is true or false.”
- Compton and Galaway

Areas in Social Work:

1. Human Behavior and Social Environment – is concerned with the material
necessary for understanding the client in his problem situation, the dynamics
of individual and group behavior, and of group and community processes
which affect or influence the individual, the group and the community.

• The individual is a biopsychosocial being

• Biological components, Psychological components (cognitive, emotional,
and conative); and Social components (societal, institutional, status, norms,
and interactive).
• Subjects:
Theories of Personality

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 Social Deviation and Social Work
Social Environment and Social Work
Philippine Social Realities
Social Change and Development Perspective

2. Social Welfare Policy, Programs, and Services – is concerned with the

organization, administration, and operation of social welfare programs and
services which are established in society in order to meet human needs and
problems, the development of these policies and programs, the
interrelationship of the agencies which undertake them, and nature of needs
being served by these programs.

• The Concept of Needs, Concept of Problem, Concept of Provision,

Motivations for Social Welfare Programs and Services, Social Welfare Programs
and Services, Philippine Social Welfare Agencies and Institutions.
• Subjects:
Social Welfare Policies
Programs and Services
Social Welfare Agency Administration
Philippine Laws
Social Welfare Program Development and Management
Social Work Community Education and Training
Social Work Research
Social Work Statistics

3. Social Work Practice/Methods – is concerned with the actual process by

which the social worker helps her client – an individual, group, or community,
the methods and techniques of helping, the resources necessary for helping,
as well as the appropriate attitudes that facilitate the helping process.

• The Philosophical Foundation of Social Work, the Social Work Practice Theory,
the Helping/Problem-solving process, the Helping/Interventive
Models/Approaches, Selected tools in Problem-solving, Skills in corresponding
to the steps in the problem-solving process.
• Subjects:
Social Work Practice with Individuals and Families
Social Work Practice with Groups
Social Work Practice with Communities
Social Work Counseling
Fields of Social Work
Social Work Communication and Documentation
Seminar on Current Trends in Social Work Practice

4. Field Instruction – aimed at providing students with opportunities for

integration of learning in the three areas by way of supervised social work
practice in selected settings, completes the curriculum plan.

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 2. Interrelationship of Social Work and Social Welfare; Social
Services and Planned Change

Social Welfare

Everything than men do for the good of society

Organized concern of all people for all people. (Gertrude Wilson)

Organized system of social services and institutions designed to aid

individuals and groups to attain satisfying standards of life and health.
(Walter Friedlander)

Includes those laws, programs, benefits and services to assure provisions

to meet the social needs of the population. (Elizabeth Wickenden)

Organized social arrangements which have a primary objective to

enhance the well-being of people in a social context. (Pre-Conference
Working Committee for XVth International Conference on Social
Welfare)

Two Categories of Social Welfare

1. Residual- social welfare structure as temporary, offered during
emergency situations.
2. Institutional- sees social welfare as proper, legitimate function of
modern society.
Categories of Social Welfare Programs
1. Social Security - compulsory measures
2. Personal Social Services - major bearing upon personal problems
through provision of direct services
3. Public Assistance - provision materials/concrete aids/supports

Social Welfare Goals

1. Humanitarian and Social Justice Goals

2. Social Control Goal
3. Economic Development Goals

Social Services

Refers to the programs, services and other activities provided under

various auspices, to concretely answer the needs and problems of the
members of society.

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 Social services as a partial compensation for the socially generated
disservices or dysfunction. (Richard Titmus)

SOCIAL WORK METHODS OF INTERVENTION

The Social work method of intervention refers to the application helping

repertoire of the methods and processes of differential, influential, planned
action taken by a Social Worker to sustain selected helping purposes. These
are change-inducing and resource-providing actions.

Two Classification of Methods:

1. Primary method/direct method

● Social Casework
● Social Groupwork
● Social Community Organizing/Work

2. Secondary method/indirect method

● Administration
● Research

Planned Change

There are 4 essential elements in social work practice: (1) Client, (2)
Worker (3) Problem, and (4) Process. These elements can be understood in the
context of Planned Change of the works of Lippitt, Watson and Westley.
According to them, “social work is planned change.”

Planned Change is a change that originated from a decision to make a

deliberate effort to improve the system and to obtain the help of an outside
agent making this improvement. The initiation of change may start from the
system itself after experiencing pain or discovering the area to improve or by
an outside change agent who observed the need for a change in the system.

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 3. Generalist Social Work

It is defined as the use of a range of skills as needed to intervene in a

variety of client life situations. The generalist practitioner’s function is to have
as wide a skill of repertoire as possible in order to facilitate the interactions
between people and the social institutions and situations in which they live.

Dubois & Miley (2002) elucidated Generalist Social Work Practice as follows:

➔ Utilizes generic practice process to organize work with client system;

➔ Recognizes the potential for change at multiple system levels within
human systems between systems and among environmental systems;
➔ Views human behavior in the context of the social environment; and
➔ Integrates direct practice with social policy and social work research
activities

Sheafor and Horejsi (2003), the terms generalist practice and generalist social
worker refer to social work practitioner who has broad knowledge and skill,
who draws in several perspectives, theories and models and who can move
with minimal difficulty from one field practice to another. The generalist is
prepared to assume a variety of social work roles.

B. Social Casework

1. Foundation, context, nature, scope, definition, and goals of Social

Casework

1.1. Analyze the Social Conditions and Contexts of clients’ situations and
that gave rise to the emergence of casework in the Philippines.

Source: Working With Individuals: The Casework Process by Thelma Lee

Mendoza

Social Casework as a scientific method of social work intervention was

introduced into the Philippines during the early part of this 20th century. It is the
very first method of social work intervention that was developed by the social
work pioneers and also the first professional method of social work intervention
that was practiced in the Philippines. It is rooted in charity work or almsgiving.

Introduced in 1917 by the Associated Charities of Manila, a family

welfare agency that employed “home visitors.”

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 In 1941 the Associated Charities was absorbed by the Bureau of Public
Welfare to carry out its public assistance program and it employed social
workers who functioned as caseworkers.

The Casework Method gained momentum after World War II as a result

of the many war victims who suffered materially and emotionally. A War Relief
Office operated under the Social Welfare Commission which had replaced
the Bureau of Public Welfare. Its workers were now known as social workers. As
expected its activities were focused on war relief.

In 1954, the Department of Health issued a circular requiring national

provincial, city and emergency hospitals to employ social workers. This
development promoted the practice of social casework in medical and
psychiatric settings in public as well as private hospitals and clinics.

In 1951, the Social Welfare Administration (formerly SWC) had expended

and social workers were assigned in every province and major cities. It was
oftentimes engaged in disaster and emergency relief which left little time for
casework help.

By the 1960s the community organization method became the “in” since
the government was more on pushing community development.

In the 1970s the continuing increase in the number of out-of-school youth

as well as those with behavioral and social problems as well as disabled and
disadvantaged persons brought social group work to the fore. Casework
remained in doldrums because of the increasing poverty and consequently
heavy caseloads. Aid was focused on material things even by the private
agencies which were prompted to be family and child welfare oriented.

During the 1980s, it was observed that more and more clients were
exhibiting graver emotional and psychological problems found in addicted
youth and adults, child neglect abuse, and exploitation, marital conflict and
broken homes. Psychosocial dysfunctioning was also growing in numbers.
Casework practice was renewed in earnest, enriched and strengthened.

Today, casework remains the major method of social work intervention

used by many agencies. The focus is on the person-situation configuration. It is
family oriented. The upliftment of people in the lowest strata of the economic
and social structure will remain social work’s main concern as long as poetry
remains unabated.

1.2. Define social casework, its nature, scope, purposes and goals

SOCIAL CASEWORK

Esther C. Viloria (Most APPROPRIATE definition in the context of the Philippines)

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 Social Casework is a helping process which consists of variety of activities
that may include the giving of material assistance; referrals to other community
facilities; rendering emotional and psychological support through sensitive
listening; expressions of acceptance and reassurance; making suggestions;
appropriately advising and setting limits, encouraging him to affect his plans;
assisting the individual to narrate and examine his situation; and/or working out
with him a consideration and better understanding of causal connections
between his present attitudes and mode of adjustment with past experiences.

Leonora S. De Guzman
Social Casework is an individualized form of helping people cope with
personal problems especially on a one-to-one basis. These problems usually
involve a deficiency, an impairment or a breakdown in psychosocial
functioning.

Casework has three fundamental characteristics which distinguishes it

from the other social work methods. These are: individualization, the client-
worker relationship and social treatment.

Mary Richmond’s Concept of Casework

Casework involves the use of resources to facilitate the individual’s
adjustment to social living, to assist clients to understand their needs and
possibilities, and to help them work out their own programs.

Helen Harris Perlman

Social Casework is a process used by human welfare agencies to help
individuals to cope more effectively with their problems of social functioning.

Thelma Lee Mendoza

Casework seeks to improve the client’s capability to help himself to
improve his living and rise above the difficult circumstances that may be
surrounding him.

The overall goal of social casework is to achieve some improvement in a

person's social functioning by bringing about a change in his economic and
social living or environment.

One of the strategies in casework is to bring the client through the problem-
solving process so that he will benefit from the experience and will be able to
apply it in the future as he encounters other problems of daily living when
casework is no longer there to help him.

The casework process consists of a series of steps which are interrelated. Each
of these steps constitutes a process by itself each determining and in turn being
determined by the others. The (1) identification of the presenting problem, (2)
data gathering, (3) diagnostic assessment (4) treatment planning, (5)
treatment implementation, (6) evaluation, and (7) continuation or termination

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are each a process in themselves although intertwined in the whole casework
process.

2. Case management in the context of working with individuals and families

2.1. Define key concepts in working with individuals and families

● Components of Casework

The Person/ Client

It refers to an individual (man, woman, or child), a family, small group or

community who finds himself or themselves is found to be in need of help in
some aspects of his economic, social and emotional living. It also refers to “one
for whom professional services are rendered” or the “one dependent on the
patronage(protection) of other. “Case” is another term that refers not only to
the person or persons involved but includes the state of affairs or the situation
in which they are the principal characters.

Types of clients:

Walk-in. This refers to an individual, a couple, or representatives of an

organization or community who, on their own, seek the help of an
agency/social worker about a concern or problem. The client initiates the
contact.

Referred. The client is referred to the worker or agency by some interested or

concerned party- a relative, neighbor, teacher, etc. Examples are the
mentally disturbed and severely handicapped persons. This term is also
applicable to those who are referred by others merely forced to secure help-
involuntary clients. Examples are drug users and juvenile delinquents.

Reach-out. These are the subjects for the “outreach” efforts of the agencies.
They are aware of the existing community agencies and the services they offer
yet are too shy or are not adequately motivated to seek help, especially on a
personal or family problem.

“Person-in-situation” approach/ ”total person in-situation” approach is the

approach of studying the person/client not only by himself but the person in
his element as a
biopsychosocial being.

Client system refers to all entities, person, family, group, organization or

community that receive or command the attention of the social worker.

System implies that the entities are acting like units of one collective entity and
are interacting in an interrelated and interdependent manner with each other.

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Problem

It is a question or situation that presents uncertainty, perplexity or difficulty. The

following are the problems that are most often presented to social workers in
the Philippines.

Economic problem:
Lack of economic and social resources
Lack of educational skills, knowledge and experience

Emotional problem:
Lack of love, care and protection
Illness and disability
Lack of opportunities or access to resources

Psychosocial problems:
Emotional reaction to stress
Loss of relationship
Internal conflict
Culture conflict
Maladaptive group Functioning

Place

It is a human service instrumentally which has been set up to help human

beings who are experiencing some difficulty in the management of their own
affairs either as individuals, families, groups and communities. In simpler terms,
it is known as the “provider of resources”.

Social welfare agency is the structured framework within which the

administrative tasks are carried out. It is the operational translation of social
policy which has been set up by the founders and/or organizers, or by the
government itself.

Department of Social Welfare and Development (DSWD) is the government’s

primary welfare agency.

Type of agencies (based on funding):

● Governmental (Public): DSWD
● Non-governmental (Private): Christian Children’s Fund, Foster Parents
Plan Inc., CARITAS Inc.,
● Education and Research Development Agency (ERDA), Huspicio de San
Jose (operated by the Daughters of Charity)
● Semiprivate: Philippine National Red Cross

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*Research for the programs of DSWD

Self-employment assistance program

Practical training skills and job placement
Emergency assistance
Day Care and Supplemental feeding (devoted to the Brgy. (R.A 7160-1991))
Responsible parenthood
Special social services
Alternative education

Process

The last and most important component of social work practice is the helping
process, it is the means through which an agency's purpose is achieved. It is
the phase through which treatment is applied to attain a change in behavior
or in the environment, or a problem is alleviated or resolved.

The goals are: (1) to help individuals, families, groups and communities cope
with problems they find difficulty in solving or in meeting their basic needs in
such a way that they will make use of their conscious, efforts, choices, and
competencies; and (2) engage the client in ways of coping that may be of
use to him in dealing with new or other problems that he may encounter now
and then as long as he lives,

It has basically three major phases (Hepworth and Larsen, 1986):

PHASE I – Exploration, assessment and planning (Beginning)

PHASE II – Implementation and goal attainment (Middle)
PHASE III – Termination and evaluation (Ending)

The following are the two presentation of the simplified steps in the helping
process:

(De Guzman) (Mendoza)

1. Identification of the presenting problem 1. Assessment
2. Data-fathering 2. Planning
3. Diagnostic assessment 3.
Implementation/Intervention
4. Planning the intervention 4. Evaluation
5. Implementation/Intervention 5. Continuation or
Termination
6. Evaluation
7. Continuation or Termination

● Planned Change – a change originating from a decision to make a

deliberate effort to improve the system and to obtain the help of an
outside agent in making this improvement

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 ● Outside Agent – professional change agent

● Change Force –increases the willingness of the CS for change

● Resistance Force - reduces the willingness of CS for change
● Case Management- the process of casework; it is a way of delivering
services where the social worker assumes responsibility for assessing
clients or the service delivery system.
● Casework Relationship- the medium of the helping process and
interaction between the client and the worker. A dynamic interaction of
attitudes and emotions between himself and the environment. (Biestek,
1957)
● Helping Relationship- Integral part of the helping process. The bridge
channel through which help is extended to the client; the anchor that
holds the helping process in place (De Guzman)
● Social Functioning- an interaction between the individuals and his
situation on the environment (Mendoza, 2003)

2.2. Illustrate proper application of values and principles in working with

individuals
and families

Three fundamental characteristics of Casework that which distinguishes it from

other social work methods; Individualization, client-worker relationship and
social treatment

1. Individualization- casework is focused on the problems of individuals

and social work efforts are directed at helping them and the immediate
members of their families who are affected.
2. Client- worker relationship- also called the helping relationship, a good
harmonious relationship between the client and the worker essential in
casework because dealings with clients are on a one-to-one basis, quite
personal and face to face.
3. Social Treatment- “treatment” refers to the sum of all the activities and
services that the social worker uses to help the individuals with their
problem. For a treatment to be effective case workers must be
knowledgeable in the social work methods and processes and skillful in
the use of social work tools and techniques but also possess a scientific
knowledge of human behavior and social environment to better
understand the client’s situation.

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THREE KEY PRINCIPLES FOR EFFECTIVE CASE MANAGEMENT (Acc. to NASW):

Principle no. 1: Building Trusting Relationships

● The therapeutic relationship between the client and the
case manager plays the integral role in the case
management process.
● Client have indicted four characteristics that are most
important in a social worker:
1. Empathetic
2. Understanding
3. Pleasant
4. Ability to put one at ease
Principle no. 2: Using Evidence-based Practice
EBP is the process that guides the case managers to guide and
inform delivery of services. It has four components:
1. Current client needs, situation and environment
2. Best available research evidence
3. Client values and preferences
4. Case manager’s judgment and expertise

Principle no. : Empowering your Client

● As case manager, you must recognize the dignity, worth and
rights that belong to each of your clients as you guide them. It will
empower them to reach their full potential and give them
confidence to solve their problems.

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Source:

Global Child Protection Working Group (2014). Interagency Guidelines for

Case Management and Child Protection: The Role of Case Management in
the Protection of Children, A Guide for Policy and Program Managers and
Case Workers.

Ministry of Public Service, Labour and Social Welfare of Zimbabwe and UNICEF
(2015). National Case Management
System for the Welfare and Protection of Children in Zimbabwe.

3. Practice framework, perspectives and theories applicable in working with

individuals and families

3.1. Explain the different perspectives and theories relevant in working

with individuals and families as bases for assessment and intervention

Models and Approaches for Social Casework

1. Direction Provision Model (Leonard Schneiderman)

- This approach should not be equated as “dole outs”
- When undertaken by a social worker, the systematic steps in social work
helping process of assessment, planning, plan implementation
(intervention), evaluation and termination are observed.
The GOAL is the enhancement of client social functioning through the
direct provision of material aid useful in eliminating or reducing
situational deficiencies.
- Other refers to this as Resource Provision where “resources may be
mobilized, created, directly furnished; the client may be advised and
counseled in making optimal use of them.” It involves direct provision of
existing programs of material aid. And involve any or all of the ff.
activities:

1. Case-by-case involvement of the client in the study and evaluation

process. (Determination of need and of forms of need-meeting).
2. A determination of eligibility within the administering agency’s terms
of reference.
3. A judgment that the provision of the service or benefit will promote
the client’s best interest.
4. Recruiting, selecting, training, supporting, collaborating with personnel
offering direct care.
- Programs of material aid abound in the country today- temporary
financial assistance, employment, shelter, medical care, skills training,
etc.

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 - Certain parts of the county are in need of this intervention, like the
typhoon-prone provinces of South during the rainy season, or places
where people depend on seasonal jobs for their livelihood.

2. Intercession- Mediation Model

- Involves the process of negotiating the “service jungle” for clients,
whether singly or groups.
- The worker here “connects” the client to need services in the system
until he has availed of them.
- The worker activities include, but also go beyond, the mere giving of
direction of information as to where needed services are available.
- Worker’s role on client's behalf: helper, interpreter, facilitator, expeditor,
escort, negotiator, broker, and etc. to ensure rapid service delivery.
- The utilization of non-consensual strategies such as direct
confrontation, administrative appeal, and the use of judicial and
political systems, as appropriate.
- In relation to this, the legal model, rather than the medical model,
seems most appropriate for the social worker to use. For in this form of
intervention, he, like a lawyer, takes a partisan interest in the client and
his cause. He becomes an intercessor-advocate.
- The advocate may have to “argue, debate, bargain, negotiate, and
manipulate the environment on the behalf of the client…the effort is to
win for the client; advocacy efforts are frequently directed towards
securing benefits to which the client is legally entitled.

3. Mobilizing the resources of the client system to change their social reality

- Premised on the belief that problems are not always due to personal
inadequacies but, often, to deficiencies in the social reality, and that if
people are to be helped, the target should be the latter.
- The use of a client's own resources is underscored, in changing aspects
of his/their social reality which can and should be changed.
- This model of intervention can be used to help individual clients, groups,
communities.
- With the awareness of their number, they can be helped to realize that
through group efforts at self-help, they can improve their life situations.
- Groups can also be helped to organize themselves in order to work for
the provision of facilities, services and opportunities that they need.
- All these give meaning to “people empowerment” which is emerging
as a very important trend in social work.
- This model can be used with any client system when the target of
change is clearly the client’s system’s situation.

4. Crisis Intervention Approach (Naomi Golan)

It is a short-term, goal-oriented approach to helping individuals who are
in the midst of a crisis. Its goals are to (1) reduce the immediate harmful

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 effects of the stressful events and (2) to help mobilize the latent
capacities and capabilities of the person directly affected so that he
can cope more effectively with the effects of the crisis. It is a short-term
treatment.

5. The Problem-Solving Approach (Helen Harris Perlman)

Uses the process of problem- solving as the medium of treatment. It
assumes that the person’s normal problem-solving capabilities or
resources have been broken down or been impaired or are
maladaptive. So he has turned to a social agency for material and
psychological help to cope with his present problem. The focus of
treatment is helping the person go through the scientific problem-solving
process so that he will act and resolve his problem with only minimum
help.

6. Task-Centered Model (William J. Reid and Laura Epstein)

Treatment concentrates on helping individual clients to achieve specific
or limited goals of their own choice within brief and bounded periods of
service. It is assumed that a short-term approach can be as effective as
the long-term. Somehow similar to crisis intervention but focuses more on
a task to be achieved by the client.

7. Psychosocial Approach/ Diagnostic Approach (Gordon Hamilton)

Treatment here is focused on the individual and his functionality. It is
concerned with the inner realities of man, his emotional, mental, and
social processes, and the social context in which he lives. Used with
clients affected by traumatic incidents or are in especially difficult
circumstances resulting from sheer exploitation, violent family problems,
armed conflicts, natural disasters, and etc.

8. Functional Model (Ruth E. Smalley)

A social casework method for engaging the client through a relationship
essentially one-to-one in the use of social service towards his own and
the general social welfare. The focus of intervention is the delivery of
service or services to the client.

9. Family- Centered Approach (Ann Hartman and Joan Laird)

The family is the unit of interest. Although casework is the process of
working with individuals, the worker also works with that person’s
immediate environment which normally is the family. In the Philippines
casework is family centered or oriented. This approach locates the
family as the center of the field of action.

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10. The Behavior Model
An approach intended to improve the social functioning of individuals,
families, groups and organizations by helping them learn new behaviors
& eliminating problematic ways of behaving.

THIS IS BASED ON BEHAVIORAL THEORY – that people repeat behaviors

that are rewarded and abandon those that are not rewarded.

The 3 elements of SOCIAL LEARNING that are essential in the practice of

BM:
● TARGET BEHAVIOR – the focus of intervention
● ANTECEDENT BEHAVIOR – behavior & events that occur prior to
problem solving;
● CONSEQUENT BEHAVIOR – behavior or events that occur after the
problem behavior.
Social Workers’ Roles:
● Direct Modifier (worker as agent of modification, using technique
like positive reinforcement to increase a child’s behavior relating
to observing rules, etc.)
● Behavioral Instigator (worker arranges the situation to modify the
behavior) Teacher (worker teaches client with behavioral
modification techniques, etc.)

11. Generalist Practice Model

Based on a problem- solving model from a systems or person-in-

environment perspective. This model is applied with the unique qualities,
values and ethics espoused by social work.

12. System Theory Approach

Concerned with both the inner realities of human beings and the social
context in which they live. Treatment must be differentiated according
to the client’s need, hence, the term “Differential treatment approach”
– this requires the worker to understand the client’s need and to respond
accordingly. Help provided is a process which will enable change to
occur in the person or in the situation, or both.

13. Intersectional Approach

“Intersectionality” indicates how individual qualities such as race, class,

gender, age, and others intersect and overlap. It also invites us to
analyze how this influences people’s various experiences of
marginalization and privilege. The goal of intersectionality is to replace
the existing system of identity hierarchies with a more egalitarian system,

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 and understanding how identities interact is an important element of
that.

C. Helping Process in the Philippine Context

1. Meaning of helping in the Philippine context

1.1. Explain the meaning of helping in the Philippine context

The main objective of social work is to help people improve the quality
of their lives, to assist them cope more effectively with the problems of living so
that they will gain or regain their equilibrium and achieve growth in coping
capacity. It is the coping capacity that is endangered hence the declared
purpose of social work is to enhance the psychosocial functioning, meaning,
the improvement of the interaction between man and his environment (De
Guzman). The social work helping process aims two things:

1. To help clients so that they meet their needs or solve a problem.

2. To provide them with fruitful coping experiences which they may
use later in meeting other needs and solving difficulties as they go
through.

2. Filipino Values that Characterize the Culture, Tradition

Some of the Filipino Dominant Values

1.) Smooth interpersonal Relationship (SIR) – the ability to get along with others
in such a way that any signs of conflicts are avoided. SIR is acquired by:
a.) Pakikisama - derived from the filipino word “sama”, meaning to go along.
▪ It refers to the yielding of a person to the will of the leader or majority so
as to make the group’s decision unanimous.
▪ It is the “we” identification of the group
▪ It is a positive Filipino value. It encourages mutual assistance in times of
need or sympathy in times of sorrow.
b.) Go-between - the need for a mediator or facilitator. A third party is used to
avoid the feeling of inadequacy in a face-to-face encounter, or to act as an
intermediary when asking for a favor.
c.) Euphemism - stating an unpleasant truth, opinion or request with beautiful
language and fine manner.

2.) Hiya – as painful emotion arising from a relationship with an authority figure
or with a society which inhibits self-assertion when one is in a situation which is
perceived as a dangerous to one’s ego. This trait is associated with the
unpleasant experience of embarrassment that prevents one form wrongdoing.

3.) Bahala Na – an expression derived from a Filipino word “Bathala”.

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- it is the “come what may” or que sera sera” attitude and at time rests on the
line of least resistance that one need not exert any effort because God will
take care of everything.

4.) Ningas Kugon – “ningas” literally means to catch fire and “kugon “ is a fast
burning kind of grass.
- It is defined as the enthusiasm that is intense only at the start but gradually
fades away.
5.) Utang na Loob – reciprocity or debt of gratitude.
6.) Hospitality – welcoming others to one’s home and offering the best to
visitors while denying the same to members of the family.
7.) Amoral Familism – the tendency to become individualistic and in ward
directed; hence, the inability to look beyond the family circle. While many
Filipinos are captive of these values there are those who are not, so that the
social worker should be sensitive to this and not automatically presume that all
her clients adhere to these.

3. Common problems and issues faced by an individual Filipino and

his/her family

D. Social Work Helping Process in Working with Individuals and Families

1. Social casework helping process

• Origin of Problem-solving Process:

o How We Think (John Dewey, 1933)
Problem-solving behavior is based on reflective thought that begins with a
feeling of doubt or confusion.

5 phases of reflective thinking:

1. Recognizing difficulty
2. Defining or specifying the difficulty
3. Raising a suggestion for possible solutions and rationally exploring the
suggestion, which include data collection
4. Selecting an optimal solution from among many proposals
5. Carrying out the solution

*George Polya’s formulation is an improvement over Dewey’s because it

includes evaluation.

• Problem-solving Framework in Social Work

(Helen Harris Perlman)

Social Casework: A Problem-Solving Process

▪ Study: In Study phase, the client is engaged in presenting the problem; the
key is engagement

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▪ Diagnosis/ Assessment: it is a process (on-going,, throughout the life of the
case and an outcome (assessment) of understanding on which action is
based, it is considered as the crucial part of helping process typically starts
when social worker and client starts the helping relationship
▪ Treatment: decisions must be made

A. ASSESSMENT
❖ A process and a product of understanding on which action is based
(Max Siporin).
❖ To provide understanding necessary for appropriate planning.
❖ Major tasks include data gathering and problem definition.
❖ Information/Data Gathering

1. Primary source – Client

2. Secondary source – Significant Others
3. Existing data – previous records and reports
4. Worker’s own observations

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• Principles:
1. Client is the main source of information
2. Data gathered should relate to problem
3. Inform the client about the source/s of data
4. Data collection is a continuous process
5. The type of client and general nature of the problem can be of guide

Parsimony – only taking up relevant information from the client

❖ The Initial Contact(s) with Client/Intake

1. The client initiates the contact (Voluntary Client)

2. The client is referred to the worker or agency by some interested or
concerned party (Involuntary Client/Referred Client)
3. The agency, through the social worker, reaches out to the (potential) client
and offers help (reach-out)

● The Intake Process and the Presenting

Problem
o Intake – is the process by which a potential client achieves the status of a
client. It can be accomplished in just one session.
o End goal: Initial engagement

❖ Defining the Problem

➔ Presenting problem – a problem that is a threat to the client’s or other’s

welfare, and usually stated or presented as it is being perceived or
experienced.

ALWAYS REMEMBER: “Start where the client is” and “begin with the felt need”

Problem-for-work – the place of beginning together

a. Client feels most important
b. Worker’s judgment is most critical
c. Worker’s judgment can most readily yield to help
d. Falls within the action parameters of the helping system
➔ Immediate Problem – causing the present difficulty.
➔ Underlying Problem – overall situation which tends to perpetuate the
immediate problem.
➔ Working Problem – composed of contributory factors that stand in the
way of both remedy and prevention which must be dealt with if change
is to take place.

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Partialization – process of separating from so many problems identified by the
client and/or worker the specific problems or problems which are to be
addressed first.

Prioritization – taking precedence over other problems because of its

importance.

How to Write an Assessment Statement? (Maria O’neil Mcmahon)

1. Opening causal statement – who has the problem, and why the problem
exists at this time
2. Change potential statement – problem, person, and environment
3. Judgment about the seriousness or urgency of the problem

Characteristics of Assessment
1. It is ongoing
2. It focuses on understanding the client in the situation and in providing a base
for planning and action
3. It is a mutual process
4. There is a movement within the assessment process
5. Both horizontal and vertical explorations are important
6. Assessment identifies needs in life situations, defines problems, and explains
their meanings and patterns
7. It is individualized
8. Judgment is important because many decisions have to be made
9. No assessment is ever complete

B. PLANNING
• Link between Assessment and Intervention
• Translates the content of assessment into a goal statement that describes the
results, and is also concerned with identifying the means to reach the goals
• The end goal is planned change

• Goals:
Goals are ends.
They are the desired or expected outcomes of an endeavor

Characteristics:
➢ Specific, concrete and measurable
➢ Feasible (realistic and attainable)
• Plans: Means or specific actions to achieve goals
• Units of Attention: Systems that are the focus of the change activity
• Strategy: An overall approach to change a situation

Factors that Influence an Intervention Plan:

1. Community
2. Agency
3. Social problem

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4. Worker
5. Client

The Assessment and Planning steps in the problem-solving process culminates

in the worker’s writing of a case study that contains a synthesis of the
information that has been obtained on the client and his situation, an
assessment statement/definition of the problem for work, and the helping
intervention goals and plans.

After Assessment and Action-Planning, a Helping Contract (verbal or written)

should follow which is an agreement between the worker and the client on
what needs to be done and who should do it. A contract facilitates evaluation
and provides tools for accountability.

C. INTERVENTION/ ACTION PLAN/ IMPLEMENTATION/ TREATMENT

• Is concerned with the action that would solve the client’s problems.
• Rendering of all the specific and interrelated services appropriate to the
given problem situation in the light of the assessment and planning.
• Deciding what to do (assessment and planning) and doing the decided
(intervention).

➔ Interventive Roles

1. Resource provider – direct provision of material aid and other concrete

resources
2. Social broker – negotiating the “service jungle” for clients.
• Referral is considered as basic activity that involves connecting the
client to needed resources.
• Networking refers to efforts at establishing and maintaining
relationships with other community entities which have resources that
can support and supplement her own agency’s resources.
3. Mediator – the worker has to engage in efforts that will resolve disputes
between the client system and other parties.
4. Advocate – the worker has to take a partisan interest in the client and his
cause. She cannot remain neutral.
5. Enabler – help clients find the coping strengths and resources within
themselves to solve problems they are experiencing.
6. Counselor/Therapist – restoration, maintenance, or enhancement of the
client’s capacity to adapt or adjust to his current activity.

➔ Interventive Roles Beyond Direct Practice

1. Mobilizer of Community Elite – informing and interpreting to certain sectors

of the community, welfare programs and services, as well as needs and
problems, with the objective of enlisting their support and/or involvement in
them.

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2. Documenter/Social Critique – we document the need for more adequate
social welfare policies and programs based on her knowledge about the
inadequacies or deficiencies in these existing welfare policies and programs,
and how they ought to be based on our professional values and goals.
3. Policy/Program Change Advocate – the worker involved in efforts to change
policies and programs on behalf of particular sectors of the population based
on the values of the profession.

Limitations on Worker Activity

1. Time – may not give unlimited time
2. Skill – should perform only those activities that are within our competence
3. Ethics – watch out for activities that might commit unethical behavior
4. Agency function – must sure that she understands and interprets agency
function properly

D. EVALUATION
• Collection of data about outcomes of a program of action relative to goals
and objectives set in advance of the implementation of that program
• Ongoing vs terminal; formative vs summative
• It is important for social workers to be more specific in its approach to
evaluation.
• It provides professional accountability with two aspects: (1) effectiveness and
(2) efficiency

Formative Evaluation - Is done at conceptual and operational levels

Involves Qualitative Measures (like case studies) and Quantitative Measures
(like Behavioral Counts, Goal-Attainment Scaling, Self-Ratings on Emotional
States, etc.)

Essentials for Evaluation

1. A clear definition of the goals and objectives to be attained.
2. A clear definition of the intervention and change activities to be undertaken.
3. Documentation of the activities undertaken to achieve the goals defined.

E. TERMINATION

Reasons:
1. When the goals set by worker and the client have been reached
2. When, after a reasonable period of time, there has been very little
movement toward the attainment of the goals formulated
3. When the client thinks that the worker has provided sufficient help so that it
is now possible for the client to pursue problem-solving on his own
4. When an agency does not have the resources needed by the client or the
worker does not get her agency’s approval to provide services needed by the
client

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5. When the systems outside the client make it difficult for the client to continue
with the helping relationship or when these systems influence the client to
discontinue the relationship
6. When for one reason or another, the worker must leave the agency

• TRANSFER – is the process by which a client is referred by his social worker to

another
worker, usually in the same agency, because the former will no longer be able
to continue working with the client, or because she thinks another worker is in
a better position to work with her client’s problem.
• REFERRAL – is the act of directing a client to another worker/agency because
the service that the client needs is beyond the present agency worker’s
competence, or the client needs the additional service which the present
agency cannot provide.

2. Roles and functions performed, skills and techniques used by the social
worker in working with individuals and families

2.1. Explain the roles and functions of the social worker

General Roles:
➢ Catalyst or Catalyzer. He was expected to enhance the client’s
psychosocial functioning by inducing or facilitating some changes in his
environment or both.
➢ Enabler. He supplies, provides, or links the client with the means, the
knowledge or opportunity to be or to do something.
➢ Change Agent. The worker becomes the instrument of some
transformation that has been planned at a higher or national level.

Specific Roles (those that touch the client directly or those which require the
performance of specific tasks):

➢ Direct Provider of Resources. The worker provides the tangible aid that
may be needed by the client to eliminate or reduce situational
deficiencies.
➢ Case Manager. The worker is responsible for overseeing the delivery of
social services such as linking the client with the provider of the resources
that he needs.
➢ Mediator/Broker/Intercessor. The worker acts on behalf of the client
scouting for the resources that he needs, procuring this for him, and
interceding for him if need be.

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 ➢ Facilitator. The worker helps remove the obstacles to exercise rational
thinking or learning by the use of non-formal adult teaching and
methodologies.
➢ Therapist. The worker is concerned with the treatment of client illness,
disability, or some disorders, usually a pathological conditional.
➢ Clinician. The worker is the worker who seeks to restore, maintain, or
enhance the clients’ adaptive capacity and facilitates his optional
adjustment to current social reality.
➢ Mobilizer. The worker assembles and energizes existing groups,
organizations and resources or creates new ones to bring them to bear
on a current or incipient problem.
➢ Advocate. The worker seeks some change in policy or program for the
benefits of his clients.
➢ Role Model. The worker is often overlooked, perhaps not recognized or
taken for granted

Functions

1. Restorative function – is aimed at rehabilitating clients whose functioning has

been impaired by physical, mental or social difficulties.
1.a Curative – is when it identifies, controls and/or eliminates the factors
in the interactional process that have caused the breakdown or impairment
of social relationships.
1.b Rehabilitative – is when it attempts to reconstruct and/or organize
the pattern of interaction that has been broken down, been changed, or built
new ones.
2. Preventive function – is when it goes through the early discovery, control and
elimination of those conditions which may impair psychosocial functioning.
3. Developmental function – refers to the provision of social assistance and
services which will lead to the optimum development and fulfillment of the
client’s potential.
Popple and Leighninger in Social Work, Social
Welfare, American Society; Boston: Allyn &
Bacon, 2011 pointed out that there are seven
core functions, to wit:
1. Engagement: “The social worker must first engage the client in early
meetings to
promote a collaborative relationship”.
2. Assessment: “Data must be gathered that will guide and direct a plan of
action to help the client”.
3. Planning: “Negotiate and formulate an action plan”.
4. Implementation: “Promote resource acquisition and enhance role
performance”.

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5. Monitor/Evaluation: “On-going documentation through short-term goal
attainment extent to which client is following through”.
6. Supportive Counseling: “Affirming, challenging, encouraging, informing, and
exploring options”.
7. Graduated Disengagement: “Seeking to replace the social worker with a
naturally occurring resource”.

2.2. Point out the skills and techniques used by the social worker in specific
phase of the helping process

SKILLS (DE GUZMAN)

1. Differential diagnosis – this refers to the ability of the worker to understand

the uniqueness of the person in his situation and to adopt his techniques to him.
2. Timing – this may refer to the worker’s own tempo or pace – whether it is too
fast or too slow for the person or people he is working with or the worker’s ability
to take action at
some pertinent point in line when it would be most effective.
3. Focusing – this refers to the worker’s ability to concentrate both his and the
client’s efforts on the significant aspects of the situation that require work and
retaining that focus until some conclusions or progress has been reached.
4. Partialization – this refers to the ability of the worker to assess the totality of
the problem, breaking it down into manageable parts, and helping the client
think about it and decide where to start.
5. Structuring – this refers to the worker’s ability to determine the setting and the
boundaries that will be most conducive to the work to be done.
6. Case Management – is the manner and timing in the delivery of social
services.
7. Skills in establishing rapport:
7.a Engagement – is the period during which the worker begins to relate
himself to the task at hand.
7.b Empathy – is the worker’s ability to put himself in the shoes of the
client so that he can understand what the latter is thinking of and feeling about
his problem or situation.
7.c Communication – is the process by which an idea is transferred from
its source to a receiver with the intent to change the latter’s behavior, or
between the worker and the client.

TOOLS OF SOCIAL WORK PRACTICE

Tool is defined as “anything regarded as necessary in the carrying out of one’s
occupation or
professions”. As a social work direct intervention, the tools used are
interviewing, discussion and referral. The tools used in all types of client systems
are the interview, social work records, communication, community resources
and program and activities.

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INTERVIEWING is the main tool used in social work practice. It is a face-to-face
meeting between two or more persons, directed towards a purpose, such as
to obtain information, to give instructions and to help. It is both an art and
technique which requires knowledge and skill. It is an art because while
interviewers may follow the same principles, it allows for the expression of one’s
personality.

The following are the skills needed for an effective interview:

● Skill in relating with the interviewee
● Skill in observing the interviewee
● Skill in listening
● Skill in asking questions
● Skill in answering personal questions
● Interpreting the client’s response

Conducting the interview:

● Prepare for the interview
● Always start by making the client feel comfortable
● Use your intuition or “sixth sense”
● Exercise care in the use of interview instruments like intake and survey
forms
● Be conscious of time
● Do not rush into direct action or help without fully understanding the
client’s situation
● The interviewer should have proper deportment

DISCUSSION is a type of verbal interaction, or informal conversation among a

group of people. In social work, it is a form of communication in which each
individual in the group contributes his thinking and participates in the making
of a decision which is arrived at through a consensus. Purpose, leadership and
dynamics are aspects of group discussion and group work that the worker
needs to keep in mind in order to be an effective group worker.

REFERRAL is the process by which a client is helped to move on to another

resource for service. It is a necessary tool because no single institution or
agency can serve all the needs of man in a complex society. In order to make
a good referral, i.e. to enable the client to go directly to the resource he needs
instead of being bounced from one agency to another, the worker must
possess a good working knowledge of the resources available.

SOCIAL WORK RECORDS/CASE RECORDING is an account in writing of the

progress of a client in a case as it moves from the beginning of the problem-
solving phase towards its eventual solution and finally to its ending or
termination. It is an account of how the worker handled a case from the
beginning to the end; whether the client is an individual, a family, a group, or

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even a small community. The casework pioneers who conceptualized social
work practice divided it into three points: study, diagnosis and treatment.

Purpose of agency recording:

1. Tools that guide the worker as he and client proceed with the task of
problem-solving.
2. Useful in evaluation
3. Improve knowledge and skills in helping people.
4. Records provide an account of what have taken place, which is needed
when one worker
must replace another.
5. Provides important information to the agency.
6. Records are supervisory tools
7. Educational purpose.
8. Source of statistical information about agency operations.

Three major types of case recording:

1. Narrative. The narrative style is actually concerned with the reporting of

facts. It may be condensed or process. The narrative condensed recording is
an abridged, compact version which may have been reduced from its former
voluminous size. It is generally useful for all types of cases, of clients, whether
individual, family, group or community, and is used practically in all types of
social welfare agencies. It is used for reporting acts of practical helpfulness
events and most collateral visits or
2. Summary recording. A summary is a review or a recapitulation of material
which has already appeared in the case record. It is a good device for
organizing and analyzing facts. Routing services such as arrangement for the
use of a social resource or an eventful period during treatment can be
summarized. There are four general types of summaries.
1. Social histories. These are two types: socio-economic history
which is often used when many of the welfare client presenting
the problems usually involve the problem of economic survival;
and psychosocial/psychogenetic history which is generally used
with clients presenting an impairment of the psychosocial
functioning.
2. Periodic summaries. These are made to cover a certain period of
time during which the case is under the care of or is being handled
by the worker. This is applicable to long-term case work, group
work which formed groups, and with community work. In the
Philippines, the latter may take years to realize the goal of building
self-reliant communities.

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 3. Transfer summary. It refers to the summary made when the case is
to be transferred to another worker or is being referred to another
agency. it may contain a brief statement of the problem, the
treatment plan and what has been accomplished so far. Closing
entry or summary. This focuses on the causes and results of the
treatment or intervention. It covers the situation at intake and the
reasons involved the problem that emerged, the treatment given,
services extended, or intervention, made the progress movement
or chance achieved, and the results or status of the case.
3. Interpretative, Diagnostic and Evaluate. This type of recording is directed to
pointing out the meaning of facts. Its significance lies in the social interpretation
of the case by the worker. It carries, in fact, his own opinion.

Other types of records:

a) Intake forms – also called Face sheet, Admission Form, Application Form.
b) Survey report – contains findings about the community situation, indicating
date, place and source of data.
c) Summary Process Recording – the summaries of the process taking place in
relation to problem solving, whether with an individual, group, community, with
the worker exercising judgment in recording those which she thinks important.
d) Periodic Evaluate Summaries – including a statement about the major
developments that have occurred.
e) Final Evaluate Statement – focusing on the extent to which/objectives
spelled out in the Case Study have been accomplished/ not accomplished
and why; recommendations for termination or continuation of service.

THE USE OF TECHNIQUES IN SOCIAL WORK (DE GUZMAN)

Technique is the systematic procedure by which a complex scientific task is

accomplished. In social work, it refers to the procedures by which a skill is
implemented. The following are the techniques often used by direct practice
workers bearing in mind our people's socio-cultural characteristics.
1) Small talk. This refers to inconsequential conversation. It is used in almost all
contacts between the worker and the client. It is used by the social worker at
the beginning of a contact, that is, the first interview of the first home visit to
put the worker and the client, especially the latter, at ease.
2) Support. To support another person is to encourage, to uphold, to sustain
some aspect of the client’s functioning – his strength, his attitude, his eagerness
to do something about his problem. It means to sustain or keep steady, to give
courage, to express faith and confidence and to give realistic approval to an
individual or group.
3) Ventilation. It involves bringing to the surface the feelings and attitudes that
need to be brought out because these are affecting the psychological
functioning of the person harboring them – the client. It is to clear any
emotional underbrush that may be obstructing a positive movement.

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4) Reassurance. It is an indirect support to clients. It involves assuring the client
that the situation with which he is struggling has an attainable solution and that
he has the capacity to deal with his own problem.
5) Installation of hope. It is given when the worker demonstrates interest in a
client's efforts and progress, encouraging his efforts, offering realistic assurance
and expressing hope that things will be better.
6) Exploration. It is used to elicit necessary information; to bring out details
about experiences and relationships as the client perceives them; and to
examine the feelings connected to the relationships and experiences.
7) Clarification. It is to make understandable a point or two. As a technique, it
is often used in connection with exploration.
8) Education and Advice. It was formerly known as advice-giving and
counseling. In social work, it refers to the provision of ideas, opinions and
suggestions based or drawn from the worker’s professional knowledge.
According to Schwartz, one of the major tasks of the social worker is to
contribute data, ideas, facts and value concepts which are not available to
the client and which may prove useful to him in attempting to cope with that
part of social reality which is involved in the problem with which he is working.
9) Universalization. It is the utilization of human experiences and the strengths
of others to cope with situations similar to those which are troubling the client.
To pick up or choose a certain trait or pattern of behavior characteristics of all
members of a particular culture or of all human beings.
10) Reward and Punishment. One gets rewards for good behavior or is
punished for misbehavior. It is used when there is better understanding of the
causes and greater ability to anticipate and control the consequences.
11) Role rehearsal and Demonstration. This may be used extensively when
learning new ways of behavior is required. It is done by discussion or actual
setting up of role play situations or by demonstration.
12) Confrontation. It is to come face to face with the hard facts of the situation
with reality, to bring a person face to face with something.
13) Conflict. Is a type of stress produced when a person is motivated by two or
more needs in such a manner that the situation of one need may mean the
dissatisfaction of another one.
14) Manipulation. It means skillful management of events. The workers as a
manipulator must bear in mind three things:
(1) the client’s right and need to be involved both in deciding and
doing,
(2) the client’s ability to participate;
(3) the distinction between those activities that are appropriate for the
workers and those that are appropriate for the client.
15) Andragogy. According to Malcolm Knowles, andragogy is the art and
science of helping adults to learn.
16) Consciousness – raising. It means the arousing of man’s positive self-
concept in relation to the environment and society through a liberating
education which treats learners as active agents rather than passive recipient
of learning.

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E. Social Work Counseling

Counselling is essentially a process in which the counselor assists the counselee

to make interpretations of facts relating to a choice, plan or adjustment which
he needs
to make. - Glenn F. Smith

Counseling is a series of direct contacts with the individual which aims to offer
him assistance in changing his attitudes and behaviors. - Carl Rogers

Counseling is a goal-oriented relationship between a professionally trained,

competent counselor and an individual seeking help. - Hoffman and Spelte,
1984

Characteristics of Counseling

▪Counseling involves two individuals–one seeking help & the other a

professionally trained person who can help the first.
▪There should be a relationship of mutual respect between the two individuals.
▪Counseling is aimed at bringing about desired changes in the individual for
self-realization & providing assistance to solve problems through an intimate
personal relationship.

RA 9258 - Guidance and Counseling Act of 2004- Development of a well-

functioning individual primarily by helping him/her to utilize his/her potentials to
the fullest and plan his/her future in accordance with his/her abilities, interests
and needs. It includes functions such as counseling, psychological testing, (as
to personality, career, interest, study orientation, mental ability and aptitude),
research, placement, group process, teaching and practicing of guidance
and counseling.

RA 11036- Mental Health Law Act of 2017- An Act Establishing a National

Mental Health Policy for the Purpose of Enhancing the Delivery of Integrated
Mental Health Services, Promoting and Protecting Persons Utilizing Psychiatric,
Neurologic and Psychosocial Health Services, Appropriating Funds Therefore
and for Other Purposes.

Purposes of Counseling
• Improving planning & decision making
• Bring about a meaningful awareness and understanding of
the self and environment;
• Formulating new ways of behaving, feeling, and thinking for problem
resolution and/or development growth.

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The Goals of Counseling

1. Generic
❑ Developmental Goals
❑ Preventive Goals
❑ Enhancement Goals
❑ Exploratory Goals
❑ Reinforcement Goals
❑ Remedial Goals

2. Human Dimensional Goals

❑ Cognitive Goals
❑ Psychological Goals
❑ Physiological Goals
❑ Spiritual Goals

Types of Counseling According to Areas Covered

1. Academic/Educational
2. Vocational/Occupational/Career
3. Personal/Social
4. Diet Counseling
5. Crisis Counseling
6. Grief or Bereavement Counseling
7. Pastoral Counseling
8. Leisure Counseling
9. Addiction Counseling

Types of Counseling According to Participants

• Individual- This is an interaction between two people only.
• Couple-This counseling is usually extended only when spouses are
experiencing difficulties in the relationship.
• Group- This is counseling extended to several people with similar
concerns and desired common goals. Multiple In multiple counseling,
more than one counselor handles an individual, couple or a group.
• Family- It is seen by the Systems Theory as a must for anyone who is
experiencing difficulty, since it is believed that the family impacts on the
individual who is considered as having the difficulty and likewise, the
individual and his/her problems impact on the family.

The Counseling Process

Phase 1 Establishing Relationship

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 It is an ice breaking session during which the counsellor & counselee
introduce each other & establish a primary rapport.
Good rapport building provides the respect, trust & sense of psychological
comfort to the counsellor-counselee relationship for progression to the
counselling process. Strategies to establish an effective relationship:
(1) Introduce yourself;
(2) Always address the individual by his or her name;
(3) Ensure physical comfort of the counselee & self;
(4) Do not interrupt the individual when he/she is talking;
(5) Listen attentively;
(6) Observe nonverbal communication.

Phase 2 Assessment
The second phase of counselling is basically a data collection phase, where
the counsellor motivates the counselee to provide complete information
about the problem;
The type of information collected from counselee like general data,
physical data, psychological data, social/environmental data, achievement
data, educational & vocational data;
After the collection of information, diagnosis related to the counselee’s
behavior is made;
Various tools & techniques used for data collection like intelligence tests,
achievement tests, aptitude tests, interest tests, personality tests,
questionnaires, interview, observation, autobiography, anecdotal records,
rating scale, cumulative record & case studies.

Phase 3 Setting Goals

During this third phase of the counselling process, goals are set co-operative
by both the counsellor & the counselee.
While setting goals, the counselee’s strengths, weakness, constraints &
available resources must be kept under consideration.
The goal could be immediate & ultimate which directs the counsellor & the
counselee to further progress in the counselling process;
Effective & reliable goal setting requires following skills in counselors:
Multifaceted knowledge related to the problem of counselee;
Ability to think critically & inference-drawing skills;
Judgment, planning & management skills;
Skills to segregate &differentiate the provided information;
Ability to teach individuals to think critically & realistically;
Help the counselee set feasible, reliable & achievable goals.

Phase 4 Intervention

This stage of counselling is an operational phase where the counselee is

suggested the best possible options for the management of the present
problem;

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 The phase is affected by the counselor's own thoughts about the
counselling process.
The intervention will depend on the approach used by the counsellor, the
problem & the individual;
The choice of intervention is a process of adaptation & the counsellor
should be prepared to change the intervention when the selected intervention
does not work

Phase 5 Termination Follow-up

This is the final stage of the counselling process, where counselling comes
to an end;
Termination must be planned well ahead so that the counselee may feel
comfortable at the departure & gradually able to handle the problem
independently;
Some follow-up sessions may be required to help the counselee further
to handle the problem independently.

COUNSELING APPROACHES
Some of the approaches that Philippine counselor educators emphasized at
one time or another are described below:
1. Clinical or Directive Counseling
2. Client-Centered Counseling
3. Eclectic Counseling
4. Behavior Modification
5. Reality Therapy
6. Rational Cognitive Therapy
7. Gestalt Counseling
8. Transactional Analysis
9. Solution-focused Therapy
10. Cognitive Therapy

Qualities and Attributes of Effective Social Work -Counselor

Counseling Principles:
1. Acceptance
2. Individualization
3. Confidentiality
4. Self-determination
5. Controlled emotional involvement
6. Non-judgmental attitude

Counseling Skills:
1. Attending skills
2. Reflecting and paraphrasing
3. Clarifying and use of questions
4. Focusing

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5. Building rapport
6. Summarizing
7. Immediacy

F. Fields of Social Work

1. Characteristics, focus and nature of the different settings of social work

LOCUS OF PRACTICE
1. DIRECT PRACTICE
- sometimes referred to as micro social work
- one-on-one contact with individual, group, or family (micro level)

Eclectic process - (micro level) delivering face-to-face service; assess

different systems levels beyond the individual and determine the
appropriate intervention and its appropriate level (micro, mezzo, and
macro), and to know when and how to implement various theories.

“Direct practice is when the social worker works directly with an

individual, family,
or group of people. The first direct meeting can occur in a variety of
ways such as a crisis, voluntary, or involuntary. The first meeting is a
critical point in establishing a good helping relationship. A social worker
should prepare for any type of first contact, so that they may set up the
best relationship possible with the client (Sheafor & Horejsi, 2008).”

2. INDIRECT PRACTICE
- sometimes referred to as macro social work
- more of behind the scenes
- involves setting up, organizing, maintaining and improving the
programs and services that enrich clients’ lives
- facilitating change through programs and policies

“Indirect practice is generally when the social worker is involved in

activities that
consist with facilitating change through programs and policies. This type
of practice is
more of behind the scenes and is aimed to help prevent problems from
developing. Also, the social worker may participate in this type of
practice by advocating through agency administrators, legislators, or
other powerful people to effect a change (Sheafor & Horejsi, 2008).”

SETTINGS OF PRACTICE

1. PRIMARY SETTING
- Social agencies whose programs & services are the direct scope of
social work.

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 Example: DSWD, MSSD, NCDA, UNICEF

2. SECONDARY SETTING
- Agencies, institutions and organizations whose primary function is to
provide services other than social welfare but employ social workers to
support, strengthen, or complement their own services.
Example: DOH, REGIONAL TRIAL COURT, HABITAT FOR HUMANITY

LEVELS OF SYSTEM

(D.H. Hepworth, R.H. Rooney, G.D. Rooney, K.Strom-Gottfried. 2017. Direct

Social Work
Practice, 10th Ed.)

● Micro-level practice. The population served by social workers at this level of

practice includes individuals, couples, and families. Practice at the micro level
is designated as direct practice because practitioners deliver services directly
to clients in face-to-face situations. Direct practice, however, is by no means
limited to such face-to-face contact.

● Mezzo-level practice. The second level of social work practice is defined as

“interpersonal relations that are less intimate than those associated with family
life; more meaningful than among organizational and institutional
representatives; [including] relationships between individuals in a self-help or
therapy group, among peers at school or work or among neighbors” (Sheafor,
Horejsi, & Horejsi,1994, pp. 9)

Mezzo events are “the interface where the individual and those most
immediate and important to him/her meet” (Zastrow & Kirst -Ashman, 1990, p.
11)

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Mezzo intervention is hence designed to change the systems that directly
affect clients, such as the family, peer group, or classroom.

● Macro-level practice. Still further removed from face-to-face delivery of

services, macro-level social work practice involves the processes of social
planning and community organization. On this level, social workers serve as
professional change agents who assist community action systems composed
of individuals, groups, or organizations in dealing with social problems. For
example, social workers may work with citizen groups or with private, public, or
governmental organizations. Activities of practitioners at this level include (1)
development of and work with community groups and organizations; (2)
program planning and development; and (3) implementation, administration,
and evaluation of programs (Meenaghan, 1987).

FACETS OF SOCIAL WORK

MEDICAL SOCIAL WORKER

• Provide assistance to patients and their families who are coping with the
many problems that accompany illness or inhibit recovery and rehabilitation,
such as economic need, disability, and lack of resources after discharge to
home.
• Collect and analyze patient information to help other health professions
understand the needs of patients and their families.
• Coordinate services for home care and equipment following discharge.
• Make referrals to rehabilitation and long-term care facilities.
• In outpatient settings – medical social workers provide referral services,
supportive counseling, and coordinate after care and follow up services.
• Provide crisis intervention

SCHOOL SOCIAL WORKER

• Provide help to students and families to overcome the social, behavioral,
emotional, or economic problems that prevent learning.
• Interview students and families to assess problems.
• Make appropriate referrals for professional and community services.
• Follow up to assure that services provided and that conditions improve.
• Work closely with teachers and school administrators.

CLINICAL SOCIAL WORKER

• Provide a full range of mental health services, including assessment, diagnosis
and
treatment.
• Provide services to individuals, couples, families and groups.
• Utilize a variety of psychotherapeutic theories and tools to guide treatment.
• Provide referrals to appropriate agencies for case management services.
• Assist clients in adjusting to major life style changes due to death of a loved
one,
disability, divorce, or loss of a job.

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• Interface with healthcare insurers to authorize care.

SOCIAL WORK – ADMINISTRATION & MANAGEMENT

• Plan, develop, and evaluate programs.
• Fundraise and write grants.
• Budget and manage finances to assure that the agency is in good financial
standing.
• Monitor, analyze, and evaluate public and social policy.
• Coordinate activities to achieve the agency’s goals.
• Hire and supervise staff.

CASE MANAGER
• Involved in all stages of client intervention.
• Provide access, allocate, monitor, and evaluate services and fiscal resources
for clients.
• Reduce fragmentation of services.
• Engages in a range of tasks that support and enhance the systems working
with the client.
• Meet with client on regular basis to assure a continuum of services and to
judge the effectiveness of services.
• Enhance the development, problem solving, and coping capacities of
clients.
• Contribute to the development of social policy.
• Complete all paperwork and accountability reports according to
established deadlines.
• Function as part of a treatment team.

INTERNATIONAL SOCIAL WORK

• Counsel and aid refugees to ensure a smooth transition into a new
environment.
• Facilitate international adoptions.
• Provide disaster relief in time of crisis.
• Develop, manage, and staff international service delivery programs.
• Provide advocacy on international issues to improve people’s quality of life
and addressing injustices.

SOCIAL WORK – CHILDREN & FAMILIES

• Counsel families to find better solutions to their problems.
• Remove children from abusive situations and place in caring homes.
• Find employment and housing for homeless families.
• Assist pregnant women, adoptive parents, and adopted children to
navigate the adoption system.
• Provide assessment, support, counseling, resource coordination, and
advocacy.
• Evaluate potential foster homes; monitor the foster home during placement.
• Provide assistance to women and their children who are victims of domestic
violence.

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SOCIAL WORK IN NURSING HOMES
• Facilitate the admission process.
• Develop an individualized plan of care.
• Facilitate the social and psychological well-being of nursing home residents
and their families.
• Encourage all staff to respect and assist in meeting the needs of residents
and them
families.
• Plan discharges to ensure appropriateness and continuity of care for transfer
within
and discharge from the nursing home.
• Complete all paperwork and accountability reports according to
established
deadlines.

SOCIAL WORK IN AN ACUTE PSYCHIATRIC HOSPITAL

• Complete intake and admission screenings.
• Perform a thorough psychosocial assessment.
• Participate in the development of a treatment plan.
• Work closely with multi-disciplinary team to ensure continuity of care.
• Provide patient and family education, support, and advocacy.
• Provide individual treatment, family therapy, group therapy, parental and
marriage counseling.
• Provide discharge and aftercare planning.
• Make referrals for case management services as needed.
• Complete documentation according to standards and within time limits.
• Assist with commitment hearing as needed.

FORENSIC SOCIAL WORK

• Plays a formidable role in providing risk assessments, expert testimony, Mental
health care, substance abuse treatment, and other timely best practices to
both victims and offenders.
• Utilize evidence-based practices in child maltreatment and domestic
violence assessment and treatment.
• Provide assessment and treatment of juvenile offenders.
• Provide mental health, drug and alcohol, medical, and aftercare treatment
for adult offenders.
• Get involved in trauma survivor assistance, victim-offender mediation and
batterers’ intervention programs.
• Are skilled in restorative justice, giving expert testimony in child welfare and
woman battering cases, as well as social worker mitigation testimony in death
penalty cases.
• Deal with the critical issues of punishment versus rehabilitation, deterrence,
and
determination of whether individual offenders are capable of change.

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• Are change agents, legislative advocates, policymakers and program
administrators for both victims and offenders.

EMPLOYMENT/OCCUPATIONAL SOCIAL WORK

• Help workers with problems that affect their job performance and
satisfaction.
• Assist corporations reengineer their structure and methods to improve
efficiency, creativity, productivity and morale.
• Work for a union and be involved in job counseling or organizing.
• Be an employee assistance counselor to counsel individuals, lead groups and
run workshops.
• Deal with substance abuse, domestic violence, single parenting and
vocational rehabilitation.
• Work with foundations, as well as utility companies and bank trust
departments.

SOCIAL WORK – COMMUNITY ORGANIZER

• Assist the community in defining a social problem.
• Be an effective communicator to help build coalitions in the community.
• Provide direction and guidance to the community in order to mobilize for an
identified cause.
• Assist in establishing new programs to meet the needs of individuals, groups,
and the community.
• Provide advocacy for the needs of the community
• Engage in fundraising and grant writing.

CRIMINAL JUSTICE SOCIAL WORKER

• Advocate for clients in the criminal justice system. Their clients include
inmates,
former convicts, and family members of offenders.
• Provide rehabilitative services, work with parolees, and act as conflict
mediators.
• May also serve as victim advocates.

GERONTOLOGICAL SOCIAL WOKERS

• Connect the elderly with social and community services.
• Advocate for their clients; help elderly individuals apply for housing,
healthcare, and other resources; and provide mental health support.
• These professionals need a BSW or MSW, and they may work in private
practices,
long-term care facilities, outpatient services, or adult protective agencies.

MENTAL HEALTH & SUBSTANCE ABUSE SOCIAL WORKERS

• Assist clients with mental conditions and substance use disorders.
• They often act as case managers and help rehabilitation patients with the
discharge process, and those with an MSW and appropriately licensed can
provide psychotherapy.

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• Support the family members of individuals struggling with mental health or
substance abuse problems.

MILITARY & VETERANS SOCIAL WORK

• Military and veterans social workers help former military members transition
to civilian life, connect veterans with resources, and support military families
during deployment.
• They may work in private practices or other organizations.
• Social workers with an MSW can provide psychotherapy and diagnose
mental health
disorders.

References:
National Association of Social Workers (2004) www.naswdc.org/practice/
Gibelman, M. (1995). What Social Workers Do. Washington, DC: NASW Press

SECTOR -BASED CLIENT POPULATION (SETTING & CONTEXT)

Drug Dependents
Many agencies and institutions implementing drug abuse prevention
and control programs employ social workers in administrative, supervisory,
and/or direct work with dependents, the latter being done almost always with
a team composed of professionals from other disciplines like medicine and
psychology. In addition to community information and education, the
treatment and rehabilitation of drug dependents are therefore an immediate
concern of different community agencies. The objective is the maximum
social, psychological, vocation and occupational restoration of the drug
dependent to the extent that his potentials and capacities would allow.

Socially Disadvantaged Women

Socially disadvantaged women include women who are victims of
gender-based violence (such as domestic violence or wife-beating, marital
rape, incest, rape, and sexual harassment), prostituted women (the preferred
term, instead of “prostitutes,” since many of these women are forced into this
line of work because of poverty and ignorance), victims of armed conflicts an
militarization (resulting in rape, torture and detention and financial distress
because of the arrest or death of their husbands), solo parents (i.e. unwed
mothers, widows, abandoned or separated wives, wives of overseas contract
workers, wives of prisoners, and wives of male patients who are confined in
hospitals for long periods).
The objective of the programs for socially disadvantaged women (also
referred to as “women in especially difficult circumstances”) are their
protection and prevention, treatment and rehabilitation. Services include
provision of temporary shelter which offer homelife facilities, medical and
psychiatric, dental, psychological, social, and spiritual services. Social services,
the main concern of social workers, involve such activities as working directly
with the women (individually or in groups) to help them re-orient their values

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and attitudes; therapeutic services to help them cope with personal and other
problems; working with their families; supervising rehabilitation programs like
skills training and pre-employment orientation; job placement, mobilizing
community resources; and community education for the acceptance of
socially disadvantaged women.

Released Prisoners and Former Patients of Psychiatric Institutions

Released prisoners are prisoners released on parole, or acquitted after
serving a prison term, or released on absolute pardon. The objective of
programs in this field is to assist the released prisoner in making an effective
adjustment in the community upon his return there. This is necessary for several
reasons:
a) Our present prison system admittedly does not provide adequate
rehabilitation services;
b) Many prisoners have lost touch, or are rejected by their families, or
have some personal family problems which require outside intervention;
and
c) The former prisoner has to contend with community attitudes that
make post institutional adjustment difficult.

Specific activities of social workers in relation to released prisoners

include doing pre-release assessment of prisoners to determine their capacities
and limitations; providing various necessary social services to the prisoner/his
family prior to and after release, including guidance and help in relation to
employment; mobilization of needed community resources on his behalf and
undertaking certain activities together with civic groups and organizations that
will promote more positive community attitude toward the released prisoner.

Older Persons
The older persons, like all other members of society, should be given the
opportunity to live decently and productively. Social services should be
available to those who, for certain reasons or conditions, are unable to look
after their own needs. For them, this would include help in relation to economic
needs and problems, social problems such as family and community
relationships, personal care, recreational needs and living arrangements. All
these social services are needed by those who have no families or whose
families are not able to provide for their needs.
In this field, social workers will have to perform any of the following
functions: agency administration and management, staff supervision, program
development, community mobilization, collaboration and coordination with
other professionals, and direct services in the form of individual and group
counseling and other helping modes (e.g. support groups, therapy groups, self-
help groups, etc.), placement, referrals, and others.

Persons with Disabilities

As a field of social work practice, work with persons with disabilities
means work with the physically handicapped like the blind, the deaf, and

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deafmute, the crippled, and those who are victims of other physical
deformities including Hansenites (Hansen’s Disease is leprosy), and the
mentally ill and handicapped.
Regardless of the type of agency, we can say that the social worker’s
contribution in this field lies mainly in the area of rehabilitation. Rehabilitation is
a helping process which aims to restore a handicapped person to the highest
possible degree of physical, social, emotional, vocational and economic well-
being. The process involves provision of a wide array of services to the person
who, understandably, will need outside assistance to be able to adequately
cope with the consequences of his being handicapped or disabled.
Social work activities in relation to the handicapped and the disabled
generally fall under two categories:
a) Administration, which involves formulation or recommendation of
agency policies that would respond to the needs and problems of this special
group, recruitment and training staff, helping plan and develop special
programs and facilities, mobilizing volunteer and community support; and
b) Direct service, including participation in case management along
with other members of the rehabilitation team which, for the social worker,
starts with a social case study that provides information and insights into the
disabled person’s personal, family, as well as community situation, or through
the planning and implementation of certain social work interventions that
would help with his total adjustment.
The social worker is usually also active in the pre-employment process,
and later, in the follow-up services that will be needed

Child Welfare

This field in concerned with the physical, social, and psychological well-being
of children and youth through the provision of different programs and services
designed for the care, protection, and rehabilitation of children and youth in
difficult situations.

Indigenous People/Indigenous Cultural Communities

IPs is defined as groups of people or homogenous societies identified by
self-ascription by others, who have continuously lived as an organized
community on communally bounded and defined territory, and who have,
under claims of ownership since time immemorial, occupied, possessed, and
utilized such territories, sharing common bonds of language, customs,
traditions, and other distinctive cultural traits, or who have, through resistance
to political, social, and cultural inroads of colonization, non-indigenous
religions, and cultures, became historically differentiated from the majority of
Filipinos. The IPs have a close attachment to their ancestral land, territory,
spirituality, and resources.

Corrections
It is defined as the administration of penalty in such a way that the
offender is corrected, that is, his current behavior is kept within acceptable

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limits at the same time his general life adjustment is modified. It involves control
and rehabilitation which are carried out by probation institutions and parole
organizations.
• Probation is the process of treatment, prescribed by the court for
persons convicted of offenses against the law, during which the
individual on probation lives in the community and regulates his own life
under conditions imposed by the court (or other constituted authority)
and is subject to supervision by probation officer.
• Parole is the release of prisoner under supervision before the
expiration of his sentence, with the provision that he might be returned
to the correctional institution if he violates the conditions of his parole.

Health
This field centers with the interplay of economic, social, and
psychological forces which directly or indirectly cause, maintain, or aggravate
the patient’s illness. The social workers working in the hospitals are considered
in to be in this field where they are called medical social workers who directly
work with medical personnel and are considered members of the health team.
Moreover, social workers working in mental health, population, and family
planning are also under this field.

Business and Industry

This field centers on the efforts of establishing and improving security,
health, and general welfare of employees and their families; the use of social
workers to assist employees and their families with personal, health, and
financial problems; and the development and maintenance of community
welfare services.
• Corporate Social Responsibility is defined as an integrated, systematic
approach by business that builds, rather than erodes or destroys,
economic, social, human, and natural capital.

Disaster Risk Reduction and Management

This field is concerned about reducing risk and vulnerabilities of every
person and communities, not just preventing disasters that destroy properties
and making risk informed investment – social, economic, and environmental,
by the whole society.

International Social Welfare

Means the engagement of social workers in international and inter-
governmental agencies and organizations with programs and services meant
to address the needs of poor, disadvantaged, marginalized populations,
mostly in underdeveloped or developing countries.
International social work is a discrete field of practice within social work
that seeks to improve the social and material well-being of people
everywhere. It is practiced across geopolitical borders and at all levels of social
and economic organization. International social work also is development-

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focused and, as such, much of international social work practice occurs at the
local, state, and provincial levels within individual countries (Estes, Richard).

Education and Training

Also called the facilitative instructional method of Social Work Practice
performed by social work teachers and trainers. This is not a field of practice in
the traditional sense but involves the transfer of Social Work knowledge and
skills through classroom instruction and field practice supervision of students
(Lee-Mendoza, 2008).

Schools
This field centers with the social and emotional factors which caused
students’ problems in school and interface with their adjustment and potential
academic achievement. The school social worker’s functions is to add, as a
non-instructional specialist, to the efforts of teachers, administrators, etc. in
assisting individual students in achieving expected educational goals. The
activities focus on particular children and children in general (Lee- Mendoza,
2008).

Military
A Military social work is a specialized field of practice that provides
support and interventions to military personnel, retirees, their spouses and their
dependents through private practice, active service, or work with veterans’
services. Job duties include providing direct services, such as counseling, crisis
intervention and debriefing after critical events.

Sector- Based Client Population

Farmers
A farmer is someone who works under umbrella of agriculture, producing
a variety of food products for human and animal consumption. There are
several kinds of farmers ranging from farmers who raise animals to farmers who
grow crops (Careerexplorer.com). The Philippines is primarily an agricultural
country. The agricultural sector employs about 30% of the population but only
12% of GDP. Almost 5 million farmers cultivate 9.7 million hectares, or about 30%
of the total land area of the country (New Agriculturist.info). The country’s
agriculture sector is made up of 4 subsectors: farming, fisheries, livestock, and
forestry. Our main agricultural crops are rice, corn, coconut, sugarcane,
bananas, pineapple, coffee, mangoes, tobacco, and abaca. We export
agricultural products around the world including Japan, USA, Europe, and
more. Moreover, our fisheries sector is divided into 3 sub-sectors: commercial,
municipal, and aquaculture for which also contribute to the nation’s GDP.
However, the most of the pressing problems under this sector includes the
rampant conversion of agricultural land, inadequate support from the local
farmers, and environmental damage (NationsEncyclopedia.com).

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Fishermen
A fisherman is someone who catches fish either for a job or a sport
(Cambridge Dictionary).

Peasants
A person who owns or rents a small piece of land and grows crops, keeps
animals, etc. on it, especially one who has low income, very little education,
and a low social position. This is usually used of someone who lived in the past
or someone in a poor country (Cambridge Dictionary).

Laborers
A laborer is a person (usually a male) who works in one of the
construction trades, traditionally considered unskilled manual labor, as
opposed to skilled labor. Laborers are also employed outside of the
construction industry, in fields such as road paving, shoveling snow, digging
graves, chain gangs, and picking up leaves. In the division of labor, laborers
have all blasting, hand tools, power tools, air tools, and small heavy
equipment, and act as assistants to other trades., operators or cement masons
(DBpedia.org).

Migrant Workers
A migrant worker refers to a person who is to be engaged, is engaged
or has been engaged in a remunerated in a state of which he or she is not a
legal resident to be used interchangeably with overseas Filipino worker (RA
8042).

Urban Poor
They refer to individuals or families in urban areas with incomes below
the poverty line as defined by the National Statistical Coordinating Board
(NSCB). They are the underprivileged or homeless sector of society - the
unemployed, underemployed and the irregularly employed, or who are
incapable of meeting the minimum basic needs, and who live in slums,
squatter and resettlement areas, sidewalks, dumpsites, road right-of-way,
cemeteries, unoccupied government or private lands or along danger zones
like railroad tracks, esteros, riverbanks, high tension wires, or other places in
urban areas (PCUP.gov.ph).

2. Roles and functions of social workers in the different settings

ROLES OF SOCIAL WORKERS IN DIRECT PRACTICE

(D.H. Hepworth, R.H. Rooney, G.D. Rooney, 5-Gottfried. 2017. Direct Social
Work Practice, 10th Ed.)

Direct Provision of Services

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Roles subsumed under this category include those in which social workers meet
face to face with clients or consumer groups in providing services.

● Individual casework or counseling (case manager, intake worker, crisis

worker): Social workers may provide individual case management and
counseling at the same time.
● Couples and family therapy: This may include sessions with individuals,
conjoint sessions, and group sessions.
● Group work services: This may include support groups, therapy groups, self-
help groups, task groups, and skill development groups.
● Educator/disseminator of information: Social workers may provide essential
information in individual, conjoint, or group sessions or may make educational
presentations to consumer groups or to the public. For example, practitioners
may conduct educational sessions dealing with parenting skills, marital
enrichment, stress management, or various aspects of mental health or health
care (Dore, 1993).

SYSTEM LINKAGE ROLES

Because clients may need resources not provided by a given social

agency and may lack knowledge of or the ability to utilize other available
resources, social workers often perform roles in developing new resources,
linking people to resources, facilitating linkages between resources, and
facilitating client relationships with resources.

Resources refer to tangible resources such as links to institutions as well as

nontangible resources such as coping and cognitive resources.

• Broker- To perform the role of broker (an intermediary who assists in

connecting people with resources), social workers must have a thorough
knowledge of community resources so that they can make appropriate
referrals. Familiarity with the policies of resource systems and working
relationships with key contact persons are essential to making successful
referrals. Note that before some people are able to avail themselves of
resources, they may require the social worker’s assistance in overcoming fears
and misconceptions about those services. Counselors and psychotherapists,
meanwhile, must be knowledgeable in theory and practice models that help
clients to understand and access internal human resources such as cognitive
and emotional strengths. Social workers also may be responsible for
developing simple and effective referral mechanisms and ways of monitoring
whether clients actually follow through on referrals. This is the process of
facilitating client relationships with resources.

• Case Manager/Coordinator- Some clients lack the ability, skills, knowledge,

or resources to follow through on referrals to other systems. In such instances,
the social worker may serve as case manager, assuming primary responsibility
for assessing the needs of a client and arranging and coordinating the delivery

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of essential goods and services provided by other resources. Case managers
also work directly with clients and resource networks to ensure that the needed
goods and services are provided in a timely manner. It is noteworthy that in the
case manager role, social workers function at the interface between the client
and the environment more so than in any other role. Because of recent
dramatic increases in the numbers of people needing case management
services, such as homeless individuals, elderly clients, and persons with serious
and persistent mental illness, numerous articles have appeared in the literature
focusing on clients who need such services, issues related to case
management, and various functions of case managers.

• Mediator/Arbitrator- Occasionally, breakdowns occur between clients and

service providers so that clients do not receive the needed services to which
they are entitled. For example, clients may be seeking a resource to which they
believe they are entitled by their health insurance. In other cases, participants
in workfare programs may find themselves sanctioned for failure to meet
program expectations (Hage, 2004). Service may be denied for several
reasons. Perhaps clients did not adequately represent their eligibility for
services, or strains that sometimes develop between clients and service
providers may precipitate withdrawals of requests for services by clients or
withholding of services by providers. In such instances, practitioners may serve
as mediators with the goal of eliminating obstacles to service delivery.

Mediation is a process that “provides a neutral forum in which disputants are

encouraged to find a mutually satisfactory resolution to their problems”
(Chandler, 1985, p. 346). When serving as a mediator, you must carefully listen
to and draw out facts and feelings from both parties to determine the cause
of the breakdown. It is important not to take sides with either party until you are
confident that you have accurate and complete information. When you have
determined the nature of the breakdown, you can plan appropriate remedial
action aimed at removing 6 barriers, clarifying possible misunderstandings, and
working through negative feelings that have impeded service delivery. In
recent years, knowledge of mediation skills has evolved to a high level of
sophistication. Today, a growing number of social workers are working
independently or in tandem with attorneys to mediate conflicts between
divorcing partners regarding child custody, visitation rights, and property
settlements. These same skills can be used to mediate personnel disputes, labor
management conflicts, and victim–offender situations (Nugent et al., 2001).

• Client Advocate- With respect to linking clients with resources, advocacy is

the process of working with and/or on behalf of clients to obtain services and
resources that would not otherwise be provided. Social workers have assumed
the role of advocate for a profession. The obligation to assume this role has
been reaffirmed most recently in the NASW Code of Ethics, which includes
advocacy among the activities performed by social workers in pursuit of the
professional mission (NASW, 2008a).

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SYSTEM MAINTENANCE AND ENHANCEMENT

As staff members of social agencies, social workers bear responsibility for

evaluating structures, policies, and functional relationships within agencies
that impair effectiveness in service delivery.

• Organizational Analyst- Discharging the role of organizational analyst entails

pinpointing factors in agency structure, policy, and procedures that have a
negative impact on service delivery. Knowledge of organizational and
administrative theory is essential to performing this role effectively. For
example, it is well documented that African American children are
overrepresented in the child welfare system in the United States (Boyd, 2014;
Font, Berger, & Slack, 2012; Marshall & Haight, 2014). This means that a greater
proportion of Caucasian children are returned to their parents after child
welfare assessments. The reasons for this disproportion are complex and not
tied to any one factor. Engaging in the organizational assessor role, social
workers in child welfare would examine the decisions made in the system. They
would then try to make sure that resources such as family group decision
making are especially available to families of color as that resource is promising
as a way to safely preserve families.

• Facilitator/Expediter- After pinpointing factors that impede service delivery,

social workers have a responsibility to plan and implement ways of enhancing
service delivery. This may involve providing relevant input to agency boards
and administrators, recommending staff meetings to address problems,
working collaboratively with other staff members to bring pressure to bear on
resistant administrators, encouraging and participating in essential in-service
training sessions, and other similar activities.

• Team Member- In many agency and institutional settings, such as mental

health, health care, rehabilitation, and education settings, practitioners
function as members of clinical teams that collaborate in assessing clients’
problems and delivering services (Sands, 1989; Sands, Stafford, & McClelland,
1990). Such teams commonly consist of a psychiatrist or physician, a
psychologist, a social 7 worker, a nurse, and perhaps a rehabilitation counselor,
occupational therapist, educator, or recreational therapist, depending on the
setting. Members of the team have varying types of expertise that are tapped
in formulating assessments and planning and implementing therapeutic
interventions. As team members, social workers often contribute knowledge
related to family dynamics and engage in therapeutic work with family
members. Social workers who are either leaders or members of a team or
group use knowledge and skills in working with groups, such as group dynamics
and group process. Sometimes such teams are dominated by members from
more powerful professions (Bell, 2001).

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• Consultant/Consultee- Consultation is a process whereby an expert enables
a consultee to deliver services more effectively to a client by increasing,
developing, modifying, or freeing the consultee’s knowledge, skills, attitudes,
or behavior with respect to the problem at hand (Kadushin, 1977). Although
social workers both provide and receive consultation, there has been a trend
for licensed MSW social workers to serve less as consumers of consultation and
more as providers. MSW trainees must seek regular consultation services until
they are licensed to practice independently. BSW social workers may provide
consultation regarding the availability of specific community resources. More
often, however, they are consumers of consultation when they need
information about how to work effectively in problem solving that
encompasses complex situations and behaviors. Social workers assume the
consultee role when they need expert knowledge from supervisors, doctors
and nurses, psychiatrists, psychologists, and other social workers who possess
high levels of expertise related to certain types of problems (e.g., substance
abuse, child maltreatment, sexual problems).

• Supervisor- Relations between consultants and consultees in social work

frequently occur within the supervisory relationship.

Supervisors play a critical role in the support of quality direct practice

work performed by social work practitioners. Supervisors are responsible for
orienting staff to how they can learn through supervision, lines of authority,
requirements, and policies of the setting (Munson, 2002).
Supervisors are responsible for guiding supervisees on how to use theory
in practice and in understanding the helping process. Social work supervisors
frequently use case presentations by staff social workers as a key mechanism
of learning during case consultation. Such presentations should be organized
around questions to be answered. Supervisors provide strategies for
engagement and assist staff in linking assessment with intervention plans and
evaluation. Special responsibilities include helping supervisees identify when
client advocacy is needed, identifying and resolving ethical conflicts, and
monitoring issues of race, ethnicity, lifestyle, and vulnerability as they affect the
client–social worker interaction. In addition, supervisors often take the lead in
securing resources for staff and facilitating linkages with other organizations.

Researcher/Research Consumer

Practitioners face responsibilities in both public and private settings to

select interventions that can be evaluated, to evaluate the effectiveness of
their interventions, and to systematically monitor the progress of their clients.
Implementing these processes requires practitioners to conduct and make use
of research. Social workers are expected to incorporate research skills into their
practice. Such incorporation occurs at several levels. For example, being able
to define questions in ways that help in consulting the research literature about
effectiveness is one such competency. Conducting ongoing evaluation of the
effectiveness of practice is another. Some practitioners utilize single-subject

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(i.e., single-system) designs. This type of research design enables practitioners
to obtain measures of the extent (frequency and severity) of problem
behaviors before they implement interventions aimed at eliminating or
reducing the problem behaviors or increasing the frequency of positive but
currently insufficient behaviors (e.g., doing homework, engaging in prosocial
behaviors, setting realistic and consistent limits with children, sending positive
messages, abstaining from drinking). These measures provide a baseline
against which the results of the interventions can be assessed by applying the
same measures periodically during the course of the interventions, at
termination, and at follow-up (Reid, 1994).

SYSTEM DEVELOPMENT
Direct practitioners sometimes have opportunities to improve or expand
agency services based on assessment of unmet client needs, gaps in service,
needs for preventive services, or research indicating that more promising
results might be achieved by interventions other than those currently
employed.

• Program Developer- Program developers seek to fill a gap in services. Such

services may include educational programs (e.g., for immigrants or pregnant
teenagers), support groups (e.g., for rape victims, adult children of alcoholics,
or victims of incest), culturally appropriate programs that respond to new
cultural groups, and skill development programs (e.g., stress management,
parenting, and assertiveness training groups).

• Planner- In small communities and rural areas that lack access to community
planners, direct practitioners may need to assume a planning role, usually in
concert with individuals in positions with access to monetary resources and
social power. In this role, the practitioner works both formally and informally
with directors and managers of departments to plan programs that respond to
unmet and emerging needs. Such needs could include child care programs,
transportation for elderly and disabled persons, and recreational and health
care programs, to name just a few. Planners have an inside perspective on
factors such as financial parameters, local and national policies, expressed
community needs and concerns, and agency parameters around the
creation of new services and the maintenance of current services.

• Policy and Procedure Developer- Participation of direct practitioners in

formulating policies and procedures typically is limited to the agencies in which
they provide direct services to clients. Their degree of participation in such
activities is largely determined by the style of administration within a given
agency. Able administrators generally solicit and invite input from professional
staff about how the agency can more effectively respond to the consumers
of its services. Because social workers serve on the “front lines,” they are
strategically positioned to evaluate clients’ needs and to assess how policies
and procedures serve—or fail to serve—the best interests of clients. For these

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reasons, social workers should become actively involved in decision-making
processes related to policies and procedures.

In rural areas and small communities, direct practitioners often

participate in policy development concerned with the needs of a broad
community rather than the needs of a circumscribed target group. In such
instances, social workers must draw from knowledge and skills gained in
courses in social welfare policy and services and community planning.

• Advocate- Just as social workers may advocate for an individual client, they
may also join client groups, other social workers, and allied professionals in
advocating for legislation and social policies aimed at providing needed
resources and enhancing social justice. Social workers may also be in the role
of advocate within their agencies when a gap in or lack of services is
recognized within an agency.

INTERVENTIVE ROLES IN DIRECT PRACTICE

(Thelma Lee-Mendoza. Social Welfare and Social Work Revised Edition)

1. Resource Provider- This role engages the worker in the direct provision of
material aid and other concrete resources that will be useful in eliminating or
reducing situational deficiencies. Concrete resources are mobilized, created,
and directly provided to the client who is assisted in making optimal use of
them. The resources needed are being administered by the social worker’s
agency or organization and all that she has to do is assist the client to avail of
them.
2. Social Broker- This interventive role involves the process of negotiating the
“service jungle” for clients, whether singly or in groups. The worker links or
connects the client to needed services in the community. She often has to
perform a variety of activities – helper, interpreter, facilitator, expediter, escort,
negotiator – to insure rapid service delivery. This role requires a broad
knowledge of community resources as well as knowledge of the operating
procedures of agencies so that effective connections can be made. This role
is very similar to the resource provider role. The distinguishing element of the
social broker role is that the worker has to match client needs with community
resources outside of her agency and assist the client to make use of these
resources.

Referral is considered a basic activity in this interventive role. It essentially

involves connecting the client to needed resources.

Networking refers to the worker’s efforts at establishing and maintaining

relationship with other community entities which have resources that can
support and supplement her own agency’s resources.

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3. Mediator- A mediator is a person who acts as an intermediary or conciliator
between two persons or sides. In her work with individuals, families, groups and
communities, the worker often has to.

4. Advocate- engage in efforts that will resolve disputes between the client
system and other parties. The objective is to find a common ground which will
make it possible to resolve the dispute. Advocate The term advocacy comes
from the legal profession. Like the lawyer, the worker has to take a partisan
interest in the client and his cause. She cannot remain neutral. The objective is
to influence, in the client’s interests, another party, usually possessing same
power or authority over the client. The client will argue, debate, bargain,
negotiate, and manipulate the environment on behalf of the client. She may
even have to utilize non-consensual strategies, such as direct confrontation,
administrative appeal, and the use of judicial and political systems as
appropriate.

5. Enabler- The enabler role involves the social worker in interventive activities
that will help clients find the coping strengths and resources within themselves
to solve problems they are experiencing. The client serves as the primary
resource, and change comes about mainly through the client’s efforts. The
worker’s responsibility is to perform a supporting and empowering function so
as to enable the client’s accomplishment of a defined change. The enabler
role can be used to effect change within the client’s pattern of relating to
others or the environment.

6. Counselor/Therapist- The goal of the worker who performs a counselor or

therapist role is the restoration, maintenance, or enhancement of the client’s
capacity to adapt or adjust to his current reality. It is premised on the belief
that there are client problems which are caused not wo much by situation
factors as by factors in the client himself, such as wrong attitudes, distorted
values, low self-esteem, limited use of knowledge, lack of self-understanding,
etc. Specific techniques include purposive listening, reassurance, persuasion,
direct advice, teaching, guidance, suggestions, logical discussions, and
exercise of professional/or legal authority.

INTERVENTIVE ROLES BEYOND DIRECT PRACTICE

(Thelma Lee-Mendoza. Social Welfare and Social Work Revised Edition)

1. Mobilizer of Elite
This intervention involves the worker in activities aimed at informing and
interpreting to certain sectors of the community, welfare programs and
services, as well as needs and problems, with the objective of enlisting their
support and/or involvement in them. This sector of the community called
“elite” is comprised of individuals and groups who are usually in a position to
provide, in one way or another, the resources the worker needs in her work with
clients. The elite would be the professionals who constitute a well-informed
group whose talents and skills can improve or enrich agency work; the

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politicians whose legislative acts can have far-reaching effects on social
welfare; policy-makers who make decisions that impact on the situations of
clients; the leaders in communities who may not be wealthy or educated but
are respected and have a following in their respective areas; the rich whose
financial support welfare agencies must often depend on for their budgetary
needs; and volunteers who represent an important but largely untapped
human resource that can enhance service to clients. Specific activities in this
role include being an information-giver, interpreter, resource person,
consultant, negotiator, coordinator, lobbyist, organizer and mobilizer.

2. Documenter/Social Critique
In this interventive role, the social worker documents the need for more
adequate social welfare policies and programs based on her knowledge
(gained from actual experience) about the inadequacies or deficiencies in
these existing welfare policies and programs, as well as on her beliefs as to how
they ought to be, in the light of professional values and goals. As a documenter
or critique, the worker should have a good understanding of existing agency
policies, programs, and services; have accurate knowledge of data about
their actual implementation; and have the skill to analyze these data.
Furthermore, it is expected that she has knowledge about how these policies,
programs, and/or services ought to be.

3. Policy/Program Change Advocate

The term “advocate” was used earlier but in another context, i.e. in
direct practice with client systems where the worker takes a partisan interest in
the client and his cause. The same term is being used here but this time, in a
different sense: the worker is involved in efforts to change policies and
programs on behalf of particular sectors of the population based on the values
of the profession. This role concept requires the worker to take a stand
regarding important issues relating to social welfare policies, and programs
affecting client population, and argue for or defend her proposal

G. Emerging Trends in Social Work

Child Protection in Emergency Situations (CPiE)

Child Protection in Emergencies (CpiE) is about making all efforts to

prevent protect and respond to abuse neglect, exploitation and violence
against children before, during and in the aftermath of an emergency.
Noting that emergencies often result in the disruption of family and
community fabric that is core to the protection, safety and well-being of
the children. (Child Protection in Emergencies Operational Guidelines for
Child Protection Practitioners in Kenya, 2023)

Community Resiliency Model (Trauma and Well - being Management)

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 The Community Resiliency Model (CRM) trains community members to not
only help themselves but to help others within their wider social network. The
primary focus of this skills based; stabilization program is to re-set the natural
balance of the nervous system. CRM’s goal is to help to create “trauma-
informed” and “resiliency-focused” communities that share a common
understanding of the impact of trauma and chronic stress on the nervous
system and how resiliency can be restored or increased using this skills-based
approach. (Trauma Resource institute)

Corporate Social Responsibility (CSR)

o Corporate Social Responsibility is defined as an integrated,

systematic approach by business that builds, rather than erodes
or destroys, economic, social, human, and natural capital.
o CSR is an initiative of companies to integrate social, economic,
and environmental concerns as part of their core/social values.
o CSR is a powerful tool for making business to flourish.
o Corporate Social Responsibility elements:
1. Beyond profits, beyond shareholders.
2. Stakeholders
3. Responsibility to society
4. Addressing the social and environmental issues.
5. Responsible governance
6. Employee empowerment

Cyber Crimes

Cybercrime is any criminal activity that involves a computer, network or

networked device. While most cybercriminals use cybercrimes to generate a
profit, some cybercrimes are carried out against computers or devices to
directly damage or disable them. (TechTarget)

DSWD’s Convergence Strategies

The Convergence Strategy complements programs which aim to help

specific sectors, such as poor individuals, families, households, and
communities. It involves pooling of expertise and resources, and the
channeling of efforts in pursuit of a commonly agreed goal or objective. It
calls for the synchronization, complementation, and coordination of all
government interventions (national and local) and the private sector in one
geographical area to ensure that reforms in terms of poverty alleviation and
social protection, among others, are achieved.

The DSWD’s Convergence Strategy addresses poverty through the

harmonized implementation of three of its major programs, namely: Kapit-

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bisig Laban sa Kahirapan Comprehensive and Integrated Delivery of Social
Services (KALAHI-CIDSS), the Pantawid Pamilyang Pilipino Program (Pantawid
Pamilya), and the Sustainable Livelihood Program (SLP)

KALAHI-CIDSS, which is being implemented in other regions, provides

funding for community-driven infrastructure projects such as school buildings,
health centers, farm-to-market roads, foot bridges, and water systems, among
others

Pantawid Pamilya gives cash grants to poor families to ensure their

education, health and nutritional needs. As of September 2013, Pantawid
Pamilya has 258,486 household-beneficiaries from 14 cities and 116
municipalities in seven provinces of Region III. The FO has reached up to
99.33 percent out of its 3,102 target barangays for 2013. The program has
likewise identified 51,369 potential households for Set 7. The RPMO paid the
total amount of P930,922,100 for Period I, II and III as of the month of
September 2013.

Sustainable Livelihood Program extends capital assistance and capability

building to beneficiaries to start their own income generating projects. As part
of the Convergence Strategy, Pantawid Pamilya beneficiaries who are
graduating from the program may avail of the SLP.

Forensic social work

Forensic Social Work: forensic means the application of scientific

knowledge to legal matters or in adjudicatory proceedings.

Gender and Development

Gender and Development (GAD) – refers to the development perspective

and process that is participatory and empowering, equitable, sustainable, free
from violence, respectful of human rights, supportive of self-determination and
actualization of human potentials. (DOH, CAR)

Human trafficking

Human Trafficking is the recruitment, transportation, transfer, harbouring or

receipt of people through force, fraud or deception, with the aim of exploiting
them for profit. Men, women and children of all ages and from all backgrounds
can become victims of this crime, which occurs in every region of the world.
(UNODC)

International social work

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 International social work is a discrete field of practice within social work
that seeks to improve the social and material well-being of people
everywhere. It is practiced across geopolitical borders and at all levels of
social and economic organization. International social work also is
development-focused and, as such, much of international social work
practice occurs at the local, state, and provincial levels within individual
countries (Estes, Richard).

Migration and social work

A migrant worker refers to a person who is to be engaged, is engaged or

has been engaged in a remunerated activity in a state of which he or she is
not a legal resident to be used interchangeably with overseas Filipino worker
(RA 8042).

Peace and Development

The major causes of war and conflict in societies are many, but they include
inequalities, injustice, and deterioration of human relations. Most often,
societies are vulnerable to conflicts and insecurity when local institutions are
unable to provide equitable access to justice and economic opportunities. It
can be argued that, poverty and lack of access to basic requirements of life
are amongst the top drivers of conflict. This means, societies that are affected
by violent conflicts are most likely to fail to meet the basic requirements of life
of their population. (World Bank, 2011). In the world of violent conflicts, various
professions may be involved in promoting peace in different ways. Being a
human service oriented profession; peace-building and development agenda
is inherent in values and goals of social work profession. Like other professionals,
social workers can play a pivotal role in promoting peace, human rights and
development by advocating the value, dignity and worthy of man. (Kafula,
2016)

Self-care

Self-care is the ability of individuals, families and communities to promote

health, prevent disease, maintain health, and cope with illness and disability
with or without the external support.

Spirituality and Social Work

While psychology and social work tend to focus on support of ego (our
particular self) spiritual attention enriches the perspectives of social work by
inviting us to see the soul (in transpersonal psychology “Self” is an alternative
term) - a deeper, more connected dimension of human experiences of clients.

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H. Social Work Communication and Documentation

1. Components of the Communication Process

Communication is a term derived from the Latin word communis which means
to make common, and the word “communi-care”, which means to share or
to impart. It is the sharing or the exchange of thoughts between two or more
persons. It is a two-way process (which start with the source initiating the
communication and the receiver responding) and method (a way of helping
people learn, through varied forms) by which a source purposively shares
messages with a receiver directly or via a channel and both learn from each
other. it is the basic ingredient in helping people.

Elements of the Communication Process

Source. The communication may originate from an individual, a group or an

institution.

Message. The message of a communication could be a knowledge, an

attitude, and/or behavior which the source wishes to convey to the receiver.
This message can be conveyed in various ways: verbally, non-verbally and
through symbols. The verbal communication involves the use of words, whether
spoken or written. Morales and Sheafer point out three fundamental task in
interviewing:

a) Listening which is the worker’s being sincerely interested in, and

concentrating on what is being said;
b) Interpretation which refers to the worker’s ability to interpret constantly the
meanings (conscious and unconscious) of the client’s words and behavior;
and
c) Questioning which needs good timing, appropriateness and a good
relationship with the client. The non-verbal communication is a communication
without words and only conveyed through the person’s physical appearance
dress, facial expression, behavior, gestures, sounds, silence, ouch, eye contact
and so on. Symbols are essentially a non-verbal form of communication with
unique characteristics of their own. They come in the form of pictures,
diagrams, posters, logos etc. and can stand by themselves, or with words.
Symbols are chosen for different reasons – to appeal to the intellect and/or to
create dissatisfaction and to foster unity.

Channel. This refers to the proper course or “channel” of transmission of

communication, that is either interpersonal communication which involves
face-to-face with people, or mass media which comes in two forms – printed

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materials such as leaflets, pamphlets, posters, flip charts, comics, magazines,
newspaper etc. and electronics like radio, television and films; or both.

Receiver. The person, group, population segment/total population that is the

intended audience of a communication is called “receiver”

Communication resources. Refer to the programs and services offered by a

variety of agencies and organizations. These come in the form of funds,
supplies and equipment, training, consultancy services, material assistance
and counseling. Their scopes also differ, so that we find agencies providing skills
training only for youth, or only educational loans for ethnic minorities, or
emergency material assistance, resettlement, as well as rehabilitation services
for urban squatters. Community resources may be offered under public, semi
public, or private sponsorship. They may be available on a local, national or
international level.

Program/Program Activities are used to “denote a general class of activities,

each of which consists of an interconnected series of social behaviors that
usually is infused with meanings and guided by performance standards from
the larger culture.

Purpose of program activities:

1. To establish positive relationship
2. To promote/improve communication between client and worker or
among themselves.
3. To serve as a diagnostic tool.
4. To provide channels or outlets of otherwise the destructive energies
5. To serve as educational tools.
6. To serve the need for socialization.
7. To provide catharsis
8. To influence people to behave in a certain way
9. To develop a sense of accomplishment
10. To help bring about community change and develop by the way of
the participative process.
11. To develop an awareness of one’s social reality.

Communication in Social Work Practice

What is Empathic Listening?

o Reflection of content and feeling at a deeper level. Its purpose is to try and
get an understanding of what may be deeper feelings.

• SOLER as Technique in Communication

S - Sit attentively at an angle

It is important to sit attentively at an angle to the person who uses the
service. This means that you can look at the person directly and shows that you

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are listening to the person seated beside you and that you are conveying
interest.

O – Open Posture
It is important for a practitioner to have an open posture. This means not
sitting or standing with your arms folded across your chest as this can
sometimes signal that you are defensive or that you are anxious. If a
practitioner has an open posture the person may be more inclined to
elaborate on their concerns.
L – Lean Forward
It important that practitioners lean forward towards the person using the
service. This shows that you are interested in what the person is talking about.
It is also possible that the person may be talking about personal issues and so
may speak in a lower or quieter tone of voice. In addition, you may want to
convey a message in a lower or quieter tone of voice if you are seated in a
public environment.
E – Eye Contact
Eye contact is important as this demonstrates that practitioners are
interested and focused on the message that the person using the service is
conveying. You can also develop a sense of the person’s emotional state by
making eye contact, therefore, enabling you to judge the extent to which the
person may be experiencing difficulty.
R – Relaxed Body Language
It is important to have a relaxed body language as this conveys to the
person using the service that you are not in a rush. This will enable the person
to develop their responses to questions in their own time.

Communication Skills
• Process of “giving and receiving a message”
• 2–way exchange between sender and receiver
• Necessitates that the receiver gets the intended message as intended
by the sender
• Involves many skills (or sub skills)

Interviewing
Interview is a face-to-face meeting between two or more persons,
directly towards a purpose, such as to obtain information, to give instructions,
and to help. Interview is conducted throughout the helping process. It Involves
verbal and non-verbal communication. Interview for community is called
conference.
• Objectives of Interview:
o To obtain information.
o To help the individual arrive at the right solution of the problem.
o To give help to individual on his immediate needs.
o To know the goal for particular interview.

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 • General Purposes of Interview Kadushin, 1983:
o Informational (to make a case study)
o Diagnostic (to make at an appraisal)
o Therapeutic (to effect change)

• Interviewing Skills:
Skills for an effective interview:
1. Skill in relating with the interviewee – professional principles
2. Skill in observing the interviewee
3. Skill in listening

Verbal Techniques in Conducting Interview:

1. Eye Contact - Direct eye contact is important for communicating to the
person that one is listening and concerned.
2. Body Posture - When interviewing, it is a good idea to monitor one's body
posture to determine what is being communicated. For example, leaning
toward the person during the interview will indicate attentiveness, while
holding your head upright and sitting rigid indicates impersonality.
3. Personal Distance - Generally, the closer one stands to another person the
more one expresses intimacy. The greater the distance, the greater the feeling
of formality.
4. Vocalization - This term refers to the volume, speed, and pacing of speech.
It is a good idea to speak to victims in a soft and slow voice, while allowing a
few seconds to lapse between questions. Pacing questions slowly gives an
impression of patience and concern.
5. Clarification - We clarify when we interrupt the speaker to ask a question
about what was just said. This indicates that we have been listening and that
the details are important to us. It is best to clarify when the person has finished
a segment of the story and not to interrupt repeatedly to ask about details.
6. Summarization - When a person has completed a statement, one can show
interest by summarizing what has been said so far. The summary need not be
long. Its purpose is to demonstrate to the client that the interviewer has been
following what was said.
7. Allowing Silence - Allowing silence in between discussions is a way of
showing that one is listening. Clients often are confused and need time to
collect their thoughts.

Other Pointers in Conducting Interview

1. Association of ideas - Read into the client’s problem, feelings that he has or
may not have. Furthermore, if the interviewer listens to the client’s own free
association, she/he will gain very many helpful clues about the things the client
is discussing.
2. Shifts in conversation - A client’s shift in conversation may be an indication
that he/she becomes conscious he/she had been telling too much and desires
not to reveal oneself further. 3. Opening and Closing Sentences - The first words
a client says are often of great significance. Closing remarks are also

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noteworthy. Often a client’s last remark indicates he/she is summing up what
the interview has meant to him/her.
4. Recurring references - Observe when a client repeatedly mentions a certain
subject, either in general terms or in specifics such as a job, need for money,
difficulties with spouse, etc.
5. Inconsistencies and gaps – Note when the client’s story is not unified such as
when she/he often contradicts himself/herself or the real meaning of what is
being said is not clear. Such behavior may indicate the operation of an internal
pressure, confusion or ambivalence.
6. Concealed Meaning - It is essential for the interviewer to be accustomed to
listening to what the client could really mean behind what he/she is actually
saying.

• Essential Conditions in Conducting Interview:

▪ Physical Setting
▪ Recording
▪ Confidentiality
▪ Background Knowledge

• How to Conduct Interview:

1. Begin where the clients is, listen before talking
a. Observation
b. Listening
c. Questioning
d. Talking
2. Answering personal questions
3. Leadership or Direction
4. Interpretation

Active Listening
• Responsive listening
• Combines talking and listening
• Indicates that worker heard and understood the client, and is
responding to his/her message
• Involves six separate skills
o Attending - communicating interest in what the client is saying
or doing
o Using Silence - meaningfully pausing to give clients time to think
and respond o Paraphrasing - restating the client’s thoughts in
own words
o Summarizing - condensing the content and identifying essential
themes and ideas
o Questioning - probing for information, confirming understanding
the client’s emotional perspective and communicating this
understanding

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Questioning Skills - questions provide a systematic way of understanding and
accepting feelings

Different Types of Questions

1. Closed-ended - calls for a specific answer.

2. Open-ended - enables the client to define, discuss, or answer the question
in any way s/he chooses.
3. Leading - used when it is desirable for the client to continue to explore the
subject at hand 4. Responding - usually follows the lead of the client’s response
5. Answer-and-agree - the client is expected to answer in such a way as to
agree with the worker

Paraphrasing
• Worker restates client’s words and ideas in own words (not the same as
repeating or parroting what the client says)
• Defining feature of accurate paraphrasing is its interchangeability with
the client’s ideas
• Focuses on immediate statements without adding to or altering the
meaning of the client’s statement

Overcoming Listening Obstacles

✓ Be aware of various barriers
✓ Be conscious of filtering the client’s message.
✓ Be patient
✓ Encourage trust
✓ Control noise
✓ Stay focused
✓ Avoid making assumptions
✓ Manage personal reactions
✓ Remember that listening does not mean agreeing
✓ Be aware of blind spots

Defining the Relationship

Contracting – negotiating the intended purpose of the helping relationship.

Using immediacy – evaluating the quality of the relationship in terms of its
contracted objectives
Using worker’s self-disclosure – reducing and “normalizing” client’s
negative feelings

RECORDINGS
• Serve as tools that guide the worker and client proceed with the task
of problem-solving

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 • Useful in evaluation-success or failure in achieving objectives
• For improvement of worker’s knowledge and skill in helping people
• Provides an account of what have taken place which is needed
when one worker must replace another, or when emergency, one
worker must take for another.
• Provides important information to make decisions on expanding,
changing or terminating programs and services and for reporting to
the community on how funds have been used.
• Supervisory tools.
• Basis for learning and serve an important educational purpose
• Source of statistical information about agency operations and
provide data for various research projects.

Types of Records

Intake Forms- Face sheet, Admission Form and Application Form

Summary records as part of the information-gathering stage in problem solving
Survey Report - contains findings about the community situation indicating
date, place and source of data)
Case Study – identifying information, a synthesis of the data obtained from
various sources
Summarized Process Recordings - Includes reactions and responses of both
client and worker, followed by the worker’s assessment/ analysis of what
transpired.
Periodic Evaluative Summaries - Includes statement about the major
developments that have occurred)
Transfer Summaries - Includes recommendations on future course of action
Final Evaluative Statement - focuses on the extent to which goals spelled out in
the Case study)

GENDER FAIR/ GENDER SENSITIVE LANGUAGE

Gender-fair language (GFL) aims at reducing gender stereotyping and

discrimination. Two principal strategies have been employed to make
languages gender-fair and to treat women and men symmetrically:
neutralization and feminization. Neutralization is achieved, for example, by
replacing male-masculine forms (policeman) with gender-unmarked forms
(police officer), whereas feminization relies on the use of feminine forms to
make female referents visible. i.e., the applicant… he or she instead of the
applicant… he (Mozer 2016).

Examples of Conscious Communication

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Source: Nelmeda, M. (2022). Communicating with Gender Fair Language in
the Workplace. https://smgreenmovement.com/communicating-with-gender-fair-
language-in-the-workplace/

Under the Civil Service Commission Memorandum Circular No. 12, Series of
2005 entitled “Use of Non-sexist Language in all Official Documents,
Communications and Issuances,” here are some suggestions on how we can
use inclusive language in the workplace:

Eliminate the generic use of HE, HIS, HIM, SHE, or HER, unless the antecedent is
obviously male or female

• By using plural nouns

Traditional: The lawyer uses his brief to guide him.
Rewording, if necessary Suggested: The lawyers use their briefs to guide them.

• Substituting articles (a, an, the) for his; using who instead of he
Traditional: The architect uses his blueprint to guide him.
Suggested: The architect uses the blueprint as a guide.

• Using One, We or You

• Using the passive voice

Traditional: The writer should know his readers well.

Suggested: The writer should know the readers well.

Traditional: The manager must submit his proposal today.

Suggested: The proposal must be submitted by the manager today.

Eliminate the generic use of Man, instead use People, Person(s), Human(s),
Human Being(s), Humankind, Humanity, The Human Race

Traditional: ordinary man, mankind, the brotherhood of man

Suggested: ordinary people, humanity, the human family

Eliminate sexism in symbolic representations of gender in words, sentences,

and text by:

• Taking the context of the word, analyzing its meaning, and eliminating
sexism in the concept

Traditional: feelings of brotherhood, feelings of fraternity

Suggested: feelings of kinship, solidarity

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Traditional: the founding father

Suggested: the founders, the founding leaders

Traditional: the Father of relativity theory

Suggested: the founder of relativity theory, the initiator of relativity theory

• Finding precise words to delineate the thing itself from supposedly sex-
linked characteristics:

Traditional: Titanic was a great ship, but she rests at the bottom of the sea.

Suggested: Titanic was a great ship, but it now rests at the bottom of the sea.

Traditional: “In all things of Mother Nature, there is something of the

marvelous…”

Suggested: “In all things of nature, there is something of the marvelous…”

Traditional: You can’t stop Father Time.

Suggested: You can’t stop time.

Eliminate Sexual Stereotyping of Roles

• Using the same term for both genders when it comes to profession or
employment
Traditional: Salesman, Stewardess
Suggested: Sales agent, Flight attendant

• Using gender fair terms in lexical terms

• Treating men and women in a parallel manner
Traditional: Sportsmanship
Suggested: Highest ideals of fair play
• Avoiding language that reinforces stereotyping images
Traditional: I now pronounce you man and wife.
Suggested: I now pronounce you husband and wife.
• Avoiding language that catches attention to the sex role of men and
women
Traditional: a man’s job, the director’s girl Friday
Suggested: a big job, the director’s assistant
Traditional: working mothers, spinsters or old maids
Suggested: wage-earning mothers, unmarried women
Traditional: busboys, chauvinist pigs
Suggested: waiter’s assistants, male chauvinists

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Eliminate sexism when addressing persons formally by:
• Using Ms. instead of Mrs.
Traditional: Mrs. Dela Cruz
Suggested: Ms. dela Cruz
• Using a married woman’s first name instead of her husband’s
Traditional: Mrs. Juan dela Cruz
Suggested: Ms. Maria Santos-dela Cruz
• Using the corresponding titles for females
Traditional: Dra. Concepcion Reyes
Suggested: Dr. Concepcion Reyes
• Using the title of the job or group in letters to unknown persons
Traditional: Dear Sir
Suggested: Dear Editor, Dear Credit Manager, Dear Colleagues

PART II. FIELD INSTRUCTION I

SOCIAL WORK HELPING PROCESS (APIET)

1. Assessment
2. Planning
3. Intervention or Plan Implementation
4. Evaluation; and
5. Termination

THE HELPING RELATIONSHIP

The worker-client relationship is such a crucial factor it can spell difference
between successful or unsuccessful problem-solving. All of the worker’s
professional
relationships should involve self-discipline and self-awareness.

Emmanuel Tropp – developed an important set of statement that sum up the

essential characteristics of the worker’s presentation of self to each of her
clients:
1. Compassion 9. Expectation
2. Mutuality 10. Limitation
3. Humility 11. Confrontation
4. Respect 12. Planning
5. Openness 13. Enabling
6. Empathy 14. Spontaneity and control
7. Involvement 15. Role and person
8. Support 16. Science and art

SELF-AWARENESS may be called for in situation where worker’s values clash

with the client values. Many of these values have usually been so internalized

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that the worker is often not conscious that she is judging other people’s
behavior along these values.

Naomi I. Brill - recognizing the worker’s value system defines her behavior and
relationships with other people, believes that the effective worker must:
1. Be aware that she is a walking system of values.
2. Be conscious of what these biases are.
3. Strive to evaluate herself and her values objectively and rationally.
4. Strive to change those values that, on the basis of this evaluation, need
changing.

AUTHORITY (and the power that accompanies it) - there are 2 sources of a
worker’s authority – her position and corresponding functions in the agency,
and her possession
of knowledge and experience.

GODSTEIN points out that in SW relationships, when one seeks something from
another person “that cannot be obtained elsewhere – the relationship cannot
be equalized.

COMMITMENT & OBLIGATION - to bind or pledge one’s self to a relationship; to

obligate one’s self is to perform the moral responsibility that goes with a pledge
or a promise made.

HELPING CONTRACT is frequently used in reference to the expectations and

terms of the commitments and obligations of both client and worker, which
are often
clearly spelled out.

1. Beginning Phase (Assessment and Planning)

ASSESSMENT
• Also termed as diagnosis and social study
• A process and a product of understanding on which action is based
(Max Siporin)
• Involves the collection of necessary information and its analysis and
interpretation
• The ultimate purpose is to provide understanding necessary for
appropriate planning.
• The major tasks involved during this stage are data gathering, and
problem definition based on the agreement between the client and the
worker as to the problem-for-work.
• These tasks culminate in the worker’s writing of an Assessment Statement
or a Problem Definition.

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 INFORMATION/DATA GATHERING
o Can be Primary or Secondary source
Existing data
Worker’s own observations
o the collection, testing and analysis of data obtained usually occur
simultaneously.
o It must be stressed that there is no substitute for the worker’s
crystallization of her own assessment of the client’s problem.

The following are suggested principles in data gathering:

1. The client should be the main source of information.
2.Data to be gathered should directly relate to the identified problems.
3. The client should be informed about the source being used for data
collection.
4.Data collection is a continuous process.
5. The type of client and the general nature of the problem
can guide the worker on the type of data that should be
collected and how much.

THE INITIAL CONTACT(S) WITH CLIENT/INTAKE

Can be:
1. The client initiates the contact
2. Referred by interested or concerned party.
3. The agency

INTAKE PROCESS & THE PRESENTING PROBLEM

o Intake is the process by which a potential client achieves the status of
a client
o Client’s part - presentation of the self and the problem or need
o SWer’s part - assessment of the client and the problem
o A good intake interview should provide the client with adequate
understanding of the agency and its policy and program in relation to
the need or problem, as well as the responsibilities and obligations from
both the client and worker
o The intake process may end either with the worker or the client
deciding not to proceed
o Intake may be accomplished in one session with the client.
o Presenting problem - problem that is a threat to the client’s or others’
welfare, and usually stated or presented as it is being perceived or
experienced.

DEFINING THE PROBLEM

Compton and Galaway - the way you define the problem will define the
data collected and will dictate what are seen as appropriate answers.

o Problem-for-work - place of beginning together which means problem

or part of the problem that:

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 a. the client system feels is most important or a good beginning place;
b. in the worker’s judgment is mort critical;
c. in the worker’s judgment can most readily yield to help;
d. falls within the action parameters of the helping system.

PARTIALIZATION - process of separating from so many problems identified by

the client and/or worker the specific problem or problems which are to be
addressed first, and therefore will be the focus of the helping relationship.

PRIORITIZING - the added aspect of a problem taking precedence over other

problems because of its importance.

WRITING AN ASSESSMENT STATEMENT

Components of an assessment statement by Maria O’neil Mcmahon:
▪ Opening casual statement – this requires the worker to clearly
indicate who has the problem, and why the problem exists at this
time.
▪ Change potential statement – a problem’s change potential is
dependent on three interdependent factors: problem, person
and environment.
▪ Judgment about the seriousness or urgency of the problem.

Characteristics of Assessment
1. On-going
2. Focuses on understanding the client in situation and providing a base
of planning and action
3. A mutual process between client and worker.
4. There is movement within the assessment process.
5. Both horizontal and vertical explorations are important.
6. Assessment identifies needs in life situations, defines problems, and
explains their meanings and patterns.
7. Assessment is individualized
8. Judgment is important in assessment because many decisions have
to be made.
9. No assessment is ever complete.

PLANNING
o the link between Assessment and Intervention.
o Planning process translates the content of assessment into a goal statement
that describes the desired results and is also concerned with identifying the
means to reach the goals.

2 major tasks during the planning stage:

1. Formulating goals that directly relate to the client’s
need or problem
2. Defining the specific actions/interventions that are

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 necessary to achieve the goals.

GOALS
- The desired or expected outcomes of an endeavor.
- The term interim goals, intermediate goals and objectives - refers to specific,
short-term goals which facilitate the achievement of the long term or overall
goals.
- Characteristics of goals - SMART

PLANS
• Means to achieve goals.
• Consist of the specific actions/steps to be undertaken in order to reach
the goals.
• Jointly made by the worker and the client: Helping Plan,
• Action Plan or Intervention Plan.
• Systematic review of client strengths when preparing an intervention
plan is one way to avoid offering an intervention plan without
considering alternatives with the client.

UNITS OF ATTENTION
INTERVENTION or ACTION/HELPING PLAN calls for an identification of other
persons who, in addition to client, have to be given attention because they
are involved in the situation, and work with them is essential to goal attainment.
o Systems that are the focus of the change activity.

STRATEGY defined as “an overall approach to change a situation.”

Factors that influence the plan of action

1. The community in which it is being carried out.
2. The agency sanctioning the plan
3. The social problem that the plan is a response to
4. The worker involved in the plan.
5. The client

The Assessment and Planning steps in the problem-solving process culminates

in the worker’s writing of a CASE STUDY that contains the synthesis of the
information that has been obtained on the client and his situation, an
assessment statement/ definition of the problem of work, and the helping
intervention goals and plans.

THE HELPING CONTRACT

After having worked together in assessment and action planning, what should
follow is an agreement between the worker and the client on what needs to
be done and who should do it. This is called a “contract” in our setting, and
having verbal agreement is common practice.

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2. Middle Phase (Intervention or Plan Intervention)

INTERVENTION

▪ This phase in the helping process is concerned with the action that would
solve the client’s problem.
▪ Involves the rendering of all the specific and interrelated services
appropriate to the given problem and situation in the light of the
assessment and planning.
▪ Includes all the goal related activities that the worker will undertake
following the agreement forged with the client based on the problem to
be worked on and the plan of action to be pursued.

Compton and Galaway have very apt words for the two phases of the helping
process: Deciding what to do (assessment and planning) and doing the
decided (intervention)

ECO-MAP is an assessment, planning, and interventive tool. A simple paper

and pencil simulation that present the individual or family and the major
systems in the life space, as well as the nature of the individual’s or family’s
relationships with these various systems.

3. Ending Phase (Termination; Monitoring and Evaluation; Documentation; and

Supervision )

EVALUATION

Collection of data about outcomes of a program relative to goals and

objectives set in advance of the implementation of that program.
• On-going evaluation
• Terminal evaluation
• Summative evaluation concerned with outcomes or
effectiveness.
• Formative evaluation concerned with looking at the process of
the work. It forces the worker to find out whether the intervention
plan is being implemented as designed.

2 Aspects of Accountability:

Effectiveness – refers to the question on whether or not the services or

intervention plans are accomplishing their intended goals;
Efficiency – refers to the cost of services and intervention plans in
money, time, and other resources.

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 EVALUATION MODEL
Evaluation in social work is done in two levels:
1. On the level of direct practice with clients
2. On the level of program implementation

The evaluation is directed toward the following:

1. Measuring the outcomes (dependent variables) of programs of
specific interventions;
2. Measuring the change process or the nature of the intervention
themselves (independent variables); and
3.Utilizing the research design that will permit you to attribute the
outcome to the change processes.

TERMINATION
The following are the most common reasons for terminating the client- worker
relationship:

1.When the goals set by worker and the client have been reached.

2.When, after a reasonable period of time, there has been very little movement
toward the attainment of the goals formulated, and the prospect for any
change in the situation is held unlikely.

3.When the client thinks that the worker has provided sufficient help so that it is
now possible for the client to pursue problem-solving on his own.

4.When an agency does not have the resources needed by the client or the
worker does not get her agency’s approval to provide the services needed by
the client.

5.When the systems outside the client make it difficult for the client to continue
with the helping relationship or when these systems influence the client to
discontinuethe relationship.

6.When for one reason or another, the worker must leave the agency.
Transfer – the process by which a client is referred by his social worker to
another worker, usually in the same agency, because the former will no longer
be able to continue working with the client, or because she thinks another
worker is in a better position to work with her client’s problem.
Referral – the act of directing a client to another worker/agency
because the service that the client needs is beyond the present agency
worker’s competence, or the client needs the additional service which the
present agency cannot provide.

THE COMPONENTS OF TERMINATION

Ellen Pincus and Anne Minahan present 3 major components of the
termination processes:

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1. Disengagement - while termination is supposed to have been discussed from
the beginning of the client-worker helping relationship, the reality often evokes
certain feelings and reactions from both workers and clients, which must be
faced. Common reaction:
1. Denial
2. Emotional reactions
3. Bargaining
4. Depression
5. Acceptance

The following are some of the factors which influence client reactions:
1. Length of service
2. Attainment of client goals
3. Client-worker relationship
4. Modality of intervention

2. Stabilization of Change - Ronald Lippitt contend that the main test of a

change agent’s help is the stability and permanence of the client system’s
changed behavior when the change agent is no longer actively working with
the client.
• The change process must equip the client system to carry on effectively
in a wide range of day to day activities after the initial change project is
over.
• Robert Vinter explains this as the requirement of transferability.
• The worker’s main function during the stabilization of change is to ensure
generalization and spread of a change effort which has been started.

3. Terminal Evaluation - Periodic evaluation allows the worker and the client to
review and, if necessary, revise the goals and objectives, assess gains and/or
failures,
negotiate conflicts, and so on.
• The evaluation of goal accomplishment in relation to the client’s need
or problem may reveal her limitations and mistakes.

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 Social Work
Practice II and
Field Instruction
II

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 (Working w/ Groups)

SOCIAL GROUP WORK

PART I. SOCIAL WORK PRACTICE WITH GROUPS (PRACTICE METHOD II) (50%)

A. HISTORICAL DEVELOPMENT OF GROUPWORK

It is often believed that group work is considerably younger than casework, but
group work agencies actually started only a few years after casework
agencies. There were courses for group workers in schools of social work in the
early 1900s (Maloney, 1963), and both casework and group work were used
by social workers in the early twentieth century.

In the United States, casework soon became identified with the social work
profession, but group work did not become formally linked with social work until
the National Conference of Social Work in 1935. The identification of group
work with the social work profession increased during the 1940s (American
Association of Group Workers, 1947), although group workers continued to
maintain loose ties with recreation, adult education, and mental hygiene until
1955, when group workers joined with six other professional groups to form the
National Association of Social Workers.

The roots of group social work began in the settlement houses, the Young
Men’s and Young Women’s Christian Associations (YMCAs and YWCAs), Boy
Scouts and Girl Scouts, and Jewish centers of the 1800s. These agencies
focused on providing group programs for people considered “normal.”
Recipients of early group services came for recreation, informal education,
friendship, and social action.

Unlike the charity organizations that focused on the diagnosis and treatment
of the problems of the poor, settlement houses offered groups as an
opportunity for citizens to gather to share their views, gain mutual support, and
exercise the power derived from their association for social change. The focus
was on promoting the well-being of individual members through acceptance,
companionship, and solidarity, while at the same time promoting democratic
participation, social justice, and social action in civic, industrial, and social
institutions.

Jane Addams founded the first settlement house in Chicago in 1889 to address
issues of assimilation (Singh & Salazar, 2010). Most of the life and self-advocacy
skills were taught in groups. Other early pioneers were Joseph Pratt, who

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worked in asylums for tuberculosis patients, and Jessie Davis who worked in the
schools. Both pioneered social justice through group work using empowerment
and advocacy skills (Singh & Salazar, 2010).

Contributions to social group work also have been made by many other
disciplines.

➢ Dr. Pratt, a physician who worked with tuberculosis patients in 1905, is

often attributed with being the first to use a group as a treatment
modality.
➢ Lazell (1921) who reported using psychoeducational methods in the
treatment of inpatients.
➢ Marsh (1931, 1933, 1935) who reported using milieu therapy.
➢ Syz (1928) who reported using a here-and-now focus on patients with
dementia.
➢ There were also early psychodynamic group therapists, such as Wender
(1936), Schilder (1937), and Slavson (1940), who reported the results of
their clinical work.

1. Settlement Houses
The first settlement house, Toynbee Hall, was established in London in 1884;
many others were soon formed in large U.S. cities.

Many of the early settlement-house workers were daughters of ministers.

Usually from middle- and upper-class families, they would live in a poor
neighborhood so they could experience the harsh realities of poverty.

Using the missionary approach of teaching residents how to live moral lives and
improve their circumstances, early settlement workers sought to improve
housing, health, and living conditions; find jobs for workers; teach English,
hygiene, and occupational skills; and improve living conditions through
neighborhood cooperative efforts. The techniques settlement houses used to
effect change are now called social group work, social action, and
community organization.

The most noted leader in the settlement-house movement was Jane Addams
of Hull House in Chicago.

With a few friends, Addams initiated a variety of group and individual activities
for the community. Group activities included a literature reading group for
young women; a kindergarten; and groups that focused on social
relationships, sports, music, painting, art, and discussion of current affairs. Hull
House also provided services to individuals who needed immediate help, such
as food, shelter, and information on and referral for other services. A Hull House

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Social Science Club studied social problems in a scientific manner and then
became involved in social action efforts to improve living conditions. This group
worked successfully for passage of Illinois legislation to prevent the
employment of children in sweatshops.

Settlement-house leaders believed that by changing neighborhoods, they

could improve communities, and by altering communities, they could develop
a better society. For her extraordinary contributions, Jane Addams received
the Nobel Prize for Peace in 1931.

2. Young Men’s Christian Association (YMCA)

George Williams was the founder of the Young Men’s Christian Association
(YMCA). He grew up in a religious environment and joined the Congregational
Church at the age of 16. At 20, he moved to London and worked for another
drapery firm. Like Williams, the business owner, George Hitchcock, was deeply
religious and allowed his new employee to organize prayer meetings at work.

In 1851, Thomas V. Sullivan, a retired mariner, picked up a religious weekly in

Boston and read about the YMCA movement in London.7 Sullivan gathered a
few friends and established the first YMCA in the United States. Similar to the
London association, the U.S. movement spread quickly to other communities.
In only 7 years, YMCAs were serving communities throughout the United States.

U.S. YMCA - the first organization to aid troops during wartime in the field and
in prison camps. It pioneered community sports and athletics, invented
volleyball and basketball, and taught water safety and swimming. It devised
an international program of social service similar to that of the Peace Corps. It
originated group recreational camping, developed night schools and adult
education, initiated widespread nondenominational Christian work for college
students, and reached out to assist foreign students.

• Some notable individuals who also contributed in the development of

Groupwork:
1855 – Prayer Union (by a Christian, Emma Roberts)

1855 – General Female Training Institute (social activist Lady Mary Jane
Kinnaird)

1877 – combined and became Young Women Christian Association (YWMCA)

(other countries like Germany, Ireland,Switzerland, USA, many more.)

GROUPWORK IN THE PHILIPPINES

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In the 1920s, socio-civic organizations like the Young Men’s Christian
Association (YMCA) and the Young Women’s Christian Association (YWCA)
were already starting leisure-time activities for personality development and
character-building purposes. These agencies were in introduced during the
period of colonial rule in the Philippines. Their purposes relate to what was
termed in the United States as the “socialization function” of group-serving
agencies. They were the first group-serving agencies in the country and the first
teachers of group work were mostly recruited from these agencies.

Before the Sixties: Socialization Goals

The YMCA (1911), YWCA (1926), & Boy Scouts of the Philippines/BSP (1936) are
the noted organizations from which the group work in the Philippines started.

These paved way for group-serving agencies using groups for personality
development & character building through wholesome leisure-time or
recreational activities.

Leadership in these groups were initially carried out by volunteers until these
movements moved into the training of workers along the different agencies’
specific programs.

These workers were later required by their agencies to take formal courses in
group work.

The first teachers of group work in the Philippines were formerly employed in
these socio-civic agencies using groups for the development of the individual
through training in social skills and inculcating social values.

Social Workers in family welfare agencies like the Foster Parents Plan, Inc.
began organizing mothers’ groups to promote responsible parenthood,
vocational efficiency, and citizenship training.

From 1958 to 1959, the Philippine Mental Health Association already had a
community outreach program for the prevention of juvenile delinquency in
selected communities in the city of Manila. There were also parent-education
programs that utilized skits and drama presentations focused on themes
related to the problems of delinquency.

The Sixties: Prevention, Treatment, and Developmental Goals

Special Child Custody Center, Inc. (parents’ groups) - to help participants

understand, accept, and deal with their children’s conditions

Philippine Mental Health Association - a team consisted of a psychiatrist, a

clinical psychologists and psychiatric social worker (to which Thelma Lee-

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Mendoza is a member) conducted group therapy sessions including the use of
psycho-drama with emotionally disturbed patients in its Day Care Center.

Department of Social Welfare - group work in tenement housing community

centers within Metro Manila tenants’ associations were formed in the housing
area, identification of common problems & form small groups, each group
then dealt with a particular problem. Examples:

➢ OSY group – would address the problem of idleness, unemployment,

lack of skills and gang wars
➢ group of heads of households – would deal with the problem of water
supply and garbage disposal
➢ mothers’ group – would address their concerns relating to child care,
household management and family planning.
University of the Philippines’ Graduate Social Work Students - among the first
social group workers in government housing community centers who were
persuaded to demonstrate the developmentally-oriented form of group work
(through the placement of field practicum students to help work on the
innovative programs)

Philippine School of Social Work (Philippine Women’s University) & the

Philippine Youth Welfare Coordinating Council - students worked with youth
groups for socialization and developmental goals

University of the Philippines’ College of Social Work & Community

Development & the St. Luke’s Hospital’s field placement program for social
work students - poverty-stricken families served on an out-patient basis
(preventive & developmental goals) and patients in the hospital’s psychiatric
ward (therapeutic goals).

The Seventies: Emphasizing Developmental Goals

Goal: Emphasizing Developmental Goals or “Developmental Social Welfare”

UNITED NATIONS - declared 1960 as the First Developmental Decade & 1970 as
the Second Developmental Decade

DEVELOPMENT PLAN of the Philippine Government

➢ The basis of the then Department of Social Welfare (Dept of Social

Services & Development 1976, now DSWD) to implement
developmental programs and services for the bottom 30- percent of
the country’s population
➢ Implementation of self-employment assistance, leadership training,
day care responsible parenthood, and family life education
programs

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 ➢ “Barangay approach” facilitated the abovementioned activities
utilizing the existing political structure, the barangay (as the worker’s
point of entry & basis for problem identification and prioritizing) –
➢ The group was used as the main instrument of service.
Juvenile and domestic relations courts - Social workers used groups to help
provide legal offenders with group experiences aimed at their socialization
and/or re-socialization

Orphanages - Social workers provided their wards with group experiences for
socialization

1972-1981

DECLARATION OF MARTIAL LAW

➢ Provoked a great deal of consciousness-raising efforts aimed at making

many rural and urban poor citizens realize that many of their problems
(lack of basic amenities like water, low-cost housing, medical facilities,
employment opportunities, etc.) were due to deficiencies in their social
situations. –
➢ Imperative for social workers to help people organize and use
themselves as the major resource, and at the same time.
Work with small groups work with small groups is referred to in the social work
literature as “COMMUNITY GROUP WORK”.

PRESENT SCENE

Most social welfare agencies (governmental & non-governmental) in the

country offer some type of group service not only for a single purpose but for
several purposes.

1) Developmental
Emphasizes human and community resource mobilization

Organizing clients/beneficiaries into groups through leadership & small-scale

business management trainings, deciding on the livelihood project(s) to
undertake, rules on collection and payment of loans, marketing of products,
etc.

Day care centers whose social work staff organize mothers into groups which
are used to help them acquire knowledge and skills in effective parenting,
household, management, personal enhancement and the like.

e.g., public agencies investing for the support of livelihood programs

2) Socialization/Re-Socialization

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Intended primarily to help the members of the group acquire the values,
attitudes and norms of the society of which they are a part.

Probation offices and correctional institutions conduct group programs which

emphasize their clients’ learning or re-learning of acceptable ways of
behaving and handling situations

e.g., programs for street children and runaways focusing on values formation
using group mode of service

3) Treatment/Rehabilitation

Focuses on the use of small group to help individuals who already have a
problem or breakdown in their social functioning.

e.g., organizing groups of victims of natural disasters, child abuse, adult sexual
abuse, drug abuse

Embedded in programs that have mainly therapeutic functions

e.g., group programs for the terminally-ill, physically handicapped, patients

undergoing kidney dialysis, etc.

Other private agencies which pioneered social group work are:

(The Fundamentals of Social Group Work: Theories and Practice by Agrinelda Nelmida Miclat)

Christian Childrens Fund (CCF)

The use of group work as a medium of personality growth and development
among the mothers in the 74 CCF Project Affiliates has been the agency’s
thrust as this plays a key role in their children’s upbringing and development.
The mothers are organized into groups where they can plan their activities in
the day care program, nutrition program, education program, spiritual and
value formation/enhancement of their children.

Kaunlaran Multi-Purpose Center

The thrust of the Kaunlaran Multi-Purpose Center is a six months group building
program to develop skills in five levels among the youth age 13-17 years old.
These are:

1. self-awareness;
2. interpersonal relations;

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 3. communications;
4. group maintenance; and
5. leadership
Rizal Youth Development Foundation (RYDF)
RYDF’s varied development programs are focused on the physical, economic,
and social development of Rizal’s out-of-school youth. The youth are involved
in sports activities to engender fellowship, develop their physical wellbeing and
sense of sportsmanship. They are also made to participate in camping, picnics,
cleanliness, and beautification drives to meet their socialization needs and to
enhance their capacity to relate positively with their peers. They also imbibe
positive values in the process of group participation.

The Salvation Army

The Salvation Army is an international organization known more for its services
in times of disasters. However, in conjunction with its “balance ministry” it has
services to individuals in groups rendered through their day care and
kindergarten program. It also sponsors skills training and economic programs
for groups.

The main focus of the Salvation Army’s work with groups is the Golden Agers
Club which has for its objective the fostering and maintenance of a sense of
usefulness and dignity for the elderly who are past 60 years old.

The Young Women’s Christian Association (YWCA)

The YWCA’s target group are in-school and out-of-school girls and women,
age 10-25 years old, as well as the employed female or homemaker age 25
years and above. Its program focus on four dimensions, to wit:

1. the physical wellbeing using recreation and camping as program

media;
2. the economic wellbeing through vocational guidance, training, and
placement;
3. the social wellbeing through family life education; and
4. the spiritual and cultural wellbeing through Christian education world
fellowship and housing for women.

CURRENT PRACTICE TRENDS

Papell and Rothman (1962) outlined three historically important models of

group work practice. These are the (1) social goals, (2) remedial, and (3)

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reciprocal models. Although these three models have been expanded to
include many others in recent years, they still form the basis for group work
practice with treatment groups.

1. Social Goals Model

The social goals model focuses on socializing members to democratic societal
values. It values cultural diversity and the power of group action.

The social goals model has also been used by community organization and
development agencies to change societal norms and structures and improve
the social welfare of all citizens.

The worker acts as an enabler who uses program activities, such as camping,
discussions, and instructions about democratic processes, to socialize
members. The worker also acts to empower members by helping them make
collective decisions and use their collective strength to make society more
responsive to their needs.

Tropp focused on how group development can be used to empower

members to achieve the goals they have set for themselves. He was strongly
opposed to the worker’s establishing goals for members, believing instead that
groups could promote growth only when the worker encouraged group self-
direction toward common goals. Klein’s writings emphasized the importance
of matching members’ needs to environmental opportunities for growth. Like
Tropp, Klein emphasized the autonomy of group members and their freedom
to pursue their own self-defined goals.

2. Remedial Model
The remedial model focuses on restoring or rehabilitating individuals by helping
them change their behavior. The worker acts as a change agent and
intervenes in the group to achieve specific purposes determined by group
members, the group worker, and society. The remedial model uses a leader-
centered approach to group work, with the worker actively intervening in the
group’s process, often using systematic problem solving and task-centered or
behavioral methods.

It is used widely in inpatient and community-based settings with individuals who

have severe behavioral problems and social skills deficits.

Time-limited, highly structured remedial groups are also being used with
increasing frequency in managed care settings as cost-effective alternatives
to long-term individual and group psychotherapy (Conyne, 2010; Delucia-
Waak, et al, 2014; LeCroy, 2008).

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Garvin (1997), Rose (1998), and Vinter (1967) are often associated with this
approach to group work. With the increased attention to time-limited, goal-
directed practice and measurable treatment outcomes, this model has
received increasing attention in the group work literature in recent years
(Conyne, 2010; Delucia-Waack, Kalodner, & Riva, 2014; Kleinberg, 2012;
LeCroy, 2008).

3. Reciprocal Model
The reciprocal model, is sometimes referred to as the interactional model or
the mutual aid model (Reid, 1997; Gitterman & Shulman, 2005; Shulman, 2016).

The model derives its name from the emphasis on the reciprocal relationship
that exists between group members and society. Members both influence and
are influenced by the environment. The worker acts as a mediator, helping
group members find the common ground between their needs and societal
demands. The worker also acts as a resource person who facilitates the
functioning of the group and helps members form a mutual-aid system and
explore new ways of coping with and adapting to environmental demands.

The reciprocal model encourages workers to use group processes to foster a

therapeutic environment in the group as a whole. The reciprocal model also
encourages the worker to help the agency and the wider community better
understand and meet individual members’ needs.

Gitterman and Shulman (2005), Schwartz (1976), and Shulman (2016) are best
known for the group-centered, process-oriented approach to group work
practice, but other authors such as Brown (1991), Glassman and Kates (1990),
Steinberg (2014), and Wasserman and Danforth (1988) have made important
contributions to this model of group work practice.

SELECTED SOCIAL GOALS REMEDIAL MEDIAL RECIPROCAL

CHARACTERISTICS MODEL MODEL
Purpose and Social To restore and To form a mutual
Goals consciousness, rehabilitate group aid system
social members who are among group
responsibility,
behaving members to
informed
citizenship, and dysfunctionally achieve optimum
informed political adaptation and
and social action socialization

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 Agency Settlement houses Formal agency Compatible with
and setting, clinical
clinical inpatient
neighborhood outpatient or
and outpatient
center settings inpatient settingssettings and
neighborhood
and community
centers
Focus of Work Larger society, Alleviating Creating a self-
individuals within problems or help, mutual aid
the context of the concerns system among all
neighborhood Improving coping group members
and the social skills
environment
Role of the group Role model and Change agent Mediator
worker enabler for who engages in between needs
responsible study, diagnosis, of members and
citizenship and treatment to needs of the
help group group and the
members attain larger society
individual Enabler
treatment goals contributing data
not available to
the members
Type of group Citizens, Clients who are Partners who work
neighborhood, not functioning together sharing
and community adequately and common
residents need help coping concerns
with life’s tasks
Methods used in Discussion, Structured Shared authority
the group participation, exercises, direct where members
consensus, and indirect discuss concerns,
developing and influence, both support one
carrying out a within and outside another, and form
group task, of the group, to a cohesive social
community help members system to benefit
organizing, and change behavior one another
other program patterns
and action skills to
help group
members acquire
instrumental skills

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 about social
action and
communal living
and change
Figure 1

B. TYPES OF GROUPS

1. Formed and Natural Groups

Formed groups are those that come together through some outside influence
or intervention. They usually have some sponsorship or affiliation and are
convened for a particular purpose. Some examples of formed groups are
therapy groups, educational groups, committees, social action groups, and
teams.

Natural groups come together spontaneously based on naturally occurring

events, interpersonal attraction, or the mutually perceived needs of members.
They often lack formal sponsorship. Natural groups include family groups, peer
groups, friendship networks, street gangs, cliques, and groups created by peers
within social media platforms. Natural groups, such as families, are neither
planned nor constructed by a group worker. Often, natural groups have a
longer developmental history that has unique implications for the relationships
among members and the interventions used by workers.

2. Treatment and Task Groups

Treatment group is used to signify a group whose major purpose is to meet
members’ socio-emotional needs. The purposes for forming treatment groups
might include meeting members’ needs for mutual aid, support, education,
therapy, growth, and socialization.

➢ Members of treatment groups are bonded by their common

needs and common situations.
➢ Roles are not set before the group forms, but develop through
interaction among members.
➢ Communication patterns in treatment groups are open. Members
are usually encouraged to interact with one another.
➢ Often have flexible procedures for meetings, including a warm-up
period, a period for working on members’ concerns, and a period
for summarizing the group’s work.
➢ Often composed of members with similar concerns, problems,
and abilities.
➢ Meetings are often confidential.

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 ➢ Successful to the extent that they help members meet their
individual treatment goals.
Task group is used to signify any group in which the overriding purpose is to
accomplish a goal that is neither intrinsically nor immediately linked to the
needs of the members of the group. The primary purpose of task groups is to
accomplish a goal that will affect a broader constituency, not just the
members of the group.

➢ Create a common bond by working together to accomplish a

task, carry out a mandate, or produce a product.
➢ Members may take on roles through a process of interaction, but
roles are more likely to be based on members’ positions within the
organization.
➢ More likely to address their communications to the leader and to
keep their communication focused on the task to be
accomplished. In some task groups, the amount that members
communicate on a particular agenda item may be limited by the
worker. In other task groups, members may limit their own
communication because they believe they will not be well
received by the group.
➢ More likely to have formalized rules, such as parliamentary
procedures, and set agendas that govern how members conduct
group business and reach decisions.
➢ Tend to be composed of members with the necessary resources
and expertise to accomplish the group’s mission. • In treatment
groups, members are expected to disclose their own concerns
and problems. Therefore, self-disclosures may contain emotionally
charged, personal concerns. In task groups, member self-
disclosure is relatively infrequent.
➢ Some task group meetings, such as the meetings of treatment
conferences and cabinets, may be confidential, but the meetings
of other task groups, such as committees and delegate councils,
are often described in minutes that are circulated to interested
persons and organizations.
➢ Successful when they accomplish group goals, such as generating
solutions to problems and making decisions or when they develop
group products, such as a report, a set of regulations, or a series
of recommendations concerning a particular community issue.

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3. Primary Groups
A primary group is typically a small social group whose members share close,
personal, enduring relationships. These groups are marked by members’
concern for one another, in shared activities and culture. Examples include
family, childhood friends, and highly influential social groups. Primary groups
play an important role in the development of personal identity. A primary
group is a group in which one exchanges implicit items, such as love, caring,
concern, animosity, support, etc.

4. Social Groups
It is a collectivity of two or more individuals who are in state of interaction with
one another. The state of social interaction refers to the reciprocal influence
individuals exert on one another through inter-stimulation and response
(“Social Group”, n.d.).

a. In-group
A group, to which we directly belong, is called in-group. It can be our own
family, tribe, sex, occupation, games or interest groups. The term “in-group” is
used when an individual wants to identify himself with a group or show an
association with his group.

b. Out-group
A group, to which we do not belong, is called out-group. It can be any group
of others (not ours). It is used to distinguish one’s identify from that of others or
to compare one’s identity to that of others.

A TYPOLOGY OF TREATMENT AND TASK GROUPS

According to Klein (1972), a number of group purposes are possible.

Group Work Purposes:

Rehabilitation—restoring members to their former level of functioning

Habilitation—helping members grow and develop
Correction—helping members who are having problems with social laws or
mores
Socialization—helping members learn how to get along with others and do
what is socially acceptable
Prevention—helping members develop and function at an optimal level and
helping them prepare for events that are likely to occur
Social action—helping members change their environment
Problem solving—helping members resolve complex issues and concerns

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Developing social values—helping members develop a humanistic approach
to living

Treatment Groups

Six primary purposes for treatment groups are (1) support, (2) education, (3)
growth, (4) therapy, (5) socialization, and (6) self-help. In practice settings,
there are innumerable variations of treatment groups that combine these six
primary purposes.

1. Support Group
Support groups can be distinguished from other groups using supportive
intervention strategies by their primary goals: to foster mutual aid, to help
members cope with stressful life events, and to revitalize and enhance
members’ coping abilities so they can effectively adapt to and cope with
future stressful life events.

Leadership of support groups is characterized by a facilitative approach that

emphasizes helping members share their collective experiences in coping with
a stressful event. The group worker helps members share their experiences and
empathically respond to each other. Simply recounting events, ventilating
feelings, and reflecting on efforts to cope can promote self-understanding and
help overcome loneliness, isolation, and despair. The group worker also helps
members overcome feelings of alienation, stigmatization, and isolation by
validating, affirming, and normalizing their experiences.

Major role of the worker is to facilitate hope in the future and motivate
members to improve coping skills through self-help and mutual aid (Hyde, 2013;
Kurtz, 2014; Steinberg, 2014). The worker fosters group norms that encourage
members to share information and suggestions for more effective coping and
to try out new coping strategies.

Emotional bonding may also occur because members are stigmatized by the
larger community and find comfort and power in their association with each
other. Frequently, there is a high level of self-disclosure of emotionally charged
material in support groups.

Workers are often called on to provide indirect assistance to support groups

led by lay leaders. A worker might be asked to consult with the lay leader, serve
as a referral source, or provide material assistance. Consultation may take the
form of speaking at a meeting, helping the group resolve a problem in its
functioning, or assisting members with specific problems or issues. The worker
may be asked to refer appropriate individuals to a support group, provide a

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meeting place, or offer other support, such as help with printing a newsletter
or distributing publicity.

Examples:

A group of children meeting at school to discuss the effects of divorce on their

lives

A group of people diagnosed with cancer, and their families, discussing the
effects of the disease and how to cope with it

A group of recently discharged psychiatric patients discussing their adjustment

to community living

A group of single parents sharing the difficulties of raising children alone

A group of students who struggle to adjust to college and university life

2. Educational Groups
The primary purpose of educational groups is to help members learn new
information and skills. Educational groups are used in a variety of settings,
including treatment agencies, schools, nursing homes, correctional institutions,
and hospitals.

All educational groups are aimed at increasing members’ information or skills.

When leading educational groups, workers concentrate on both individual
members and whole groups, as vehicles for learning, reinforcement, and
discussion.

In composing educational groups, workers consider each member’s

knowledge of the subject matter and level of skills and experience so that all
members can derive the most benefit from the learning process.

Other approaches to leading educational groups emphasize learning as a

social experience. Workers who use this approach focus on group discussion
and group activities rather than on didactic methods. Community center
workers often use this approach to attract and hold the interest of members
who participate in educational groups for personal enjoyment and
enrichment.

Examples:
An adolescent sexuality group sponsored by a family planning agency

A wellness-in-the-workplace group designed by a social worker directing an

employee assistance program

A group for prospective foster parents sponsored by a child welfare agency

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A group sponsored by a community planning agency to help board members
become more effective

3. Growth Groups
Growth-oriented groups offer opportunities for members to become aware of,
expand, and change their thoughts, feelings, and behaviors regarding
themselves and others. The group is used as a vehicle to develop members’
capabilities to the fullest. Growth groups focus on promoting socio-emotional
health rather than remediating socio-emotional illness.

Growth groups generally stress self-improvement and the potential of human

beings to live a full and rewarding life, especially through improved
relationships with others. They provide a supportive atmosphere in which
individuals can gain insights, experiment with new behaviors, get feedback,
and grow as human beings. The bond in growth groups stems from members’
commitment to help one another develop and maximize their potential.

Workers often select members who have diverse backgrounds and the
potential to enrich and broaden each other’s experiences. However, some
growth groups are composed of members with similar characteristics to
enhance empathy and support within the group. In most growth-oriented
groups, self-disclosure is moderate to high. Communication in growth groups is
member-centered and highly interactive.

Examples:

An encounter group for married couples

A values-clarification group for adolescents

A consciousness-raising group sponsored by a women’s community center

A gay-pride group sponsored by a community health clinic serving the gay

community in a large urban area

4. Therapy Groups
Therapy groups help members change their behavior, cope with and
ameliorate personal problems, or rehabilitate themselves after physical,
psychological, or social trauma. Although there is often an emphasis on
support, therapy groups are distinguished from support groups by their focus
on remediation and rehabilitation.

Members come together to solve their problems. The group leader is often
viewed as an expert, an authority figure, and a change agent. Members’
problems are assessed and treatment goals are developed with the help of

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the worker. In addition, the etiology and development of each member’s
problem is unique. Therefore, to achieve individual goals, the worker often
focuses on one member at a time. Depending on the approach or stance of
the worker, the members of a therapy group may be expected to help each
other work on problems. The level of member self-disclosure is usually quite high
but can depend somewhat on the types of problems experienced by group
members.

Members of therapy groups have much to gain: relief from symptoms, loss of
emotional pain, or resolution of a problem.

Examples:

A psychotherapy group for outpatients at a community mental health center

A group, sponsored by a voluntary health association, for people who want to

stop smoking

A first-offenders group in a juvenile diversion program sponsored by a

probation department

A hospital-sponsored group for people addicted to drugs

5. Socialization Groups
Socialization groups help members learn social skills and socially accepted
behavior patterns so they can function effectively in the community.
Socialization groups frequently use program activities, such as games, role
plays, or outings, to help members accomplish individual goals (Cheung, 2014;
Drews & Schaefer, 2010; Harpine, 2008; Miller, 2012; Misurell & Springer, 2013;
Nash, 2011; Springer, Misrell, & Hiller, 2012).

The personal needs of members and the goals of the group are often met
through program activities rather than exclusively through group discussion.
Thus, socialization groups feature a learning-through-doing approach in which
members improve their interpersonal skills by participating in program
activities.

Leadership of socialization groups can be directive or nondirective,

depending on the complexity of program activities and the competencies of
group members. Member participation is the key to successful individual and
group outcomes. The group is a medium for activity, participation, and
involvement, and members are bonded to each other through these activities.

There are at least three common forms of socialization groups: (1) social skills
groups, (2) governance groups, and (3) recreation groups. Some social skills

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groups, such as assertiveness training groups, are formed for adults who wish
to improve their existing skills. Unlike the other types of groups in our typology,
social skills groups can be particularly useful for individuals who are unable or
unwilling to communicate effectively and for those who have difficulty
engaging in satisfying social relationships. Young children, shy adolescents,
and adults with mild autistic spectrum disorders are examples of client
populations that can benefit from social skills groups.

Governance groups are often found in residential settings, such as group

homes, psychiatric hospitals, and congregate housing. The purpose of these
groups is to involve residents (of the unit, ward, floor, or house) in the daily
governance of the institution. Although governance groups are closely related
to task groups because they solve problems and make decisions, they have
been classified as treatment groups because their primary focus is on the
needs of their members.

A third type of socialization group focuses on recreational activities. Much of

the recent group work literature has understated the importance of
recreational groups in meeting members’ personal needs. Recreation can be
both an end and a means to an end. As an end, recreation can be a desirable
leisure time activity. As a means, recreation can help a particular population
become involved in an activity that has therapeutic benefits, such as
increasing social skills. Recreational groups are particularly important for
working with children, adolescents, and older adults in neighborhood centers.

Recreational groups foster members’ confidence in their ability to function as

part of a group in other social situations. To carry out these important purposes,
recreation groups require leaders who are skilled in both group work and the
featured recreational mode or program activity.

Examples:
A Catholic Youth Organization (CYO) activity group

A social club for outpatients of a psychiatric center

A monthly Vietnam veteran evening social at a rural Veterans of Foreign Wars (VFW)
post

A Parents Without Partners group that includes picnics, dances, and other social
activities

A singles group

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6. Self-help Groups
Self-help groups are led by members who share the problem experienced by
the other members of the group.

Leadership is rotated among members whereas in other self-help groups, a few

members share responsibility for leading the group. There are also some self-
help groups where one or two members take leadership responsibility.

Other self-help groups welcome professional involvement as leaders and as

speakers, and the role between professional and layperson may be blurred.

Self-help groups may be focused on helping members change or on social

change and advocacy, although many groups combine different foci. Kurtz
(2004), for example, organized self-help groups into five categories: (1) groups
that are peer-led and oriented to individual change, such as Alcoholics
Anonymous, (2) groups that are peer-led and social change-oriented that
focus on support, education, and advocacy, such as the National Alliance for
the Mentally Ill, (3) groups that are support-oriented, advocacy-oriented, and
professionally led that are part of national organizations, such as the
Alzheimer’s Foundation, (4) smaller, local, professionally led groups that are
held in hospitals, social service organizations, or other community
organizations, and (5) change-oriented groups that have peer leadership
combined with professional involvement as independent sponsors or
coleaders, such as Parents Anonymous.

Most self-help groups are characterized by an open membership policy.

The focus of self-help groups is on members helping members. Members are

seen as equals who share similar problems and concerns. Self-help groups
place a great deal of emphasis on de-stigmatizing the problems shared and
faced by members. There is a strong sense of empathy and support
accompanied by a sense of empowerment that members can help
themselves to overcome problems, issues, and concerns and lead better,
more fulfilled lives through their own efforts to help each other.

Task Groups

Task groups are common in most agencies and organizations. They are used
to find solutions to organizational problems, to generate new ideas, and to
make decisions. Task groups can have three primary purposes: (1) meeting
client needs, (2) meeting organizational needs, and (3) meeting community
needs.

Task groups with the primary purpose of serving client needs include teams,
treatment conferences, and staff-development groups. Task groups with the

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primary purpose of serving organizational needs include committees,
cabinets, and boards of directors. Task groups with a primary purpose of
serving community needs include social action groups, coalitions, and
delegate councils.

Groups to Meet Client Needs

1. Teams
A team can be defined as a group of staff members with varied backgrounds
who work collaboratively, and, on a regular basis, develop and implement
care plans for a designated group of clients. Team members coordinate their
efforts and work together on behalf of a particular client group.

The functioning of the team is the responsibility of the team leader. Team
leaders are often appointed by an administrator from the agency employing
the worker, but in some settings, they are elected or nominated by team
members. The team leader is a facilitator and coordinator for the group and is
accountable to the agency for the actions of the team. The team leader is
responsible for conducting meetings, motivating team members, coordinating
individual efforts, and ensuring effective team functioning.

The team is composed of members with different professional orientations,

such as social work, nursing, physical and occupational therapy, and
medicine. The team might also be composed of paraprofessionals, such as
mental health therapy aides. Evidence suggests that there is value in involving
clients and family members as members of the team (Abramson & Bronstein,
2004), yet this does not often happen in practice.

Meetings should avoid focusing solely on service delivery—some time should

be devoted to how members function as a group (Bruner & Spink, 2011;
Toseland, Palmer-Ganeles, & Chapman, 1986), a process known as team
building. Neglecting team functioning can lead to a variety of problems, such
as interpersonal conflict and rivalry, duplication of effort, and uncoordinated
or incomplete service (Levi, 2014).

Members are bonded by a team spirit that assists them in their work as a group
rather than being a collection of individuals representing disparate concerns
and professional agendas. When building and maintaining an effective team,
the worker must foster the organization’s support of teamwork, encourage
members’ personal and professional orientations toward collaboration and
help members to develop skills to clarify roles and negotiate conflicts (Levi,
2014).

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2. Treatment Conferences
Treatment conferences meet for the purpose of developing, monitoring, and
coordinating treatment plans for a particular client or client system. Members
consider the client’s situation and decide on a plan for working with the client.

Members of a treatment conference might not all work together as do

members of teams. They may be employees of different organizations who
come to a treatment conference to discuss ways to coordinate their efforts on
behalf of a particular client.

Participants may not have the same close working relationship and shared
sense of purpose that is essential in teamwork. Members may not work together
from day to day. In fact, they may never have met before the treatment
conference.

Treatment conference groups often meet less frequently than teams; they
gather as the need arises in particular situations.

The composition of teams is relatively stable, but the composition of treatment

conference groups varies depending on the clients being discussed.

The plan of action might be carried out by only one member who is entirely
responsible for the client’s care. For example, during a treatment conference
in a family service agency, a worker gets advice from colleagues about how
to help a group member with a particularly difficult issue. The other members
of the treatment conference have no direct contact with the client. In
contrast, all members of a team usually have some contact with clients served
by the team.

Treatment conferences are oriented toward decision making, problem solving,

and coordinating the actions of members. The group focuses its attention on
the needs of the client rather than on the needs of the group members. The
bond that group members feel is based on their concern for a client and their
commitment to an agreed-on treatment plan.

Treatment conferences usually include all helping professionals who are

working with a client. The group can also include consultants or experts who
do not work directly with the client but who can contribute to the treatment
plan by offering insight, resources, or advice. Treatment conference
membership is diverse by design. Participants are invited because they have
new insights and treatment opportunities based on their area of expertise and
their unique experiences with a client.

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3. Staff Development Groups
The purpose of staff development groups is to improve services to clients by
developing, updating, and refreshing workers’ skills. Staff development groups
provide workers with an opportunity to learn about new treatment
approaches, resources, and community services; to practice new skills; and to
review and learn from their previous work with clients.

Ideally, leaders of staff development groups are experts in a particular field.

Often, they also possess extensive experience and knowledge gathered
through specialized training, study, and ref lection on difficult practice issues.

The focus of staff development groups is on improving workers’ skills so they

can perform more effectively on behalf of their clients. The trainer or leader
can use many methods to aid learning, such as lectures, discussions, audio-
and videotape presentations, simulations, and live demonstrations.

Members are bonded by their desire to improve their skills.

Some staff development groups, the leader takes primary responsibility for the
content of each session. The leader may make presentations, arrange for
guest speakers, or prepare and conduct simulations and other staff
development exercises. In other groups, members are responsible for
structuring the group by taking turns presenting their work with particular
clients.

Members are expected to risk opening their work to the scrutiny and critique
of the rest of the group and to participate in staff development exercises and
discussions. They are also expected to learn from their own mistakes and the
mistakes of others in the group. Honest, frank, constructive communication
and feedback among members is valued, as is a high level of self-disclosure.

Groups to Meet Organizational Needs

1. Committees
A committee is made up of people who are appointed or elected to the
group. Their task is to accomplish a charge or mandate that is delegated to
the committee from a higher authority, such as a sponsoring organization or
an administrator. Committees may be temporary creations (ad hoc
committees) or more permanent parts of the structure of an organization
(standing committees).

Although members are expected to share their personal views during

deliberations, the level of self-disclosure in committees is frequently low.

Most committees tend to follow a standard set of procedures. Sometimes,

committees rely on parliamentary procedure to conduct their meetings. In

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other cases, committees develop their own rules and regulations that control
how members introduce and discuss issues and how decisions are reached.

Committees frequently deal with complex issues, requiring the group to divide
large tasks into a series of smaller subtasks. To deal with these subtasks, a
committee often authorizes the formation of one or more subcommittees from
its membership. Subcommittees report to the larger committee periodically or
when their work is completed. The composition of subcommittees is sometimes
the responsibility of the chairperson, who considers the qualifications and
abilities of each committee member and selects subcommittee members
based on their ability to complete a particular task. The chairperson may also
ask for volunteers rather than appoint members.

The importance of the committee as a type of task group cannot be

overemphasized.

2. Cabinets
Cabinets are designed to provide advice and expertise about policy issues to
chief executive officers or other high-level administrators. Policies, procedures,
and practices that affect the entire organization are discussed, developed, or
modified in cabinets before being announced by a senior administrative
officer. Cabinets enable formal communications among senior administrators
in an organization and help garner support for particular policies and
procedures among senior and midlevel administrators.

Cabinets focus their efforts on administrative and policy issues that may have
important implications for the entire organization or subdivisions within it.

Cabinet members are often appointed by the chief executive officer. Cabinet
members are typically supervisors, department heads, or senior managers with
powerful positions within the organization. Occasionally, the executive might
ask an outside consultant to join the group because of that person’s
background and knowledge.

Authority and power are particularly important in cabinets. Members often vie
for the chief executive’s attention and for the chance to influence policy
decisions.

The proceedings of cabinet meetings are often kept confidential. Self-

disclosure is typically low, with members thinking strategically about how they
might influence current and future policy decisions while simultaneously
maintaining or enhancing their own power and status within the group. In this
manner, cabinets are often highly political groups that wield a great deal of
influence within organizations.

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3. Boards of Directors
There are two primary types of boards: the governing board and the advisory
board (Conrad & Glenn, 1976). Under the articles of incorporation and the
bylaws of not-for-profit organizations, governing boards—sometimes referred
to as boards of trustees— are legally and financially responsible for the
conduct of the organization.

The members of governing boards are stewards of the public trust and are
accountable to the state government that granted the organization its
charter; to the federal government that granted their tax-exempt status; and,
ultimately, to the public whom the organization serves (Jaskyte, 2012; Tropman
& Harvey, 2009). Members of advisory boards provide counsel and guidance
to the management of an organization. However, they have no official power
to make policy or fiscal decisions.

The primary functions of boards of directors are policy-making, oversight of

agency operations, ensuring the financial integrity and stability of the
organization, and public relations (Callen, Klein, & Tinkelman, 2010; Jaskyte,
2012; Tropman & Harvey, 2009). Boards of directors determine the mission and
the short- and long-range goals of the organization. They set personnel and
operating policies. They offer counsel and advice to the chief executive officer
and monitor the organization’s operations. They establish fiscal policy, set
budgets, and install monitoring and auditing mechanisms. They also engage
in fundraising, hire the chief executive officer, and manage public relations
(Howe, 2002). Boards, however, are not supposed to engage in the day-to-
day operations of the organization, the hiring of staff (other than the executive
director), or the details of programmatic decisions.

Board members are bonded by their commitment to the mission and goals of
the organization and by their commitment to community service. They are
often a diverse group of individuals who are selected because of their power,
status, and influence in the community; their expertise; and their representation
of particular interest groups and constituencies.

Written agendas are usually circulated before board meetings.

Communication is often formal, following the rules of parliamentary procedure.

Boards often have several standing and ad hoc committees that report at
board meetings and recommend actions in the form of motions.

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Groups to Meet Community Needs

1. Social Action Groups

Social action groups empower members to engage in collective action and
planned change efforts to alter some aspect of their social or physical
environment (McKnight & Plummer, 2015; Pyles, 2013; Staples, 2004; Walls,
2015). They are often referred to as grassroots organizations because they arise
from the concerns of individuals in the community who may have little
individual power or status. Although the goals of social action groups are
frequently linked to the needs of the individual members of the group, goal
achievement generally also benefits people outside the group. Thus, social
action groups serve the common good of both members and nonmembers.

A worker involved in a social action group can assume one of many leadership
roles, depending on the nature of the change effort and the needs of the
group. A worker assumes an enabler role to help the group acquire information
or resources, determine priorities and procedures, and plan a strategy for
action. Workers might take a directive role because of their expertise regarding
the change effort.

The worker should be guided by the purpose of the group and the preferences
of group members. The worker should make sure that a directive approach
does not inhibit indigenous leadership from developing among members. The
ultimate goal of the worker should be to help social action groups function
effectively and independently (McKnight & Plummer, 2015; Pyles, 2013).

The bond that holds members of action groups together is a shared perception
of injustice, inequity, and a need for a change in the current social structure.

2. Coalitions
Coalitions—or alliances, as they are sometimes called—are groups of
organizations, social action groups, or individuals that come together to exert
influence by sharing resources and expertise. Coalition members agree to
pursue common goals, which they believe cannot be achieved by any of the
members acting alone.

Coalitions are often formed by a charismatic or dedicated individual who has

high visibility and respect within the community. This individual helps
organizations, groups, and individuals understand that they have common
goals and purposes that could be better served by working together.

Coalitions can take many forms. Freewheeling interaction often occurs during
caucuses and in subgroup and one-to-one discussions between coalition
meetings. Informal procedures are also frequently used in ad hoc, single-issue

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coalitions that do not have a long history of operation. Frequently, coalitions
are loose, temporary confederations of organizations or social action groups
that coalesce to share resources and gain strength in numbers. In such informal
coalitions, the autonomy of the individual members is strictly protected.

Meetings of coalitions are often characterized by ideologically fervent

speechmaking and position taking. Much emphasis is placed on developing
strategies to accomplish specific goals and coordinating activities involved in
the action plan. Sometimes, coalition meetings are characterized by formal
interactions following the rules of parliamentary procedure.

3. Delegate Councils
Delegate Councils Delegate councils are composed for the purposes of
facilitating interagency communication and cooperation, studying
community-wide social issues or social problems, engaging in collective social
action, and governing large organizations. Members of delegate councils are
appointed or elected by a sponsoring unit. The members’ primary function is
to represent the interests of their sponsoring unit during council meetings. A
variation of the delegate council is the delegate assembly, which is usually
larger.

Representation is an important issue in delegate councils. The number of

representatives for each sponsoring unit can vary with the size or importance
of the unit.

Delegate councils are usually concerned with broad issues that affect several
agencies, a large segment of a population, or a group of people in a wide
geographic area.

Delegate councils can be either discussion-oriented or action-oriented, or they

may have components of both orientations.

Delegate councils are formed in a number of ways. Some councils are the
product of ad hoc task forces or coalitions that have been meeting informally
for some time. Other councils begin with the support and sponsorship of a
particular agency and gradually establish their own identities, rules and
procedures, and sources of funding. Representatives to delegate councils are
either elected or appointed, and leadership is usually determined through an
election.

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C. DEFINITION, PURPOSES, USES OF SOCIAL GROUPWORK
GENERALIST SOCIAL WORK PRACTICE

Social work has been defined by the National Association of Social Workers
(NASW) as follows:

“Social work is the professional activity of helping individuals, groups, or

communities to enhance or restore their capacity for social functioning and
to create societal conditions favorable to their goals.

Social work practice consists of the professional application of social work

values, principles, and techniques to one or more of the following ends:
helping people obtain tangible services; providing counseling and
psychotherapy for individuals, families, and groups; helping communities or
groups provide or improve social and health services; and participating in
relevant legislative processes.

The practice of social work requires knowledge of human development and

behavior; of social, economic, and cultural institutions; and of the interaction
of all these factors.”

Social Worker - generally applied to graduates (with bachelor’s or master’s

degrees) of educational programs in social work who are employed in the field
of social welfare.

- A social worker is a change agent, a helper who is specifically employed

for the purpose of creating planned change.3 As a change agent, a social
worker is expected to be skilled at working with individuals, groups, families,
and organizations and in bringing about community changes.
The Baccalaureate Program Directors (BPD) organization defined generalist
practice as follows:

“Generalist social work practitioners work with individuals, families, groups,

communities, and organizations in a variety of social work and host settings.
Generalist practitioners view clients and client systems from a strengths
perspective in order to recognize, support, and build upon the innate
capabilities of all human beings. They use a professional problemsolving
process to engage, assess, broker services, advocate, counsel, educate, and
organize with and on behalf of the client and client systems. In addition,
generalist practitioners engage in community and organizational
development. Finally, generalist practitioners evaluate service outcomes in
order to continually improve the provision and quality of services most
appropriate to client needs. Generalist social work practice is guided by the
NASW Code of Ethics and is committed to improving the well-being of

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 individuals, families, groups, communities, and organizations and furthering
the goals of social justice.”

Grace Coyle sees social group work “as a basic aspect of social work practice
that uses relationships within group experience as a means to individual growth
and development, and that the group worker is concerned in developing
social responsibility and active citizenship for the improvement of democratic
society.”

Wilson and Ryland regard social group work as “a process and a method
through which group life is affected by a worker who consciously directs the
interacting process towards the accomplishment of goals which are
conceived in a democratic frame of reference.”

Harleigh B. Trecker defines social group work as “a method through which

individuals in groups in social agency settings are helped by a worker who
guides their interaction in program activities so that they may relate themselves
to others and experience growth opportunities in accordance with their needs
and capacities to the end of individual, group, and community development.

Social Group Work as A Component of Social Work Practice

Social work practice involves providing humane and effective social services
to individuals, families, groups, organizations, and communities. Social work
with groups has considerable overlap in providing social services to individuals,
families, organizations, and communities. The skills, knowledge, and values
needed for effective social work practice with groups are similar to the skills,
knowledge, and values needed for effective social work practice with
individuals, families, organizations, and communities.

PURPOSES OF SOCIAL GROUP WORK

(The Fundamentals of Social Group Work: Theories and Practice by Agrinelda Nelmida Miclat)

1. Enhancement of the social adjustment of the individual and developing the

social consciousness of the group;
2. Provide opportunities for planned group experiences that are needed by
all people;
3. Provide experiences that are relaxing and that give individuals a chance to
create, to share and express themselves; and
4. Help individuals in groups to take responsibility for their own behavior, relate
with others and how to become participating members of society.

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ADVANTAGES OF GROUPS IN SOCIAL WORK PRACTICE
(Social Work with Groups by Thelma Lee Mendoza)

For social workers, the group approach offers the following advantages:

1. Many individuals feel more comfortable, or are encouraged to participate

and share ideas because of the interaction that takes place in a group.
They receive support and assurance from the realization that other
participants have the same, or even more serious problems.
2. Group members receive psychological rewards from the experiences of
helping others with their problems. This is the “helper therapy” principle.
3. Internal forces in groups (such as contagion, affectional, ties, group
pressure, leadership) can influence attitudes, values, and behaviors,
making groups potent instruments for effecting desired changes in the
individual and the group.
4. The group lends itself to the use of a variety of activities that are not only
relevant to the group’s goal but also respond to the individual members’
needs and interests (e.g., group discussions, group dynamics exercises, role
play, audio-visuals).
5. The cooperative thinking process that takes place in a group, especially if
guided properly, can hasten decision-making on the part of its members.
6. Many individuals have similar problems that are best handled with a group
engaged in collective action instead of acting individually.
7. For certain purposes, it may be more economical to work with groups than
individuals. The best laid-out plans for working with individual clients on a
one-to-one basis are often not implemented in many agencies in the
country because of staff constraints. The group approach should be
considered as an alternative, supplemented, if appropriate, with work with
individual members.
The following are specific reasons for using the group mode of service:

1. To use the group as the primary means of helping (e.g., form a

treatment/rehabilitation-oriented group for youth offenders in a
correctional institution);
2. To augment individual methods (e.g., form a counseling group to reinforce
treatment goals in a one-to-one helping relationship);
3. To augment work with individual families (e.g., organize a parents’ group);
4. To augment community methods (e.g., form a “core group” to facilitate
community problem-solving); and
5. To work with group in the context of intergroup approaches at the
community level (e.g., help a group to become effective in coalitions of
various community groups toward defined objectives).

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Uses of Groups
(Social Work with Groups by Thelma Lee Mendoza)

Margaret E. Hartford’s suggestion on the use of groups can serve as a helpful

frame of reference. The targets for what she calls a “common-sense
classification” are (1) the individual members; (2) problems in interpersonal
relationships; (3) a small system in the neighborhood, community or institutions;
and (4) large systems of institutions, regions, state, or nation. Hartford offers the
following categories of group use on the basis of social science theoretical
formulate and studies:

1. For effect on participants: socialization-resocialization; acquiring or

changing concept of self, identity, motivation; attitude formation and
change, formation and modification of values and beliefs; behavioral
change; achieving a sense of belonging and support; education.
2. For collective problem-solving: work on common or joint tasks, particularly
in the area of ideas, group thinking, cognitive, emotional, or social, or
individual, group, or social situation.
3. For change in the social situation or conditions outside the group:
modification of the institution or social system within which the group exists
or of the social situation including the community or society through
pressure, dissemination of information, or organization, modification of
attitudes of outsiders.

How Groups Effect Change

(Social Work with Groups by Thelma Lee Mendoza)

The Group as Medium of Change

The target of the influence is the individual member, and the source of that
influence is the group (e.g., the members’ interaction with each other, the
worker and the interactions with the members). The group serves as a small
social system whose influence can be guided by the social worker so as to
induce desired changes among individual participants.

The Group as Target of Change

Robert Vinter calls this “indirect means of influence” where practitioner

interventions are used to effect modifications in group conditions which, in
turn, affect the members. These conditions include the group’s composition,
climate, structure, and processes. Use of such means of influence is unique to
group work because the group serves as the “action system”. Changes in
different aspects of the group system often have to be undertaken in order to

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achieve desired affects on the individual members as defined by their
treatment or helping goals.

The Group as Agent of Change

It refers to the active involvement of the group in efforts to modify, or redirect

features or forces in its social environment which make demands, create
pressures, and impose constraints on the group which can have adverse
effects on its development and goal achievement. The group’s ability to act
as an agent of change is affected by the opportunities, facilities, and
constraints created or imposed by its own environment.

D. KNOWLEDGE AND PHILOSOPHICAL FOUNDATIONS OF SOCIAL

GROUPWORK

THEORETICAL FOUNDATIONS OF SOCIAL GROUPWORK

1. Ecological Model
In the past several years, social work has focused on using an ecological
approach. This approach integrates both treatment and reform by
conceptualizing and emphasizing the dysfunctional transactions between
people and their physical and social environments. Human beings are known
to develop and adapt through transactions with all elements of their
environments. An ecological model gives attention to both internal and
external factors. It does not view people as passive reactors to their
environments, but rather as active participants in dynamic and reciprocal
interactions.

The ecological model views individuals, families, and small groups as having
transitional problems and needs as they move from one life stage to another.
Individuals face many transitional changes as they grow older, such as learning
to walk, entering first grade, adjusting to puberty, graduating from school,
finding a job, getting married, having children, children leaving home, and
retiring.

A central concern of an ecological model is to articulate the transitional

problems and needs of individuals, families, and small groups. Once these
problems and needs are identified, intervention approaches are then selected
and applied to help individuals, families, and small groups resolve the
transitional problems and meet their needs.

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An ecological model can also focus on the maladaptive interpersonal
problems and needs in families and groups. It can seek to articulate the
maladaptive communication processes and dysfunctional relationship
patterns of families and small groups.

2. Systems Theory
Systems theory attempts to understand the group as a system of interacting
elements. It is probably the most widely used and broadly applied theory of
group functioning (Anderson, 1979; Olsen, 1968).

According to Parsons, Bales, and Shils (1953), there are four major functional
tasks for systems such as a group: (1) integration—ensuring that members of
groups fit together; (2) adaptation—ensuring that groups change to cope with
the demands of their environment; (3) pattern maintenance—ensuring that
groups define and sustain their basic purposes, identities, and procedures; and
(4) goal attainment—ensuring that groups pursue and accomplish their tasks.

To Parsons (1951), groups are social systems with several interdependent

members attempting to maintain order and a stable equilibrium while they
function as a unified whole. Groups are constantly facing changing demands
in their quest to attain goals and to maintain a stable equilibrium. Groups must
mobilize their resources and act to meet changing demands if they are to
survive.

Whereas Parsons was interested in developing a generalizable systems model

to explain societal as well as group functioning, Bales concentrated his efforts
on observing and theorizing about small task groups in laboratory settings.
According to Bales (1950), groups must solve two general types of problems to
maintain themselves. These include (1) instrumental problems, such as the
group reaching its goals, and (2) socio-emotional problems that include
interpersonal difficulties, problems of coordination, and member satisfaction.
Instrumental problems are caused by demands placed on the group by the
outside environment; socio-emotional problems arise from within the group.

In contrast with Parsons, who emphasized harmony and equilibrium, Bales’

systems model emphasizes tension and antagonism. Groups tend to vacillate
between adaptation to the outside environment and attention to internal
integration. Bales (1950) calls this the group’s “dynamic equilibrium.” Swings in
attention are the result of the functional needs of the group in its struggle to
maintain itself.

Like Bales, Homans notes that the relative dominance of the internal system or
the external system depends on the demands of the external and the internal
environment of the group. Homans, however, denies the homeostatic idea of

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equilibrium proposed by Parsons and Bales, preferring to conceive of groups
as ever-changing entities. Change and the constant struggle for equilibrium
are always present.

Concepts derived from these differing views of systems theory that are
particularly relevant for group workers include the following:

➢ The existence of properties of the group as a whole that arise from

the interactions of individual group members
➢ The powerful effects of group forces on members’ behavior
➢ The struggle of groups to maintain themselves as entities when
confronted with conflicts
➢ The awareness that groups must relate to an external
environment as well as attend to their internal functioning
➢ The idea that groups are in a constant state of becoming,
developing, and changing that influences their equilibrium and
continued existence
➢ The notion that groups have a developmental life cycle

Workers can use these concepts to facilitate the development of group

processes that help treatment and task groups achieve their goals and help
members satisfy their socio-emotional needs.

3. Small Group Theory

Research and theory about small groups has so expanded that group
dynamics is now considered an important branch of knowledge. Simply put,
the term “group dynamics” means the social and psychological forces present
during face-to-face encounters of individuals. The need to understand and
apply group dynamics theory in social work is borne out of the desire to use
groups consciously and deliberately to modify or change human behavior and
social institutions.

Knowledge about two major group phenomena --- group structure and group
process are essential to the social worker who is concerned with the
improvement of the functioning of groups and helping them attain socially
desirable goals.

Group structure refers to “patterns that develop and maintain themselves over
time in interpersonal relations.” The following are often called the structural
properties of groups:

1. Size
2. Communication structure
3. Affectional structure

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 4. Power structure
5. Leadership
6. Role structure
7. Group norms
8. Status
Group process is viewed by others as a change in the conditions of the group
as a whole. The definition of group as an interaction process or what goes on
between members is very essential to social workers. The forces generated by
the relationships between people and their interactions in the group, have
important implications for the individual members and the group as a whole.
The following are the forces:

1. Group bond
2. Conformity
3. Conflict
4. Group cohesiveness
5. Decision-making

4. Psychodynamic Theory
According to psychodynamic theory, group members act out in the group
unresolved conflicts from early life experiences. In many ways, the group
becomes a reenactment of the family situation.

The group leader uses transference and countertransference reactions to help

members work through unresolved conflicts by exploring past behavior
patterns and linking these patterns to current behaviors. For example, the
group leader might interpret the behavior of two group members who are
struggling for the leader’s attention as unresolved sibling rivalry. When
interpretations made by the group worker are timed appropriately, members
gain insight into their own behavior. Insight is the essential ingredient in
modifying and changing behavior patterns inside and outside the group.

Psychodynamic theory has also been influential in furthering our understanding

of how individuals behave in groups. Wilfred Bion, who was psychodynamically
trained, developed the Tavistock approach to help people understand the
primitive emotional processes that occur in groups. He suggested that group
members often avoid the work of the group by reacting to the leader’s
authority with flight-fight responses and dependency (Bion, 1991).

5. Learning Theory
The primary focus of learning theory is on the behavior of individuals rather than
on the behavior of groups. Thus, learning theory has generally ignored the
importance of group dynamics.

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The emphasis on clear and specific goal setting, contracting, the influence of
the environment on the group and its members, step-by-step treatment
planning, measurable treatment outcomes, and evaluation can be traced, at
least in part, to the influence of learning theory.

According to social learning theory (Bandura, 1977), the behavior of group

members can be explained by one of three methods of learning. In the
classical approach to learning theory, behavior becomes associated with a
stimulus. For example, a worker responds by making a negative verbal
comment each time a member turns and speaks to another member while the
worker or other group members are speaking. After several times, the mere
stimulus of the member’s turning, without speaking, will be enough to cue the
worker to respond with a negative verbal comment.

A second and more common method of learning is called operant

conditioning. In this paradigm, the behaviors of the group members and the
worker are governed by the consequences of their actions. Thus, if member A
acts in a certain way and member B reacts positively, member A is likely to
continue the behavior. Similarly, if a group worker receives negative feedback
from group members about a particular behavior, the worker will be less likely
to behave that way in the future (Antony & Roemer, 2011; Kazdin, 2013).

Bandura (1977) has developed a third learning paradigm called social

learning theory. If group members or group workers were to wait for classical
or operant conditioning to occur, behavior in groups would be learned very
slowly. Bandura proposed that most learning takes place through observation
and vicarious reinforcement or punishment.

6. Field Theory
Kurt Lewin, more than any other social scientist, has come to be associated
with the study of group dynamics. The unique contribution of field theory is that
it views the group as a gestalt, that is, an evolving entity of opposing forces
that act to hold members in the group and to move the group along in its quest
for goal achievement. According to Lewin (1947), groups are constantly
changing to cope with their social situation, although there are times in which
a “quasi-stationary equilibrium” exists for all groups. In all cases, however, the
behavior of individual group members and the group itself must be seen as a
function of the total situation (Lewin, 1946).

Lewin introduced several concepts to aid in understanding the forces at work

in a group. Among these are (1) roles, which refer to the status, rights, and
duties of group members; (2) norms, which are rules governing the behavior of
group members; (3) power, which is the ability of members to influence one

360
another; (4) cohesion, which is the amount of attraction the members of the
group feel for one another and for the group; (5) consensus, which is the
degree of agreement regarding goals and other group phenomena; and (6)
valence, which is the potency of goals and objects in the life space of the
group.

Relying on a principle in Lewin’s field theory that suggests individuals will not
change their own behavior unless they see their behavior and their attitudes
as others see them, the t-group experience attempts to provide participants
with extensive feedback about their own behavior. Members are confronted
with the effects of their behavior on other group members and on the group’s
facilitator. Role plays, simulations, and other experiential program activities are
often used to illustrate how group processes develop and how they affect
members.

Lewin (1951) is considered the founder of the action research approach to

practice and evaluation.

7. Social Exchange Theory

Social exchange theory focuses on the behavior of individual group members.
Blau (1964), Homans (1961), and Thibaut and Kelley (1959) are the principal
developers of this approach to groups. Deriving their theory from animal
psychology, economic analysis, and game theory, social exchange theorists
suggest that when people interact in groups, each attempt to behave in a
way that will maximize rewards and minimize punishments. Group members
initiate interactions because the social exchanges provide them with
something of value, such as approval. According to social exchange theorists,
because ordinarily nothing is gained unless something is given in return, there
is an exchange implied in all human relationships.

Group behavior is analyzed by observing how individual members seek

rewards while dealing with the sustained social interaction occurring in a
group. For an individual in a group, the decision to express a given behavior is
based on a comparison of the rewards and punishments that are expected to
be derived from the behavior. Group members act to increase positive
consequences and decrease negative consequences. Social exchange
theory also focuses on the way members influence one another during social
interactions. The result of any social exchange is based on the amount of social
power and the amount of social dependence in a particular interaction.

Guided Group Interaction (Empey & Erikson, 1972; McCorkle, Elias, & Bixby,
1958) and Positive Peer Culture (Vorrath & Brendtro, 1985) are two specialized
group work methods that rely heavily on principles from social exchange

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theory. They are frequently used with delinquent adolescents in residential and
institutional settings.

Social exchange theory has been criticized as being mechanistic because it

assumes people are always rational beings who act according to their analysis
of rewards and punishments (Shepard, 1964).

8. The Group as a Mutual Aid System

The concept of mutual aid was first elaborated by Kropotkin (1903), one of the
most important evolutionary theorists and socio-biologists of his time. The
Mutual Aid Model of group work practice proposed by Schwartz (1961) was
introduced in the article “The Social Worker in the Group”. Schwartz envisioned
the group as an “enterprise in mutual aid, an alliance of individuals who need
each other in varying degrees, to work on certain common problems”. This
type of group is largely self-governing and provides its members with a source
of mutual help and support. In India, at present, self-help model is used very
widely in micro credit programmes in order to alleviate poverty. Alcoholic
anonymous group is also example of this type.

Principles of Social Group Work

(The Fundamentals of Social Group Work: Theories and Practice by Agrinelda Nelmida Miclat)

1. The Principle of Planned Group Formation

Since the group is the basic unit through which service is provided to the
individual, the group in social group work must possess conscious design and
plan. It must contain the potential for social growth of its members.

2. Principle of Specific Objectives

Specific objectives for individual and group development have to be
consciously formulated by the social group worker in order to meet the group’s
needs and concerns effectively. Worker has also to take into account the
group member’s capacities and the agency’s functions.

3. Principle of Purposeful Worker-Group Relationship

It is premised on the assumption that there has been established acceptance
between the group members and the workers. The worker accepts the group
as they are while there is willingness on the part of the group to accept help
from the worker because of their confidence on the worker and the agency
he/she represents.

4. Principle of Continuous Individualization

The individuals in the group utilizes group experiences in varied ways to meet
their differing needs. It behooves therefore for the worker to consciously

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practice individualization to meet the differential needs of the group members.
Worker must also consciously understand and accept that sub-groups and
individuals within the group develop and change in varying levels and must
therefore know how to use the group work process in meeting the varying
needs of the members.

5. Principle of Guided Group Interaction

It is said to be the heart of the social group work process. Said process refers to
the harnessing, direction, and conscious utilization of the natural process of
social interaction in the group. The role of the worker is to actively influence the
type and degree of interaction converting the social process into a social
group work process.

6. Principle of Democratic Self-Determination

It is anchored on the belief that groups have the right to make choices and
that they are endowed with the capacity to make decisions. It is also in
consonance with the belief that individuals and groups can develop to
assume social responsibility if they are given opportunities to experience
performing responsible tasks.

7. Principle of Flexible Functional Organization

It underscores the need to have flexibility in formal organizations so that it can
be adaptive to any change that may arise. Every group has an informal
organization or arrangement of its members. It is through these arrangements
that makes the group to function and gets its work done.

8. Principle of Progressive Program Experiences

It is the need for the group to engage in program experiences at the level of
member interest, need, experience and capacity. It should also progress in
relation to the developing competence of the group.

9. Principle of Resource Utilization

The social group work encourages the group’s utilization of the resources within
the agency and the community to enrich the content of their group
experiences. The social worker may serve as the group’s liaison to the
community where they can tap needed resources.

10. Principle of Evaluation

Evaluation of the process in attaining goals and objectives and its outcome is
a standard operating procedure. It serves as a continuing learning experience.
Evaluation takes place not only at the final stage of the activity, project
implementation and any endeavor but should be done regularly at each
crucial stage in the process of implementation to preclude serious mistakes or
faulty outcome.

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PHILOSOPHICAL OR VALUE BASE OF SOCIAL GROUPWORK PRACTICE

Some of the key values of group work have been stated by Gisela Konopka
(1983). She suggests that all group workers should agree on the importance of
the following values.

Group Work Values

• Participation of and positive relations among people of different color,

creed, age, national origin, and social class in the group
• The value of cooperation and mutual decision making embodied in the
principles of a participatory democracy
• The importance of individual initiative within the group
• The importance of freedom to participate, including expressing thoughts
and feelings about matters of concern to individual members or the group
as a whole, and having the right to be involved in the decision-making
process of the group
• The value of high individualization in the group so that each member’s
unique concerns are addressed
The International Association for Social Work with Groups (IASWG), an
international organization for social workers and allied helping professionals
engaged in group work, has its Standards of Group Work Practice that
identifies two core values that are fundamental to practice with any type of
task or treatment group.

Core Values

• Respect for persons and their autonomy. In view of the equality of persons,
people are to be treated with respect and dignity. In group deliberations,
no one person should be more privileged in a group than another, not a
worker, a group member, or the agency director. In a group, this occurs
when a worker helps each member to appreciate the contributions of the
other members so that everyone’s ideas are heard and considered. This
principle is stated while recognizing that the worker, by virtue of his or her
position in the agency and his or her expertise, is likely to have a great deal
of influence. This requires the worker to use his or her influence prudently. A
major implication of this principle is a respect for, and a high value placed
on diversity in all of its dimensions such as culture, ethnicity, gender, sexual
orientation, physical and mental abilities, and age.
• The creation of a socially just society. The group offers an opportunity to live
and practice the democratic principles of equality and autonomy and the
worker should use his or her knowledge and skills to further this. The worker
should be mindful of the quest for a society that is just and democratically
organized one that ensures that the basic human needs of all its members

364
 are met. This value is presented to the group whenever it is appropriate and
reinforced when members articulate it.
Practice Ethics

The International Association of Schools of Social Work (IASSW), a global

association of schools of social work and educators that represents the interests
of social work education and professional values, unanimously adopted the
Global Social Work Statement of Ethical Principles at the General Assembly of
IASSW on July 5, 2018, in Dublin, Ireland.

Ethical practices with groups

• Informed consent
• Leader competence and training
• The appropriate conduct of group meetings
Informed consent encompasses being clear with members about the purpose
and goals of the group; giving them information about screening and
termination procedures; the potential risks of participation; the cost, timing,
and duration of sessions; whether participation is voluntary; what is expected
of them during meetings; and procedures to ensure confidentiality.

A written or verbal statement should also be included about what information

the worker and the organization may have to disclose. Depending on the type
of members, this might include the following situations: (1) child abuse or
neglect, (2) harm to self or others, (3) diagnostic codes, utilization reviews, and
other information for reimbursement from mental or physical health care
providers, (4) courts, probation, or parole, and (5) family or legal guardians.

Workers should inform members that they cannot guarantee that group
members will not share confidential material outside the group (Fallon, 2006;
Lasky & Riva, 2006).

The second area of ethics includes ensuring that workers have the proper
education, training, and experience to lead a particular group. Practitioners
should not offer a group, or use a procedure or technique within a group,
without sufficient education, experience, and supervision to ensure that it is
implemented properly. Practitioners should seek out additional supervision
when they anticipate or encounter difficulties with a particular group.

The third broad area in both codes of ethics focuses on ethical principles for
the conduct of group meetings.

Ethical Principles

• Screening procedures lead to the selection of members whose needs and

goals can be met by the group

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• Workers help members develop and pursue therapeutic goals
• Workers discuss whether the proceedings of the group are confidential and
make provisions so that they are kept confidential
• Members are protected from physical threats, intimidation, the imposition
of worker and member values, and other forms of coercion and peer
pressure that are not therapeutic
• Members are treated fairly and equitably
• Workers avoid exploiting members for their own gain
• Appropriate referrals are made when the needs of a particular member
cannot be met in the group
• The worker engages in ongoing assessment, evaluation, and follow-up of
members to ensure that the group meets their needs

E. PHASES OF GROUP DEVELOPMENT AMD THE GROUPWORK HELPING

PROCESS

STAGES OF GROUP DEVELOPMENT

DEVELOPMENT BEGINNING MIDDLE END

STAGE
Bales (1950) Orientation Evaluation Decision-making

Tuckman (1965) Forming Storming Termination

Norming
Performing
Northen (1969) Planning Exploring and Pretermination
Orientation testing Problem
solving
Hartford (1971) Pregroup Disintegration Termination
planning and conflict
Convening Group formation
Group formation and
maintenance
Klein (1972) Orientation Negotiation Termination
Resistance Intimacy
Trecker (1972) Beginning Development of Ending
Emergence of bond, purpose,
some group and cohesion
feeling Strong group

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 feeling Decline in
group feeling
Sarri & Galinsky Origin phase Intermediate Termination
(1985) Formative phase phase I Revision
phase
Intermediate
phase II
Maturation
phase
Garland, Jones, Preaffiliation Intimacy Separation
& Kolodny (1976) Power and Differentiation
control
Henry (1992) Initiating Conflict Termination
Convening Maintenance
Wheelan (1994) Dependency Counter Termination
Delusion dependency
and flight
Trust and
structure Work
Schiller (1995) Preaffiliation Establishing a Separation
relational base
Mutuality and
interpersonal
empathy
Mutuality and
change
Figure 2

Group Development refers to changes through time in the internal structures,

processes, and culture of the group.

Dimensions to group development according to Sarri and Galinsky:

1. Social Organization of the group; the group structure and patterns of

participant roles and statuses
2. Activities, tasks, and operative processes of the group
3. The culture of the group; its norms, values, and shared purposes

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Stages of Groups
(Social Work with Groups Comprehensive Practice and Self-Care 10th edition by Charles H. Zastrow and
Sarah L. Hessenauer)

Intake

During intake, the presenting concerns and needs of prospective members are
identified. Judgments that some or all of these people could benefit from a
group approach are made. An agreement is often formulated between the
members of the group and the group leader about tentative group goals. This
stage may also be referred to as the contract stage.

Selection of Group Members

Individuals most likely to benefit from a group should be selected as members.

Selecting a group requires attention to both descriptive and behavioral
factors. A decision needs to be made whether to seek homogeneity or
diversity in these factors.

Age, sex, and level of education are descriptive factors that may create
homogeneity or foster diversity within the group.

The behavioral attributes expected of a group member will also have a major
effect on the attainment of group objectives.

Assessment and Planning

A more in-depth assessment and statement of goals and plans for action occur
during this phase. In reality, this step is completed only when the group ends
because the dynamic nature of most groups requires an ongoing adjustment
of goals and intervention plans. Goals should be time limited with a reasonable
chance for attainment, and the leader should ensure that all goals are clearly
stated to aid in later evaluations. Clarification of goals also eliminates hidden
agendas.

Group Development and Intervention

Numerous models of group development have evolved (Refer to Figure 2).

Evaluation and Termination

The decision to terminate a group may be based on the accomplishment of

group or individual goals, the expiration of a predetermined period of time, the
failure of the group to achieve desired ends, the relocation of the leader of
the group, or a shortage of funds to keep the group going. The termination of
a group often produces the same reactions that characterize the termination
of other significant relationships, including the feeling of being rejected. The

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group leader must be aware of these potential feelings and help group
members terminate with a minimum of difficulty.

The following practice principles are derived from an understanding of group

development:
(An Introduction to Group Work Practice by Ronald W. Toseland and Robert F. Rivas)

• Groups generally begin with members exploring the purpose of the group
and the roles of the worker and each member. The worker should provide
a safe and positive group environment so that members can fully explore
the group’s purpose and the resources available to accomplish the group’s
goals.
• After the initial stage of development, groups often experience a period of
norm development, role testing, and status awareness that results in
expressions of difference among members and the leader. The worker
should help members understand that these expressions of difference are
a normal part of group development.
• Structure has been demonstrated to increase member satisfaction,
increase feelings of safety, and reduce conflict in early group meetings. A
lack of structure can lead to feelings of anxiety and insecurity, and can lead
to acting out and projection. Therefore, the worker should provide sufficient
structure for group interaction, particularly in early group meetings.
• Tension or conflict sometimes develops from differences among members.
The worker should help the group resolve the conflict by helping the group
develop norms emphasizing the importance of respect and tolerance and
by mediating the differences and finding a common ground for productive
work together.
• Groups enter a middle stage characterized by increased group cohesion
and a focus on work and task accomplishment. To encourage movement
toward this stage, the worker should help members stay focused on the
purpose of the group, challenge members to develop an appropriate
culture for work, and help the group overcome obstacles to goal
achievement.
• In the ending stage, the group finishes its work. The worker should help
members review and evaluate their work together by highlighting
accomplishments and pointing out areas that need further work. Groups
sometimes experience strong feelings about endings. The worker should
help members recognize these feelings, review what they accomplished in
the group, and help members plan for termination.

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PHASES OF SOCIAL GROUPWORK

Garland, Jones, and Kolodny Model

Emotional closeness among members is the central focus of the model and is
reflected in struggles that occur at five stages of group growth: preaffiliation,
power and control, intimacy, differentiation, and separation.

Preaffiliation. Members are ambivalent about joining the group and

interaction is guarded. Members test out, often through approach and
avoidance behavior, whether they really want to belong. Because new
situations are often frightening, members attempt to protect themselves from
being hurt or taken advantage of, maintaining a certain amount of distance
and attempting to get what they can from the group without taking many risks.

During this first stage, the leader tries to make the group appear as attractive
as possible “by allowing and supporting distance, gently inviting trust,
facilitating exploration of the physical and psychological milieu, and by
providing activities if necessary and initiating group structure.”30 This stage
ends gradually as members begin to feel safe and comfortable within the
group and to view its rewards as worth a tentative emotional commitment.

Power and Control. The character of the group begins to emerge. Patterns of
communication, alliances, and subgroups begin to develop. Individuals
assume certain roles and responsibilities, establish norms and methods for
handling group tasks, and begin to ask questions. At this point, members realize
that the group is becoming important to them. This second stage is transitional,
with certain basic issues requiring resolution: Does the group or the leader have
primary control? What are the limits of the power of the group and of the
leader, and to what extent will the leader use his or her power?

The leader should (1) help the members understand the nature of the power
struggle, (2) give emotional support to help members weather the discomfort
of uncertainty, and (3) help establish norms to resolve the uncertainty. Group
members must trust the leader to maintain a safe balance of shared power
and control. When that trust is achieved, group members make a major
commitment to become involved.

Intimacy. The likes and dislikes of intimate relationships are expressed. The
group becomes more like a family, with sibling rivalry exhibited and with the
leader sometimes referred to as a parent. Feelings are more openly expressed
and discussed, and the group is viewed as a place where growth and change
take place. Individuals feel free to examine and make efforts to change
personal attitudes, concerns, and problems, and there is a feeling of “oneness”

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or cohesiveness. Members struggle to explore and make changes in their
personal lives and to examine “what this group is all about.

Differentiation. Members are freer to experiment with new and alternative

behavior patterns because they recognize individual rights and needs, and
they communicate more effectively. Leadership is more evenly shared, roles
are more functional, and the organization itself is more efficient. Power
problems are now minimal, and decisions are made and carried out on a less
emotional and more objective basis. The differentiation stage is analogous to
a healthy functioning family in which the children have reached adulthood
and are now becoming successful in pursuing their own lives.

Separation. Group purposes have been achieved, and members have

learned new behavioral patterns to enable them to move on to other social
experiences. Termination is not always easily accomplished, as members may
be reluctant to move on and may display regressive behavior to prolong the
existence of the group.

Tuckman Model

Forming. Members become oriented toward each other, work on being

accepted, and learn more about the group. This stage is marked by a period
of uncertainty in which members try to determine their places in the group and
learn the group’s rules and procedures.

Storming. Conflicts begin to arise as members resist the influence of the group
and rebel against accomplishing their tasks. Members confront their various
differences, and the management of conflict often becomes the focus of
attention.

Norming. The group establishes cohesiveness and commitment. In the process,

the members discover new ways to work together. Norms are also set for
appropriate behavior.

Performing. The group works as a unit to achieve group goals. Members

develop proficiency in achieving goals and become more flexible in their
patterns of working together.

Adjourning. The group disbands. The feelings that members experience are
similar to those in the “separation stage” of the Garland, Jones, and Kolodny
Model.

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Hartford’s Model
(Social Work with Groups by Thelma Lee Mendoza)

Pre-Group Phase. What happens and what the worker (group organizer) does
before the group is actually organized.

➢ Private Pre-Group Phase. An idea occurs to one or more persons to

organize a group for some purpose. The group does not yet exist and
any ideas or plans pertaining to it are still in the mind of the organizer.
➢ Public Pre-Group Phase. Announcements are made, verbally or in
writing. Fliers are sometimes sent to parties perceived as likely to be
interested in the endeavor, including possible sources of referral. The
purpose and time frame of the group program and the criteria for group
composition are usually defined at this time. The agency practitioner
now also has in mind what helping approaches or techniques will be
utilized. All these are communicated to the prospective group members
when pre-group and/or intake interviews are conducted.
➢ Convening Phase. When the prospective members or some of them
meet for the first time. Hartford contends that they are still just an
aggregate but the potential for becoming a group begins to
materialize. Feelings of resistance and ambivalence about committing
themselves are natural during this phase, and these feelings can recur
at other periods of their membership. The worker assumes a leading role.
She uses appropriate activities to get the participants to connect with
and be oriented to each other in order to facilitate the group’s passage
toward group formation.
Group Formation Phase. This is the period when the group gets organized.
Group goals and norms evolve and the group’s role system begins to develop
during this phase. Interpersonal ties begin to be evident and members start to
be influenced or attempt to influence each other. Communication –
interaction patterns are observable and indicators of cohesion may already
be evident. This phase is the first of two periods of strong attachment to other
members, to the group, and to the worker (the second period is the
maintenance phase).

A major aim at this time is to establish a pattern of member participation that

will help the members to develop a beginning sense of belonging to the group.
There may be indications of some members “testing” the worker, i.e., her
firmness (such as in group’s observance of agency rules), her patience (such
as in dealing with members’ negative or aggressive behavior), and her

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neutrality (such as in responding to the ideas of members representing different
economic or educational backgrounds).

Group Integration, Disintegration, or Reintegration Phase. Interpersonal ties

increase and a sense of group bond or “we feeling” begins to become
apparent. Members can show a great deal of enthusiasm for the group’s
activities, and while they may not be equally participative, the worker is
optimistic that the group will be able to achieve its goals. All these are aspects
of the group’s movement toward integration.

The struggle or conflict may be serious and if not resolved, can lead to the
group’s total disintegration. If the conflict is minor, the consequence may be a
state of disequilibrium which the group may be able to overcome. The process
of handling conflicts requires the worker to be prepared to bring such conflicts
into the open for discussion and resolution. The group, with the help of the
worker, may have to restate its goals, modify its structure, establish new rules
for operating, define/modify norms, and redefine tasks. The efforts can make
the group move forward to a reintegration phase, a higher level of integration.
This might mean more stable relationships, more stable group structure, greater
influence of the group upon the members, clearer norms, higher levels of
interdependence and cooperation among members, more awareness of the
significance of the group experience, and a state of equilibrium.

Group Functioning and Maintenance Phase. Bales states that the social
emotional qualities of giving support and helping appear during this phase.
Berne and Coyle cite the emergence of group culture. The group pursues the
fulfillment of purposes even though the work may lead to change in structure
and activity. Schutz says that this is a period of affection, of emotional
integration of members with each other, and of a lowering of defenses and an
increase in sharing.

Hartford submits that emergent structure or the stabilization of leader-follower

patterns and the firming of the status hierarchy based on skills appropriate for
the purpose of the group is one of the observable aspects of this phase. The
worker’s activity during this phase in encouraging the emergent leadership
may well move into a less central role and thus, maximize the group’s
functioning in its own behalf. This is the period in the social work context when
the group, with the guidance or help of the worker, works at implementing its
plans in order to achieve the defined goals. A sense of “groupness” is
developed during this phase.

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Termination Phase. In the case of a closed group, termination is a collective
experience for which adequate preparation can be made. In the case of an
open group, termination is not a collective but an individual experience for the
group itself can exist indefinitely.

➢ Pre-termination Phase. The group is prepared for its imminent ending.

➢ Termination. The actual ending, the last group meeting.
➢ Post-termination. The period after the group ceases to function and
involves plans to continue to meet as a group if this is desired.
Pre-Group Formation Activities of the Social Worker
(Social Work with Groups by Thelma Lee Mendoza)

1. Conceptualizing the Group Service

Usually, an agency social worker would take the initiative of suggesting that
the agency start a group program. Sometimes, however, it is somebody
outside of the social agency who makes a program proposal. Regardless of
the source of the idea, what is important is that there is a clarity of purpose
behind the program as this will serve as the basic guide for both the agency
worker and the group.

A concept paper or a program proposal would contain:

a. Rationale/purpose of the group program;
b. Target client;
c. The need/problem to be addressed;
d. Membership criteria;
e. Resource requirements (staff, space, equipment);
f. Procedures for setting up the program; and
g. Time Frame

The new program would usually be announced through an office

memorandum or presented in a staff meeting. The statement of the purpose
of the group program, which is perhaps the most important aspect of the
conceptualization effort, should emanate from the agency’s purpose or
function. The criteria for membership can be stated in specific or in general
terms, depending on what the agency plans to do.

2. Announcing the Group Service and Recruiting Members

Written announcement can be posted in strategic places in the community.

The announcement should be brief but clear and should mention the purpose
of the program, who may apply, where to make inquiries, etc. Visits can be
made with barangay youth and women leaders, etc. to explain the program
and recruit potential members.

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3. Preparing Logistics

Logistical support for a group program would include personnel, facilities, and
materials.

4. Enlisting Community Support

Pre-group planning should include identification of those sectors in the

community whose support is essential to program success.

Uses of Program Media

Program Media refers to the activities, verbal or non-verbal activities, which
the group engages in for the purpose of achieving its goals. It is utilized in order
to influence the behavior of individual members and the group as a whole.

1. Modify or change attitudes and behaviors

2. Promote individual values
3. Influence group climate
4. Promote group interaction
5. Enhance/enrich group content
6. Promote desired group values, and
7. Facilitate the beginning, middle, and ending stages of group life.

F. GROUPWORK INTERVENTION MODELS AND APPROACHES

INTERVENTION MODELS AND APPROACHES

Feminist Theory
Feminist theories developed out of the philosophy of the women’s movement
or feminism (“an awareness of women’s oppression and exploitation in society,
at work, and within the family, and conscious action by women and men to
change this situation”). These theories resulted from the view of many women
that major personality theories have a strong sexist bias, such as psychological
concepts about sex differences that lead to gender stereotypes. Common
elements in these theories include a positive view of the female body and an
emphasis on the development of equal responsibility, talents, skills, and power
in women.
Existing feminist theories continue to be critiqued and refined by women
scholars from varied background. Major contemporary feminist theories
include Nancy Chodorow (1944 -), Carol Gilligan (1936 -), Jean Baker Miller
Institue (1995), and Sandra Bem (1944 -).

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Developmental Approach
Emanuel Tropp’s Developmental Approach seems to be the most relevant at
this time and can be adapted to fit a variety of client situations. Social Work
literature traces the roots of the “Developmental Approach” to Grace Coyle’s
writing which underscore collective self-help as the theme of groupwork,
emanating from the settlement house movement. It is from this principle, that
group self-direction toward a common goal is the most effective vehicle for
the social growth of its members.

Gertrude Wilson and Gladys Ryland’s elaboration on the productive uses of

group autonomy and decision-making; Helen Philipp’s sharpening of focus on
leader relation to group purpose, a stress on the importance of the here-and-
now, and a view of the main source of growth residing within the member
rather than the leader; William Schwartz’ probing more deeply into an analysis
of group function and leader role and developing the concepts of mutual aid
and the contractual relations between leader and group.

People are not seen as being sick or healthy, but on a scale ranging from
socially functional (adequate), to dysfunctional (inadequate), to eufunctional
(optimum)…continually able to move up this scale in a life-long
developmental process of self-realization. The practitioner who tries to help
people who are striving for self-realization is concerned with tapping “the vast
unused potential that resides within all people and which is generally used only
fractionally – in the spheres of physical, intellectual, aesthetic, and
interpersonal development, of which the last is the direct concern of social
work.” This view holds what we consider to be two essentials feature of
developmental social work with groups: recognition of the human being as the
main resource to be utilized, and interpersonal relations, more specifically
social role performance as the focus of concern.

Major Themes
1. It is humanistic. “What are the worker’s functioning and relations with the
group?”
➢ The worker takes a humanistic perspective.
➢ The worker respects the member-to-member helping phenomenon
as the key principle to their growth, and that they do not have to be
dependent to the worker, the role is one of an enabler for the group
to be more effective.
➢ The group’s existence means that the members cope with the
expectations relating to their common task, and the worker shows
belief in and expectations in their ability to cope.

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 ➢ The worker values the experience in free human communication
which the group offers its members.
➢ The worker is real and understandable with openness, authenticity,
mutuality, humility, respect, empathy, compassion, involvement,
support, expectation, and assistance, and acts in a spontaneous yet
planful way.

2. It is phenomenological. It is concerned with the content of the group

experience. Its crucial focus is on what is happening currently, in the life
situation in or outside the group, or in both. It answers the question, “What
life materials serve as focus of the approach?” This approach is reality-
oriented.

3. It is developmental. It provides the basic direction to the approach for it

answers the question, “What does the approach seek to accomplish with
people in the group?” It sees people as being continually able to move
forward in a life-long process of self-realization, or fulfillment of potential in
social functioning.
Remedial Model
The persons who can benefit from this approach are out-of-school youth, street
children, drug users, etc. who are headed toward deviant paths unless given
timely attention. This model is relevant to agencies and institutions performing
social control functions. The model is also appropriate for those who need help
in the acquisition of new knowledge and skills and the development of new
values and attitudes to replace their own which may be dysfunctional and
thus have become the source of their difficulties. The remedial approach is all
about individual change through small groups. It focuses on the use of guided
group interaction in treating and rehabilitating individuals whose behavior is
disapproved or who have been disadvantaged by society.

A view of deviance is a distinguishing characteristic of this model. Vinter

contends that problematic behavior is generated and maintained through
interactions between the client and individuals and/or situations. He has
termed this as an interactional view of deviance.

Interactionist Approach
The basic premise of the Interactionist Approach which was developed by
William Schwartz is that there is a symbiotic relationship between people and
their environment, and therefore the function of social work is to “mediate the
process through which the individual and society reach out to each other
through a mutual need for self-fulfillment.”

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Schwartz contends that social work’s function in society is most powerfully
expressed when it directs itself not to the individual or the social, but to the
relationship between the two. According to Schwartz, the function of social
work is to mediate the transactions between people and the various systems
through which they carry on their relationships with society – the family, the
peer group, the social agency, the neighborhood, the school, the job, and
others.

In working with groups in this approach, the social worker has a two-client
responsibility. i.e., the worker addresses each member, whose relationship to
the group this member needs to negotiate, and the group as a whole, that has
to negotiate the larger systems of which it is a part – the agency, the
neighborhood, etc. The group is described as an alliance of moving,
interdependent beings with the worker being one of them. The worker’s moves
are directed toward specific purposes, limited in scope and time, and
touching only those within her immediate reach.

Crisis Intervention Approach

It is an approach that is being used with individuals, families, groups, and
communities that are in a state of disequilibrium because of a crisis they have
experienced. The term “CISD” or Crisis Incident Stress Debriefing which is a form
of crisis intervention has become popular in the country and many social
workers are being trained in it because it has been found to be very helpful
particularly for victims of natural disasters. CISD is applied after a “critical
incident” has occurred. A critical incident is any incident, situation or event,
that can cause powerful or overwhelming, even unusual reactions from those
exposed to it.

A crisis is an “upset in a steady state,” an emotional reaction on the part of the

individual, family, or group to a threatening life event. In a state of crisis, there
is a temporary disturbance in one’s equilibrium resulting in the immobilization
of problem-solving abilities and other aspects of daily functioning. A crisis can
happen to anyone in the course of life. It is not considered a disease or a
pathology, but a part of the normal growth process.

Crisis intervention is a process for actively influencing the psychosocial

functioning of individuals, families, and groups during a period of acute
disequilibrium. It involves crisis-oriented, time-limited work. It should be readily
available and properly timed in order to be effective. This means making help
accessible within 24 to 72 hours of the request or “cry for help.” Since most crisis
states are limited to four to six weeks, a maximum of six sessions of crisis
intervention work with individuals is seen as adequate.

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This approach is associated with the writings of Erich Lindemann, Gerald
Jacobson, Gerald Caplan, Howard Parad, Naomi Golan, and Lydia Rapoport.

Task-Centered Model
A model of practice is developed through research at the University of
Chicago in the 1970s under the collaboration of Laura Epstein, Professor
Emeritus in this school, and William J. Reid, Professor of the State of the University
of New York at Albany.

The Task-Centered model is a “technology for alleviating specific target

problems perceived by clients, that is, particular problems clients recognize,
understand, acknowledge, and want to attend to. A “task” is defined as what
the client is to do to alleviate the problem which makes the task both an
immediate goal and at the same time, the means of achieving the goal of
alleviating the problem.

The following are the distinguishing characteristics of the approach:

1. It is brief and time limited.
2. Its interventions are concentrated on alleviating specific problems which
the client and practitioner expressly contract to work on.
3. Work on the client’s problem is organized around tasks or problem-
solving actions the client agrees to carry out.
Task-centered practice as conceived by Epstein consists of a set of procedures
for alleviating the specific target problem which, by agreement of the worker
and the client, will be the focus of their work.

Psycho-social approach
This used to be associated with the Freudian theory of personality and was
often referred to as the “organismic approach” and the “diagnostic school of
thought”. It is essentially a systems theory approach in social work which can
be applied to individuals and groups with actual or potential problems in their
psychosocial functioning.

The approach is a systems theory approach because it is concerned with both

the inner realities of human beings and the social context in which they live.
The person being helped or treated is seen in the context of interactions or
transactions with the external world and effort is taken to understand the
segment of the external world with which the person is in close interaction.
Another emphasis of the approach is that treatment must be differentiated
according to the client’s need, hence, the term “differential treatments”

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approach. It requires the worker to the understand the client’s needs and to
respond accordingly.

The client’s inability to function adequately is viewed as being caused by

inadequacies either in the person, or the situation, or both. Thus, the worker
must engage in fact-gathering and come up with a professional opinion called
diagnosis or assessment.

The help provided in this approach is a process which will enable change to
occur in the person or in the situation, or both. This process involves
communication among the client (or clients), the worker, and significant
others, and the provision of certain concrete services that may be needed.

Three types of diagnosis are used in this approach:

1. Dynamics. An examination of how different aspects of the client’s
personality interact to produce his total functioning; the interplay between
the client and other systems; the dynamics of family interaction.
2. Etiological. The cause or origin of the difficulty, whether preceding events
or current interactions; usually multiple factors in the person-situation
configuration.
3. Classificatory. An effort to classify various aspects of the client’s functioning
and his place in the world including, if possible, a clinical diagnosis. This may
include classifying individuals according to socio-economic class, race,
ethnic background and religion; social class status by way of education,
occupation, and income; by intelligence; area in which the problem exists
such as “parent-child adjustment problem”; classifying the situational
aspect of the person-situation complex, such a in terms of degrees of
adequacy and inadequacy of various aspects of the situation or situation
systems.
Helen Northen describes an approach with groups called “Psychosocial
Practice” which she considers to be most congruent with the psychosocial
formulation of casework theory. The use of group structure and process is an
important aspect of psychosocial practice with small groups. Northen submits
that unlike other approaches which has prerequisites for group membership,
the approach can be used with any group (except task groups) and in any
field practice setting as long as there is a service designed to meet an
established need for enhancement, prevention, or treatment of problems in
psychosocial functioning.

Cognitive Behavioral Theory

An important extension of the behavioral learning model is cognitive
behavioral theory. This approach extends the behavioral model by considering
cognitive (mental) events in addition to behaviors. Modern cognitive theories
emerged in response to the early behaviorists’ dismissal of thoughts and

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emotions. The cognitive movement chose to embrace many of the tenets of
the behavioral movement. The goal of the cognitive movement was to
integrate mental events (thoughts and feelings) into the empirical behavioral
framework. Cognitive behavioral theories (sometimes called cognitive
theories) are considered to be cognitive because they concern subjective
psychological events such as thinking and feeling. They are called cognitive
behavioral because they address those mental events in the broad context of
learning theory that was the basis for the pure behavioral theory both
respondent and operant schools. The influence of cognitive behaviorism
seems to be growing today; it forms the basis of some of the most effective,
best documented of the therapeutic approaches. There are a number of
notable contributors to this movement, which began with Albert Ellis.

G. GROUPWORK RECORDINGS AND SUPERVISION

TYPES AND PURPOSES OF GROUPWORK RECORDINGS
The Social Work Dictionary (1995) defines “recording” as the process of putting
in writing and keeping on file relevant information about the client; the
problem; the prognosis; the intervention; the progress of treatment; the social,
economic, and health factors contributing to the situation and the procedures
for termination or referral. In social work recording emphasis is also given to
client’s strengths and solutions for change.
The purposes of social work recording are:
1. documenting the involvement with the individual;
2. informing assessment and care planning;
3. enabling practitioners to review and reflect on their work;
4. assisting practitioners to identify any patterns;
5. ensuring accountability of staff;
6. meeting statutory requirements;
7. providing evidence for legal proceedings;
8. enabling continuity when a new worker takes over the case;
9. providing performance information; and
10. forming a biography

Different Types of Group Work Recording

1. Process Recording
It is a narrative report of all that happened during a client contact, including
the worker’s feelings and thinking about what happened. The usefulness of
process recording has depended on the willingness of a worker to honestly
record the actions and communications of both worker and client. Because
of its time-consuming qualities, process recording probably should not be used
with every case or situation but with carefully selected ones particularly suited
for the worker’s won development learning. Process recording is most often

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used when working with individuals but can also be used when working with
large systems.

2. Summary Recording
It is an entirely different style of writing and is preferred for intake, transfer
closing and other special aspects of official agency records. Summary
recording is the preferred method for ongoing social work practice because it
is much briefer than process recording, hence much less time consuming to
write and to record. However, summary recording requires more thought and
planning on the worker’s part because he must decide what to record and
what to omit. Regular progress notes, periodic summaries (i.e., intake or transfer
report) and special reports are usually written in summary style.

3. Diagnostic Summary
It is a special analytical statement that assesses what is known about a client
and sets forth a specific treatment plan. The diagnostic summary provides an
opportunity for the worker to set down his/her professional impressions,
reactions and concerns about his/her client. Put into writing, these ideas can
be helpful to other staff who work with that individual at a later date as well as
to the person making the entry. A diagnostic summary enables a supervisor to
learn quickly about the needs of the clients his/her staff are serving.

4. Problem Oriented Recording

It is a specialized form of documentation used to delineate problems identified
and treatment goals in interdisciplinary settings. This system requires the
recorder to identify the problem areas, assess them and then state what he
plans to do about each problem. The ideal use of problem-oriented recoding
is for all disciplines to record on the same form in the same interdisciplinary
record. One of the primary purposes of recording in the interdisciplinary
settings is for documentation, but it is also intended to provide a means of
exchanging information.

5. Goal Oriented Recording

Under this type of recording basic social history and background information is
gathered and recorded. However, there is considerable emphasis on
including the client in the assessment process and in setting goals and
developing specific plans for reaching the identified goals. This approach
leads to uniformity in recording and statistical reporting practices among social
workers and forces staff to include the client as an active participant in the
planning phases.

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PART II. SOCIAL WORK PRACTICE WITH GROUPS (FIELD INSTRUCTION II) (50%)
I. PHASES IN GROUP DEVELOPMENT
1. PRE-GROUP FORMATION
The Pre-Group Phase is what happens and what the worker (or group
organizer) does before a group is actually organized. Hartford describes this as
actually consisting of three phases the Private Pre-Group Phase, the Public Pre-
Group Phase, and the Convening Phase.
i. The Private Pre-group Phase
Is the period when an idea occurs to one or more persons to organize a group
for some purpose. This can be agency volunteers or officers who think that
group service is relevant to the agency's mission, a social worker who thinks a
particular purpose can be best served through the group approach, or
prospective participants who see the agency as having the capacity to offer
a group program that can respond to their needs or concerns. The group does
not yet exist and ideas or plans pertaining to any it are still in the mind of the
organizer.
ii. The Public Pre-group Phase
Announcements are made, verbally or in writing. Fliers are sometimes sent to
parties perceived as likely to be interested in the endeavor, including possible
sources of referral. This follows the Private Pre-group Phase which made
decisions to have a group and this decision is shared with others.
On the part of the social agency, the purpose and time frame of the group
program and the criteria for group composition are usually already defined at
this time. The agency practitioner now also has in mind what helping
approaches or techniques will be utilized. All these are communicated to the
prospective group members when pre-group and/or intake interviews are
conducted. Sue Henry, who refers to these two phases as the "Initial Stage"
contends that while there may be no group dynamics yet at this time, "the
embryonic group will be by the workers actions in identifying the potential cast
of characters and in projecting what the group will be like and how it can be
moved toward attainment of its goals."
Hufford submits that the original orientation that is given to the potential
member during the Public Pregroup Phase will affect his expectations and the
procedures that follow. These expectations may be in relation to the member-
ship, the goals and the content or activities of the group. The importance of
clarifying the individual member’s expectations cannot be overemphasized.
The reality of many agency groups disintegrating after a few sessions can often
be traced to the group's loss of interest owing to their expectations not being
met.

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 iii. The Convening Phase
Is when the prospective members, or some of them, meet for the first time.
Hartford contends that they are still just an aggregate but the potential for
becoming a group begins to materialize. The members at this time are sizing
up the situation in terms of whether or not their expectations are going to be
met. They engage in social rituals and amenities and varied behaviors may be
observed such as restlessness, talkativeness, tension, and withdrawal as the
participants judge each other.
Feelings of resistance and ambivalence about committing themselves are
natural during this phase, and these feelings can recur at other periods of their
membership.
The worker usually assumes a leading role during this phase. She uses
appropriate activities to get the participants to connect with and be oriented
to each other in order to facilitate the group's passage toward group
formation. The worker also answers questions and clarifies expectations, and
while honoring their struggle about joining or not joining, points out what
positive consequences or gains can result from group, membership.
2. THE GROUP FORMATION PHASE
Unless the pre-group events lead to non-formation, this, second phase is the
period when the group gets organized. The formation process may be
achieved during one session or many sessions depending on the members,
their capacities, and the purpose of the group, among other things.
Group goals and norms evolve and the group's role system begins to develop
during this phase. Interpersonal ties begin to be evident and members start to
be influenced or attempt to influence each other. While membership may not
yet be stabilized, communication interaction patterns are observable and
indicators of cohesion may already be evident.
Sue, Henry states that the key dynamic of the formation stage is choosing to
unite with others or, simply "union". This phase is the first of two periods of strong
attachment to other members, to the group, and to the worker (the second
period is the maintenance phase).
In social work with groups, the practitioner continues to take a lead role in
promoting communication and interaction between herself and the members
and among the members of the group. She uses program media appropriate
for this phase and responsive to the needs and interests of the group. A major
aim at this time is to establish a pattern of member participation that will help
the members to develop a beginning sense of belonging to the group.
There may be indications of some members "testing" the worker, i.e., her
firmness (such as in the group's observance of agency rules), her patience
(such as in dealing with members' negative or aggressive behavior), and her

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neutrality (such as in responding to the ideas of members representing different
economic or educational backgrounds). Members are usually sensitive to the
way the worker responds to their behavior. This can motivate them to remain
in or withdraw from the group.

3. THE GROUP INTEGRATION, DISINTEGRATION OR REINTEGRATION

PHASE
After the group appears to have been formed and now proceeds about its
work, many things happen. Interpersonal ties increase and a sense of group
bond or "we feeling" begins to become apparent. Goaldirected activities
engage the members since by this time group goals shall have been clarified.
In the case of developmental and task groups the role and status structures
usually begin to emerge, and task and emotional leaders can already be
identified. Members can show a great deal of enthusiasm for the group's
activities, and while they may not be equally participative, the worker is
optimistic that the group will be able to achieve its goals. All these are aspects
of the group's movement toward integration. The groups developmental path
is however not always quite so smooth. When you have a group of people in
face-toface interaction, especially if this is over an extended period of time,
conflicts are bound to occur. They may occur over disagreement on issues, or
interpersonal problems. Members may openly express anger, frustration or
hostility and with- draw from participation. Tuckman calls this phase "storming,
the appearance of conflict around "interpersonal issues and expressed
resistance to group influence and task requirements."
Most of the social work authors who have written on the subject attribute the
conflicts to issues of leadership, decision-making power, status and control
(Garland, Jones and Kolodny call this the "Power and Control" phase; see Fig-
1). They happen at this time because the members have already located
themselves in the group and there is no more need to put best foot forward.
They know each other better as they have had time to observe each other
and form different opinions and conclusions. They are now also more aware of
and sensitive to what is happening in the group and the effects on the
members. They no longer feel inhibited in expressing their thoughts and
feelings, or even in controlling their impulses. There will be members who will
want certain things to be different from the way they are in the group, who are
unhappy about interpersonal relationships, their development as a group, the
leadership style, the activities, etc. Any of these can lead to conflicts.
Sue Henry says that conflict in a group is really com- petition for the dominance
of one's needs and desires over those of all the group members. To her, conflict
is really over ownership of the group, ie, each member wants to fashion the
group according to his or her own design.

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 The struggle or conflict may be serious and if not resolved can lead to the
group's total disintegration. On the other hand, if the conflict is minor, the
consequence may be a state of disequilibrium which the group may be able
to overcome. In social agency context, this depends on both the group and
the worker. If both sides act in ways appropriate to the conflict situation, the
group can turn out to be stronger and more cohesive because of the
experience.
The process of handling conflicts that occur in a group requires the worker to
be prepared to bring such conflicts into the open for discussion and resolution.
The group, with the help of the worker, may have to restate its goals, modify its
structure, establish new rules for operating, define/modify norms, and redefine
tasks (remember the "group as target of change?"). The efforts can make the
group move forward to a reintegration phase. This usually means a higher level
of integration, which may mean more stable relationships, a more stable group
structure, a greater influence of the group upon the members, clearer norms,
and higher levels of interdependence and cooperation among members,
more awareness of the significance of the group experience, and a state of
equilibrium.
Sometimes, in order to save a group from total disintegration, certain
individuals may have to be terminated from the group. They may be blocking
the group’s development, cannot relate with other members or, for some
reason or another, do not fit in the group. Mistakes in group composition or
selection of members do happen, and the worker should carefully assess
individual members' fitness and make the decision to terminate membership if
necessary. The reason for the decision should be explained to them as well as
to the group
4. GROUP FUNCTIONING AND MAINTENANCE PHASE
The terms used by other writers to describe this phase, give us an idea about
the dynamics occurring at this time. Sarri and Galinsky refer to this phase as
"Maturation," Garland, Jones and Kolodny, "Differentiation," and Norther,
"Problem-solving and Stabilization."
Bales states that the social emotional qualities of giving support and helping
appear during this phase. Berne and Coyle cite the emergence of group
culture the establishment of an ethical system, artifacts, etiquette, and social
con- tract. Berne states that in this phase, the group pursues the fulfillment of
purposes even though the work may lead to change in structure and activity.
Schutz says that this is a period of affection, of emotional integration of
members with each other, and of a lowering of defenses and an increase in
sharing. Thelen describes this period as one of consolidation and harmony,
which Tuckman refers to as "norming" and "performing," Hartford submits that
emergent structure or the stabilization of leader-follower patterns and the
firming of the status hierarchy based on skills appropriate for the purpose of the
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group is one of the observable aspects of this phase. She, therefore, believes
that the worker's activity during this phase in encouraging the emergent
leadership may well move into a less central role and thus, maximize the
group's functioning in its own behalf.
In the social work context, this is the period when the group, with the guidance
or help of the worker, works at implementing its plans in order to achieve the
defined goals. The worker also deliberately applies her knowledge of group
dynamics in order to deal effectively with the forces occurring in the group.
A sense of "groupness" is developed during this phase. This is manifested in the
members' concern for the group and their engagement in activities which,
along with the relation- ship patterns, promote the functioning and
maintenance of the group. In place of conflict, there is more group harmony,
and when unavoidable conflicts arise, the group is now able to deal with them
in a more mature and acceptable way.
Because the group has matured, it is now able to res- pond not only to
intragroup processes but also to extragroup (eg, family, agency) and
intergroup (e, other groups in the community) pressures or threats when these
occur. Group attractiveness or cohesion is apparent and the group
confronted by problems of withdrawal, poor attendance, or habitual tardiness
by members. The motivation to help each other through the group is strong. In
short, the group is on a relatively high level of functioning and, having reached
this far, may be expected to achieve its goals.
5. THE TERMINATION PHASE
Most groups end although some groups last longer than others. In the case of
a closed group (ie. the members begin and end their membership at the same
time), termination is a collective experience for which adequate preparation
can be made. In the case of an open group (ie. the members enter and leave
at different times, for different reasons), termination is not a collective but, an
individual experience for the group itself can exist indefinitely. Regardless of
whether one is dealing with a closed or an open group, termination has to be
prepared for and undertaken with the same care as the previous phases.
Hartfod sees the termination phase as consisting of three phases. In the pre-
termination phase, the group is prepared for its imminent ending. Termination
is the actual ending, which means the last group meeting. Post-termination
refers to the period after the group ceases to function and involves plans to
continue to meet as a group if this is desired. In the social agency context this
includes any follow-up work the practitioner plans to do based on her
perception of the need or desirability of the effort, or in response to the
members' request. These three phases are also applicable to cases of
individual membership termination.

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Preparation for termination involves helping the group or the individual
member get used to the idea that the end to the group's life or his/her
membership in it is forthcoming. My own experience is that this task is made
easier when the worker made it a point to discuss the reality of termination
during the initial or formation phases in the group's development. As
termination approaches there should be an opportunity to review the
experiences in the group and to evaluate the gains made on both individual
and group levels. Group members should be given the chance to talk about
the ending of their group experience. Their feelings about it may be positive
and they want to express their appreciation for whatever benefits they have
gained from their membership. Others may have had negative experiences
that they want to finally be able to express or resolve. For some others, negative
feelings may relate to the impending separation of the group or from the
group. Whatever it is, Sue Henry points out that the central theme of this phase
is that of mourning and time has to be made available to allow the handling
of people's feelings. Her words seem most appropriate for closing this discussion
on termination."
The focus of effort ceases to be in connection with the group as a whole;
it turns to a deeper connection with the self, a deeper rootedness within one’s
own resources, and a greater reliance upon one's own capacities. This is
possible, in most cases, when the psychological connectedness with others has
been made and strengthened, has been supportive and productive of the
security to be one's own person, and has promoted risk-taking Separating
oneself from a group experience wit be more successful when the prior stages
have been fruitfully negotiated and the final stage skillfully facilitated.

THE HELPING PROCESS IN SOCIAL WORK WITH GROUPS

Introduction
Part of the generics of social work is the use of the systematic helping process
which means the following steps: Assessment (Study and Problem Definition);
Action Planning, Plan Implementation; Evaluation, and Termination.
Assessment and Action Planning comprise the beginning phase of the helping
process; Plan Implementation is the middle phase, while Evaluation and
Termination comprise the ending phase.
The preceding steps are also followed in social work with groups, although
concededly, they are condensed in short-term groups. In addition, there are
certain features and characteristics distinguishing the steps in the different
group work models and approaches that guide practitioners today.
The social worker performs different tasks and activities as he goes about his
role as a helping person during the life of the group. The expectation is that his

388
presence in the group as it goes through the different phases of its own
development -will make a difference. This unit will provide a discussion of the
social worker's tasks and activities in the helping process with social work
groups. However, only the basics will be presented; more detail will be
provided in the last chapter.
I. PRE-GROUP FORMATION ACTIVITIES OF THE SOCIAL WORKER

1. Conceptualizing the Group Service

Usually an agency social worker would take the initiative of suggesting that the
agency start a group program. Sometimes, however, it is somebody outside of
the social agency who makes a program proposal. Regardless of the source
of the idea, what is important is that there is clarity of purpose behind the
program as this will serve as the basic guide for both the agency/worker and
the group. A concept paper or a program proposal is then usually prepared
which would contain the following: a) rationale/purpose of the group
program; b) target client, c) the need/problem to be addressed; d)
membership criteria; e) resource requirements (staff, space, equipment); f)
procedures for setting up the program; and g) time frame. The conceptualizing
process involved is not unlike what a reporter goes through in reporting a piece
of news - he must answer the questions of what, why, who, when and where.
The new program would usually be announced through an office
memorandum (to which the concept paper or proposal may be attached),
or presented in a staff meeting. This will give the agency staff the opportunity
to raise questions and/or make suggestions. Through this, the staff members
acquire a sense of participation in planning the program, which they will now
own rather than perceive as somebody's "pet project." As a result, the staff will
more likely give it their full support.
The statement of the purpose of the group program, which is perhaps the most
important aspect of the conceptualization effort, should emanate from the
agency's purpose or function. For example, an agency established in order to
help rehabilitate former insurgents may want to set up a group program to
provide insurgents with an opportunity for guided group activities to help them
deal with their concerns, and problems. It is possible for a large agency to
address many types of clients within its Jurisdiction. Such an agency may offer
various programs and services to respond to different clientele needs. One
example in the country is the Department of Social Welfare and Development
which has preventive, remedial and developmental program in its numerous
welfare settings. The DSWD's setup calls for a clear definition of a particular
group program's purpose, such as whether it is mainly for "treatment" or
"development." Understand- ably, such an agency cannot be expected to
have only one purpose for all of its group programs, since it serves many
different client groups. The purpose of a particular group program should be

389
clear especially to those implementing it. It should also be recognized that
while all social work efforts are preventive in nature, very seldom would one
come across a social group work program that pursues treatment and
development goals equally. There is usually a need to have a major thrust, eg,
"treatment," or "development," to guide the worker's helping efforts.
The agency purpose for a group program serves as its guide in identifying the
client sector to be served, (children, adolescents, mothers, etc.) and what
unmet need or problem should be addressed. Once these are known, the next
step, defining membership criteria, becomes an easy task. The following
illustrate this process:

The criteria for membership can be stated in specific or in general terms,

depending on what the agency to do. If from the start the organize several
groups that will agency wants to pursue goals relevant to the agency's group
purpose, then it can set criteria that are stated in broad terms. For example, in
the case of Agency C in the preceding illustration the, way the criteria is
presented will make it possible for women with a wide variety of needs and
concerns to apply for group membership. If a big number of women apply,
they can be assigned later on to different groups based on common needs

390
and characteristics (this aspect of social work with groups is called group
composition). Thus, based on the way Agency C's membership criteria are
presented, it can form different small groups, such as a group for parenting
effectiveness, a group for acquiring assertiveness skills, a family planning
discussion group, a community problem-solving group, t. On the other hand, if
Agency C, from the start wants to organize only one group at a time, with one
specified thrust, 2, to help the members become more assertive so as to
prevent their exploitation by those who take advantage of their perceived
"weak natur," then it can have something like the following for its guide:

Once a group program proposal is accepted or approved by the agency,

plans have to be made relating to announcing the program, recruiting
prospective members, preparing necessary logistics, and enlisting community
support.
2. Announcing the Group Service and Recruiting Members
There are many ways of publicizing a new program. Written announcements
can be posted in strategic places in the community, eg, in the community
center, parish hall, barangay hall, agency waiting room, health center, et. The
announcement should be brief but clear and should mention the purpose of
the program, who may apply, where to make inquiries, etc. Visits can be made
with barangay, youth and women leaders, etc. to explain the program and
recruit potential members. These efforts are particularly helpful if the agency
plans to organize more than one group or wishes to have a wider field of

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service applicants to choose from. Otherwise, if only one small group will be
serviced, the worker, by himself, or with some help from others, should identify
the possible members based on the membership criteria and invite them to
join the group. A good example of this is found in an institutional setting, ie, the
worker can simply ask the houseparent (who knows what the program is all
about) to refer to him, for example, the 15 residents with the most problematic
behavior manifestations whom he will interview for the purpose of choosing
maybe seven members for the group being formed.
3. Preparing Logistics
Logistical support for a group program would include personnel (eg, the
assignment of a regular worker to the group, and of administrative staff who
are "on call" should their help be needed, facilities (eg, the agency should
provide a regular venue for group meetings, allow the use of other agency
facilities when needed), and materials (eg, play therapy materials, audiovisual
aids, reporting forms).
4. Enlisting Community Support
Pre-group planning should include identification of those sectors in the
community whose support is essential to program success. For example, a
street-based program for street children has to be understood and provided
support by the residents, storeowners, and policemen in the area for otherwise,
these sectors might resist or block the program. There are hardly any agency
programs in the country today that can be maintained without having to tap
existing community resources. Therefore, it will be wise to cultivate and know
how to use a network of resources that respond to one's agency program
demands. Other questions may also have to be answered, during the pre-
group formation stage. Will the focus of the helping efforts be only on the
members of the group, or can it extend to their families? If group problem
solving calls for action that will involve addressing other community issues, will
the worker's agency provide support? For example, will the worker go all the
way in helping a parent effectiveness group whose members trace part of their
problem to the existence of gambling dens in their community which is illegal
but tolerated by the local officials? These and other similar questions are best
thought about and answered before program implementation.

II. INDIVIDUAL-FOCUSED ASSESSMENT AND PLANNING

Assessment is also termed "social study" and "diagnosis" in the social work
literature. It involves information-gathering and analysis towards an
understanding and consequently a definition of the need or problem of the
client.

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In social work with groups, Assessment and Action- Planning are generally
undertaken first with the prospective group members, individually, and then
with the group as a whole
Pre-Group Interviews/Intake
Prospective members of a group are usually interviewed by the social worker
prior to group formation. The interview may be a private, one-on-one type of
meeting, or with a group of other prospective participants. Treatment-oriented
group programs generally involve individual interviews be- cause more
comprehensive information is necessary for the worker to be able to prepare
individual case assessments (how much information is needed about each
group member will be discussed further in the last chapter).
In some cases, such as when a new group program is being organized in an
institution that has been housing clients, information may already be available
on the prospective members. The worker may have access to admission or
intake and other records and only have to obtain whatever supplementary
information is needed through pre-group interviews. When no such records
exist, such as in the case of an agency that is organizing a group whose
members have yet to be recruited or referred by certain parties, intake
interviews group: will have to be conducted.
Whether intake is being done or just additional interviews individual or to
supplement previous intake work, the following are usually discussed during
these pre-group formation interviews:
a) the agency and its services;
b) the agency's purpose for the group program;
c) agency expectations in terms of attendance and participation;
d) activities that are likely to be undertaken (especially when prospective
members have had experiences with club-type groups and may have
expectations of mainly fun and entertainment-oriented activities from the
group to be since discussion of this helps to increase, motivation and
discourage those who are not really serious about membership;
e) the duration of the group program; a ; and
f) the basis for termination of membership.
The subject of termination has to be explained during the intake interview. For
task groups, termination seldom presents a problem as the members expect
the group to cease to function when its task has been accomplished, unless
the group wants to address another concern and the worker is able to
continue working with it. With treatment-oriented groups, however, termination
is sometimes perceived as rejection or punishment and so it can become a

393
difficult process for both the individual and/or the group, and sometimes, for
the worker. Thus, during pre-group interviews, the worker should explain that
group membership is not permanent, that members may be leaving the group
at different times (in the case of open groups) such as when goals for a
member have been achieved and another member can replace him and
therefore also benefit from the experience, or when it is clear that membership
is not helping a person and he can be helped through some other way, or in
another group. If these are made clear in the beginning, then termination will
become less of a problem for both the worker and the group members.
Individual Client Profile
As a minimum requirement even for groups that are not treatment-oriented,
individual profiles should be written up. These should contain the following
information:
1) Name and other basic identifying information program
2) Need(s)/concem(s)/problem(s) relevant to the group
3) Strengths/resources and limitations, if any (eg, client is employed and can
attend meetings only during weekends)
4) Worker's observations/comments
The social worker has to decide whether to do individual or group intake. In
social work practice with groups, the primary purpose for doing intake
interviews is to be able to establish the person's eligibility for the group service
and to obtain information that will help the worker with the task of group
formation. Given this, the matter of whether to conduct group or individual
intake is usually for the worker to decide.
Group intake is resorted to for several reasons: a) it is effort and time-saving
since a large number can go through the procedure at the same time, in an
open-forum style; b) seeing other prospective members and hearing them
raise and clarify questions can reinforce the desire to join the group program;
and c) those present can motivate others to join and also help interpret the
agency program in the community.
Case Assessment/Problem Definition
The information have been during pre-group interviews (including individual
and/or group intake) should now be studied and analyzed with care in order
to arrive at an adequate understanding of the individual client's concern or
problem. This is referred to as "social study," "social diagnosis," "problem
definition," and "assessment" in the social work literature a process and a
product of understanding on - which action is based.

394
In the case of treatment-oriented groups, additional client interviews and, if
necessary, additional collateral interviews will have to be done in order to have
an adequate understanding of the psychosocial factors that help explain the
client's social functioning problem, and which factors may still be operating
and are maintaining the problem. With non-therapeutic groups, the process is
less demanding in the sense that not as much background information about
the client is needed. However, an accurate definition of the client's concern
or problem is important because this is the basis of goal-formulation and
intervention planning for the prospective group member, and is an essential
guide to deciding the group that is appropriate for him/her to join.
Action Planning
Action-planning is based on assessment and is the out- come of assessment.
The task involves a consideration of the most appropriate ends and means that
should be pursued that directly respond to the client's concern or problem. The
worker is often called upon to make rational choices and judgments about a
wide range of possibilities for helping, especially in the case of multi-problem
clients. Action-planning that is focused on the individual client at this stage will
require the following tasks from the worker:
a) Formulating Goals. While all social work practice has one ultimate goal the
enhancement or improvement of the client's social functioning we have to be
very clear about the specific ends, outcomes, or results desired and expected
from every professional helping relationship. The simplest way to formulate
goals is for the worker to answer the question: where do I want the client to be
at the end of the helping relationship, or, what is it that I expect to have been
accomplished as a result of the helping relationship?
Goals should be clear, specific, and realistic. When goals are clear and
specific, it is not likely for the worker and his client to be at cross-purposes, or to
be confused about the direction in which the helping relationship is moving.
Realistic goals enhance motivation because they are perceived as attainable.
Goals should be formulated with great care because they have at least two
very important uses: a) to provide direction to the helping process and b) to
serve as basis for evaluating the effectiveness of the helping relationship.
Every client should be given the opportunity to participate in goal-setting
although this may not always be advisable given some factors in a client's
situation. Age, mental capacity and emotional state are among these factors.
However, each of these still has to be carefully considered and should not be
used as a "blanket rule." Very young children can tell us what they want, and
many emotional states are of a temporary nature. The ethical social worker
observes the principle of client participation whenever, it is appropriate.
b) Establishing specific helping plans. If there are ends, then there are also
means to achieve them. In social work, these are called intermediate goals
395
objectives, interventive plans or action plans. These are specific statements of
what will be done to achieve the defined goals. What will be done may be
limited or comprehensive, depending on what is agreed on between the
worker and the client. In work with groups, it is helpful to separate the helping
plans which are to be pursued through appropriate group experiences, from
the helping plan which the worker will attend to outside the group, like working
with the client's family. The, client may have limitations of time, have personal
preferences, etc., and may request that the help to be pro- vided be
concentrated only on a particular concern that would involve only certain
people and/or resources and exclude others. On the worker's part, he may be
con- strained by agency program policies and logistics (eg. shortage of staff)
which may prevent him from doing extensive outside-the-group tasks for
individual members.
III. GROUP-FOCUSED ASSESSMENT AND PLANNING
Group-level assessment and action-planning may be said to start even before
the group is convened. This is because as the worker does pre-group interviews
with each prospective group member, he is "processing" in his mind the
information he has been getting, thinking about who will be in which group (if
more than one group is going to be formed), what concern or problem the
group will likely address, and what activities may have to be undertaken. The
tasks relating to two important aspects of work with groups group composition
and formation-will now be discussed.

1. Group Composition
Group composition refers to the selection of group members and deciding the
size of the group, two important group-related tasks that have to be attended
to by the group's worker.
The selection of members is very important because the members of the
group, their behaviors and interactions create the social processes that will
later happen in the group. There is no magic formula for creating the perfect
group. The agency's purpose for the group service serves as the general guide
for the selection of members, that is, why it has been established and what the
agency expects to achieve. Client attributes are also used as basis for group
composition. Among these attributes are age, interest, interaction style,
maturity, and personality characteristics. Great incompatibilities in these
attributes, according to Robert D. Vinter, make it very difficult for group
members to form cohesive groups. He states, however, that the guideline is
"compatibility or complementarity and not identity." In addition, Sue Henry
submits that group composition will be determined by the worker's predictions
as to compatibility of needs and behaviors, similarity of problems, range of
tolerance for deviance from behavioral norms, cultural and other
characteristics, and skills related to the purpose of the group. The aim,
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according to her, is "to assemble a configuration of persons with the potential
to coalesce and function as an entity."
The composition of the group is based on the worker's assessment of his clients'
individual situations and his professional judgment as to the most appropriate
group for each of them. The worker, after all, wants to gather individuals whose
concerns or problems can be served, in the same group. However, this does
not necessarily mean that he has to always assign individual clients to a
particular group. Sometimes group composition is pre-determined, such as in
the case of a group to be composed of all the residents of a reception cottage
for battered women, or a number of residents in a neighborhood may request
the worker's assistance in getting them organized in order to avail themselves
of his agency's services. In these situations, the worker can still observe a few
guidelines for group composition which should be discussed with the
prospective members, eg, that the members will attend the sessions regularly,
and observe agency rules.
The size of the group is the other aspect of group com position that should be
given careful attention by the worker. There is no hard-and-fast rule about
what will be a "right size" group. The purpose of the group is a good general
guide for deciding on the number of members appropriate for a group For
example, a treatment-oriented group that uses mainly discussion for its activity
should probably not go beyond seven so as to allow for a more intensive but
confidential sharing of personal matters, while a task group of 15 members who
have a variety of talents and skills will greatly facilitate task completion. Note,
the use of odd numbers seven and fifteen. This is a common practice in work
with groups, usually because it is helpful when there is a need to break the tie
when the group is divided on an issue and must take a vote to resolve it. Sue,
Henry contends that a group that becomes too large (eg 20 persons) cannot
accomplish its task effectively because of the sheer burden of trying to keep
all the other members in mind, and a group that is too small (fewer than four
persons) may not have enough resources within it to be able to carry out its
work. She therefore suggests keeping the group size between these two
numbers, guided by the purpose of the group?
2. Group Formation
Group formation is the process of getting a group organized so that it can start
to function and move toward the attainment of its planned goals. Generally,
group composition precedes group formation, except in the case of when the
line between the two is not very clear because group open groups members
"come and go" at different times. However, even in the case of closed groups
when the membership is the same from the start until the termination of the
helping relationship, the worker may find that some changes in the
composition of the group may still have to be done for certain reasons. A
member may decide to discontinue after a few sessions and his replacement

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joins the group, or, after observing a particular member's behavior or actions
the worker is convinced that the member is more suited for another group, and
another person should be given the opportunity to take his/her place.
Whatever is the reason, the worker should avoid changing the composition of
a closed group especially after the group goal-setting process has taken place
and certain interactional processes have not only been initiated but have
started to stabilize.
A common practice during the organizational or group formation meeting is
to conduct one or two appropriate "unfreezing" or getting to-know-you
exercises which the worker should prepare before coming to the meeting. This
may be followed by a review of the agency's overall goal or mission, its purpose
for the group program, and the worker's role in relation to it. The worker should
encourage, questions from the members and, if questions are not asked, he
should move into a discussion of the other matters that are in his written or
mental agenda for the meeting.
During group formation, the group should discuss and agree on the following
important matters:
a. Common group concern/problem. From the pre-group formation activities
it is presumed that the worker has obtained information about the individual
member's backgrounds, as well as their interests, concerns and problems.
Therefore, he already has at least some idea as to what common concerns(s)
or problem(s) will need to be addressed through the guided group experience.
In groups that are being used as means for effecting change in individual
members, the latter are made aware that they are together because it is
believed that they can be served through the same group. During the group
formation stage, therefore, the worker has to engage the members in a
discussion of their individual concerns and problems, using his best judgment
as to how far the sharing should go, and using his skill in setting limits, when
appropriate. In addition, he has to provide the group with the needed focus,
that is, for the members to identify common or related problems of social
functioning which will be worked on through the group, This also means helping
the members discuss the factors which relate to their role performance
problems, the resources they have, and those that they still need in relation to
their problems. Clarity about these things facilitate group formation.
b. Norms and rules. During the period of group formation, the worker is
expected to guide the group towards an agreement on rules and standards
of behavior in the group. If the members do not raise the matter then the
worker should be the one to initiate discussion on the subject. The discussion
should, include rules about con- duct during group sessions (eg, no verbal or
physical violence, allowing every member to freely express his opinions,
listening to whoever is talking), and outside of the sessions but relating to the
group (eg, not sharing confidential information with non-members). Rules
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regarding attendance, punctuality, and tasks assigned are usually also taken
up. The group members realize the importance of abiding by these
expectations if the worker tells them that he will himself observe them.
c. Schedule and venue of group sessions. The worker should discuss and agree
with the group on the schedule of the group sessions. Most social work groups
meet for one-and-a-half or two hours on a weekly basis, usually on the same
designated day of the week for easy recall. However, there are very short-term
groups or groups whose concerns are of such a nature that more frequent
meetings are necessary. However, more than twice-a-week sessions may
already pose some difficulty for the worker as he will need time for preparation,
recordings, marginal interviews, etc. or for the members who may be working,
schooling, have transportation problems, etc. If the holding of sessions in the
agency premises is optional, the group should agree on a place that is most
convenient for the members. The worker should also give the group some idea
as to how long group life will last for the entire group (if it is a closed group), or
how long group membership will be for individual members (if it is an open
group). This is important as it prepares the members for the reality of termination
and minimizes resistance or problems that may develop in relation to this phase
in the helping process.
d. Group Goals. Goals are crucial to all social work practice. Goals provide
direction to all activities, including worker interventions, decisions and actions.
Assessments of success are made on the basis of goals that have been
mutually agreed on. Without clearly specified goals, the group can drift
aimlessly and soon lose their attraction to their members. One common source
of frustration among social workers engaged in group work is that of dwindling
or poor member attendance in group sessions, often due to inadequate goal-
formulation. Social work practice literature reveals the use of different
terminologies goals, ends, purposes, objectives and foci, but all affirm the
importance of goal-formulation. Apparently, goal-setting depends on each
author's theoretical approach to group work. Vinter, for example, conceives
of the worker as an expert who uses the group as a means and context for
change in order to achieve her goals for the individual members. Whichever
approach the practitioner follows, however, it is important to re- cognize that
the individual members as well as the worker have their own goals. These may
not necessarily be the same as what the group as a system defines as its goals,
but there should be no contradiction among these different goal perspectives.
Schopler and Galinsky analyze goal formulation from the interrelations among
client perspectives, worker perspectives, and group system goals. I agree with
their formulation for I believe that goal-setting is a process that should involve
both clients and worker who have their respective motivations for their
involvement in the group. Let me now present these three perspectives:

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 1) Members' perspective. The members of a group have their own views
about the group. These relate to their perceptions of why the group exists, as
well as their reasons and motivations for membership. The members'
perspective about the group can be analyzed in terms of the following:
a. the members' understanding of the purpose of the group, ie, why the
agency is providing the service;
b. the members' individual needs, motivations or purposes for membership;
and
c. the composite of the members' individual purposes for membership, the
"common ground" that the group defines as the reason for their coming
together, ie, the purposes of the group.
2) Worker's perspective. The worker's own reasons for the group's existence can
be analyzed in terms of the following: the agency's societal purpose and its
purpose for initiating a group program; b. the worker's goals for the individual
members based on his assessment of their individual needs or concerns that

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can be met through group membership; and c. the worker's goals for the
group as a whole (which consist of the general goal he has for all the groups
he works with, i.e., the enhancement of the group's social functioning, and his
specific goals for a particular group, ie, the composite of goals based on his
goals for the individual members of the group, which goals he expects will be
served simultaneously through the group experience). The following is an
illustration of goals from the two preceding perspectives, the Clients' (Individual
purposes and Group purposes), and the Worker's (Agency purpose for the
group program, Worker's individual goals and Worker's goals for the group, ie,
general goals and spe- cific goals).
The first, second, and third columns do not really have to be written down
(although the worker may want to note them down to serve as her
reference/reminder). However, these should be discussed/reviewed during
the group formation stage so that the members are clear about why they are
in the group. The fourth column is important for this is part of individual-focused
planning. For treatment or therapy groups, this should be a de- tailed
statement, but for non-treatment groups there should also be at least
brief/simple statements of what the worker hopes to achieve for each
member. The last two columns should be made known to the group. Note that
the second and the last column are in harmony. If these are discussed carefully
during group formation, the group and the worker can agree on the group
(system) goals, which they can all commit to pursue. Such group goals will be
like a compass that will guide all their efforts and activities in and outside the
group.
Group-goal setting is not difficult. It is even enjoy- able once the worker
develops the habit of doing it. It is of crucial importance in group work practice
and there- fore deserves time and attention from the group's social worker.
3) Group System perspective. Group Goals
While the worker and the group members usually enter a group with different
goal perspectives, they both need to have an initial common ground to guide
the group system. This common ground is their shared goal. Schopler and
Galinsky refer to these as "group system goals." I shall henceforth refer to these
as group goals which are the product of a worker-group interaction process,
ie, those goals which the worker and the group have agreed to accomplish.
Group goals are conceived as desirable or preferred end states for the group
as an entity. They serve as basis for all worker and group action planning. The
initial goal set by the group is usually sufficient to guide its direction. However,
these goals may be refined because of processes and events that occur within
the group and maybe outside of it.
The group goals serve not only to guide the group's direction but also, which is
just as important, as basis for assessing the accomplishments of the group.
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Therefore, group goals should be put in writing. They should not be left to the
worker's gift of memory and consequently, the risk of its loss. Like other aspects
of his work with the group, proper documentation of group goals also facilitate
the group's transfer to another worker should this become necessary.
Furthermore, like all other social work recordings, such documentation serve
social work teaching and research purposes.
The determination of group goals is not an event, but a process that involves
two phases- exploration and bargaining.
Exploration is when the worker and the group members discuss areas of mutual
concern, consider different means to pursue these concerns, sort out their
differences, and incorporate individual interests into common group-oriented
goals. The worker performs a key role in facilitating the exploration process. He
has to provide an opportunity for members to present their views relating to
the group goals and to help the group accept and commit itself to these goals.
Bargaining involves agreeing on concerns or issues confronting the group.
Even if the worker had given much care to group composition and the
members' needs and concerns are compatible, disagreements among the
members as well as between him and the group may still occur. There can be
disagreements about what goals to select, the priorities that should be
pursued, and the most appropriate means for doing this. This is where
bargaining comes in. The process involves agreeing on concerns or issues
confronting the group.
Schopler and Galinsky underscore the importance of an open discussion in the
group so that decisions made are acceptable to a large number, possibly, to
a majority of the group members. The exchange that takes place leads some
of the members to re-think and with- draw certain goals that may not be
important.
It is also understandable for members to differ in their commitment to group
goals. One member may see clearly that the group goals will benefit him, while
another may have some reservations about this. A member may be confident
that the group can achieve the goals while another may have doubts.
However, even if members differ in their commitment to group goals, it is
important for the worker to ask all the members to express openly some degree
of commitment to work toward these goals.15 The other members can later
provide some pressure on the uncommitted member to go along with the
majority, or the worker can use certain group processes to influence this
member. The continuing process of evaluating and re-evaluating group goals
will allow for an accommodation of other goals that were not included earlier.
The worker can also make use of his own professional self to facilitate the
selection of group goals. He has, after all, certain powers within his command
which can be used to group’s advantage.
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Just like individual goals, group goals must be formulated in clear, specific and
realistic terms. In the Philippines, many social agencies use the acronym
“SMART” as a guide to goal-setting: Specific, Measurable, Attainable, Realistic,
and Time-bound. This can also be applied in work with groups.
PROGRAM MEDIA
Refers to the activities, verbal or non-verbal, which the group engages
for the purpose of achieving its goals. It is very important aspect of planning
and is usually chosen with the guidance of the worker. An outline of the
program media to be used for a group is a desirable output of planning stage
of the helping process with allowance for revisions later. Program media are
utilized in order to influence the behavior of individual members and the group
as a whole. In the Philippines, social group workers are known to have first used
program media in their work in what were then primarily leisure-time,
recreational agencies like the YWCA and YMCA. Unfortunately, their use of
games, arts and crafts, camping, music and dramatic has created the
perception that these activities are used as ends in themselves. This perception
often results in the thinking that group work is "lightweight and lacking
intellectual content."
Today, our social workers are utilizing a great variety of program media
appropriate for a particular group. Group discussions, role-play, group
dynamics exercises, play activities, film showing, resource persons, field trips,
creative literature, values exercises, etc. are used in addition to those that
have been mentioned earlier. These are being used in the social agencies that
offer the group mode of service delivery. Program media is an essential tool
which can be used to serve a social worker's different objectives. The social
worker who wants to assess the needs and interests of the group members can
introduce media that will help him understand them better. The social worker
who wants to "treat" members suffering from feelings of rejection and poor self-
esteem can utilize program activities that will promote feelings of acceptance
and belonging as well as provide support and recognition.
USES OF PROGRAM MEDIA
There are more specific uses of program media. When selected with care to
match the characteristics, needs, interests and capacities of the members,
program media can:
1) Modify or change attitudes and behavior
2) Promote individual values such as emotional and intellectual growth
3) Influence group climate
4) Promote group interaction

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5) Enhance/enrich group content
6) Promote desired group values, and
7) Facilitate the beginning, middle and ending stages of group life.
SELECTION OF PROGRAM MEDIA
The choice of program media is not made only on the basis of the group's
favorite activities or the worker's previous positive experiences with a particular
medium. The following factors are taken into consideration in the selection of
program media:
1. Goals for the group
2. Members' objectives for joining the group
3. Appropriateness in terms of time and space requirements
4. Age of group members
5. Emotional and social characteristics of the members
6. Cultural and ethnic background of the members
7. Physical characteristics of the members
8. Mood of the group
9. Availability of materials or resources
10. Worker's skills and capacities
It seems appropriate to say something about the use of group dynamics
exercises in social work with groups. Many social workers in the field refer to this
simply as "G.D." "G.D." exercises are usually structured group learning activities
that are used for specific objectives like developing self-understanding,
sensitivity to the feelings of others, There are limits to their use, and while social
workers can use them, they are just one kind of program media. Social workers
need not use "G.D." exercises at all if they have no relevance to a particular
group's goals. The selection and use of appropriate program media is one of
the social worker's most important skills when working with groups, a skill that
involves imagination and resourcefulness, among other things.
In the Philippines, many social agencies that offer group programs also offer a
"program package" consisting of agency pre-planned and usually pre-
structured activities perceived as responsive to common group concerns or
problems. This is practiced usually by agencies with a developmental thrust
and which have a "program package" that targets mainly poverty-stricken
clients. These clients' needs and problems are usually established through
scientific studies. While there is nothing wrong with such a practice, it is

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important to remember that social workers are not supposed to impose even
their best ideas or plans on people. The principle of participation should always
be a guide in the planning of a group's program of activities.
OTHER GOAL-RELATED ACTIVITIES
Besides the activities that are planned for the group meetings, there are
usually other activities relating to goals that have to be undertaken. Recall that
in the discussion of individual focused assessment and planning, it was pointed
out that there has to be an agreement between the worker and the
prospective group member as to what concern or problem of the latter will be
addressed and, in relation to this, what goals and plans will be pursued through
group membership. However, even though a group is composed of members
with very similar problems on the basis of which group goals are defined, some
of the goal- related plans for individual members may have to be attended to
outside of the group sessions. This would include plans that require intervention
involving other agency staff, family members, the school, or certain sectors of
the community like the police or town officials. The extent of extragroup
activities that the worker will undertake may be dictated by the particular
theoretical approach being applied (eg, the Remedial Approach requires it
as a means of influence while in the Developmental Approach it is not
considered necessary (see Chapter VI). Agency realities in our country like
heavy workloads and shortage of staff are usually cited as the reasons for
group practitioners' inability to implement extragroup action plans even when
these are deemed necessary.
Extragroup activities and interventions that have to performed by the
whether for the whole group, or for individual members should be clearly
specified and presented separately from the activities that will be under- taken
with the group-in-session.
IV. PLAN IMPLEMENTATION
Plan implementation refers to all activities, worker intervention and group
action which the group system directs toward the achievement of individual
and group goals.
Werner Boehm states that the concern at this stage is to render all the specific
and interrelated services appropriate to the problem situation in the light of the
assessment and planning that have taken place. The worker is therefore faced
with the challenge of putting into operation his professional capability of not
only 'deciding what to do" but also of "doing the decided." If assessment and
action planning were done on an individual as well as on a group level, then
plan implementation will also have to be undertaken on these two levels. This
means that the worker's tasks and activities are not limited to those which are
group-oriented, ie, those which you do with or for the group. They would also
include tasks and activities that relate to particular group members. The

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individual assessments or diagnostic statements should provide the worker with
the direction he needs in this regard.
ASPECTS OF PLAN IMPLEMENTATION
The following are the three aspects of plan implementation, regardless of
whether the action the worker is taking is on at group or on an individual
member level;
1. Interventive roles of the worker. The fact that there are different helping
approaches or models which the worker can choose from in his work with
groups means that he has to be prepared to perform different roles as
necessary therapist or counselor, crisis intervenor, mobilizer, educator,
mediator, resource person, enabler, and advocate. In fact, even if the worker's
agency addresses only a particular clientele (eg, normal/able-bodied but
economically disadvantaged) and he finds that his work with such clientele
engages him mainly in one theoretical or helping approach (g, see
Developmental Approach in the last chapter) he will still find himself having to
employ different interventive roles. In our setting, especially, hardly will one find
a client or group of clients whose concern or problem requires only one
interventive role from the practitioner. Gitterman and Germain caution social
workers about the need to take into account the consequences and
implication of their action on clients, regardless of the interventive strategies
being used, as "clients can be hurt by professionals with benign intentions but
dysfunctional intervention." They therefore support the concept of full client
involvement in the helping process, because it is by this means that greater
competence is developed in negotiating the environment and in exerting
control over his life tasks.
2. Resources and services to be used. The need to utilize concrete community
resources and services will always be an important aspect of social work case
management especially in our country where a large majority of the social
work clientele are poor. Social workers therefore should know these resources
what and where they are, and how they can be effectively utilized when they
are needed. Skillful but ethical use of one's social networks (n, key figures in the
environment that can assist with problem-solving, including one's friends and
peers) is called for, whether in tapping existing resources or creating non-
existing ones.
3. Problems and constraints. Our agency social workers are usually faced with
many different problems and constraints which affect their work with clients.
Among these are heavy workloads, lack of funds, inadequate facilities and
equipment, shortage of trained staff, and inadequate supervision. This situation
is not likely to change much in the foreseeable future given the country's socio-
economic realities. However, these problems are not beyond solution.

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Initiative, resourcefulness, creativity, enthusiasm, and dedication can make a
big difference.
WORKER STANCES DURING THE HELPING PROCESS
In relation to worker intervention roles, Margaret Hartford presents
different stances which the worker may take when working with groups from
the time of group formation and onwards. They can be analyzed separately,
although they also, in fact, "blend on the edges." Hartford contends that the
worker may shift from one stance to another during one session, or in different
sessions, my own experience as well as observation of the conduct of group
sessions by other practitioners confirms this contention. The group's practitioner
stances can be the following:
1. The Direct Stance. The worker assumes the major responsibility for
organizing and convening the group, as well as in guiding the members, the
group process, the discussion, and the flow of ideas and emotion. He plays a
directive role in interventions or activities to enhance problem-solving,
including one's friends and peers) is called for, whether in tapping existing
resources or creating non-existing ones.
2. The Facilitating Stance. In this stance, the worker sees himself as a
member of the group, although one with special expertise and different roles
and functions from the group members. He takes this stance when the
membership has experience in group participation, has social capability, and
some independent strength. Other considerations that may call for facilitative
stance are the members’ ages and state of health, and the level of group
development.
In taking this stance in relation to the group, the worker uses his
professional skills to encourage individual members to assume responsibility in
the group, and with the group and each other. Other specific requirements
from him are that he:
a) promotes the exchange of ideas, affect, and interpretation among
members;
b) participates with the group members so that his contribution may be
considered along with others, and which he knows carries different weight
because he is in a professional role;
c) provides reinforcement of and support to leadership and patterns of
relationships;
d) clarifies and focuses problems;
e) assesses group processes and content, and encourages members to
do likewise.

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 3. The Permissive Stance. This stance assumes that if correct group
composition has been made, and the purpose and focus of the group is clear,
the will group emerge because the participants have come together. It is
indicated for the highly socially competent, strongly motivated group
members who know why they have convened, and are experienced in group
participation. It may be used with task-achievement-oriented groups which
need only minimum guidance from the worker. He does not totally abdicate
his responsibility for his social work function, but uses his expertise in human
relations and group behavior, and link with the agency to help the group
appropriate. He also uses non-verbal interventions, and is alert to internal
struggles that may be taking place in the group.
4. The Flexible Stance. This stance simply means that the worker will
change his stance in the course of a session or over a series of sessions, in
response to the following: his assessment of the progress of the group toward
its objective; the needs, capacities, and behavior of members; the level of
group functioning; and the problems of content or affect being considered in
the group. Each of the stances earlier described may be appropriate in
specific situations so that the worker should be prepared to "shift gears."
Hartford's conception of these different stances should be of great help
in guiding practitioners who are usually required to perform different roles when
working with groups. The term "facilitator" has become a very popular one, on
many occasions even used in place of "social worker" when the latter is
engaged in work with groups. That "facilitator" is just a role - one of many that
a social worker may assume in response to specific situations should be clear,
and we should be careful not to use the term as an all-embracing title for all
persons (including social workers) engaged in work with groups because they
may not actually be doing "facilitator" work.
V. EVALUATION, TERMINATION, GROUP WORK RECORDINGS AND
SUPERVISION
EVALUATION
In relation to social work with groups can mean any of the following. 1)
regular or periodic evaluation which means the on-going evaluation of actions
taken during the period of plan implementation which provides feedback and
enables the worker and client to consider the progress in their efforts and to
modify these efforts if necessary; and 2) terminal evaluation which follows
implementation and is done primarily to assess the outcome of the helping
efforts (on the basis of goals that were defined earlier) so that the next step,
the termination of the helping relationship can be effected.
The systematic evaluation of the outcome(s) of the helping efforts is very
important because the worker has a responsibility to the client system whom
he engaged in a helping transaction. He is also accountable to the agency

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that employs him and to the public that provides the sanctions for the practice
of social work.
In social work with groups, evaluation is done on two levels on the level of the
individual member, and on the level of the group as a whole. Separate
statements of the expected ends or outcomes of the helping transaction for
the individual and for the group are expected to have been formulated to
make this possible. It was pointed out earlier that the worker has to write at
least a short case assessment (how comprehensive this is will depend on the
type of group service being provided) on each group member. This statement,
which contains the definition of the client's concern or problem-to-be solved
and the goals and action plans to be pursued is the essential guide to plan
implementation, as well as the periodic and terminal evaluation the worker
must do in relation to the individual member. The need for clearly stated group
(system) goals during the group formation phase was also emphasized. These
group goals guide not only plan implementation but also the group-level
periodic and terminal evaluation that have to be done.
When doing periodic evaluations of the individual members and the group,
the worker's concern is to assess or monitor their progress or movement based
on the goals that had been formulated and to modify, these goals when
necessary. When doing terminal evaluations because the group's life is coming
to an end the worker's main concern is to assess actual goal achievement.

RECORDS AS EVALUATION TOOLS

Many social workers are "allergic" to writing records. This is one of the
problems in professional social work practice in the country.
Social work records have important uses and one of these is in relation to
evaluation. In group work practice, the worker cannot just verbally claim to
have been successful in achieving his goals for a client group or claim that a
group member’s attitudes, values or behaviors have changed or improved on
account of his/her group participation. These claims have to be supported by
his records of what gains have been achieved and how. This why individual
case assessments (no matter how brief) and statements of the group’s concern
or problem and its goals as well as action plans are important – they inform the
worker where clients were before he started with his intervention and makes it
possible for him to assess what progress has been or has not been made at the
time of his evaluation. Between the two periods, it is the worker’s process or
summary recordings of group sessions, as well as records of individual client
and collateral interviews that may help him analyze and understand the
changes that have taken place.

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 The following are the records that group workers usually write/keep. If
done, these records will facilitate the evaluation of one’s social work practice
with groups.
1. Pre-group/intake interview records
2. Individual case assessments (identifying data, problem definition,
goals and actions/interventive plans)
3. Statements of group concerns/problems, group goals and plans (for
group-in-session and extragroup including environmental interventions, if any)
4. Attendance records
5. Process or summary recordings of group sessions
6. Records of marginal interviews (i.e. interviews with members outside
group sessions)
7. Records of collateral interviews/interviews with "significant others"
8. Evaluation records (ie., individuals, group)
9. Transfer/closing summaries
While the long list might provoke a negative initial reaction, more careful
consideration of what these records involve will likely dispel resistance to them.
#1 involves the entry of information on agency intake record forms, an easy
enough task for most practitioners; #2 and #3 are done at the beginning stage
of one's helping relationship and #4 is just checking attendance which should
be easy if one devises a system. #5 is very important in all social work practice
so that one must have the right attitude about it. The worker owes it to his
clients, his agency, the public and to himself for all his efforts, to have some
account of what is happening in the course of the helping relationship. Without
such records, the worker will not be able to assess whether he and the group
are on the right course and if not, why and what ought to be done; without
such records it will be difficult to explain any individual or group goal-related
gains or failures especially at the time of terminal evaluation. #6 and #7 can
be just one paragraph entries on the main points taken up in these inter- views
as long as they are adequate for the worker's purposes. #8 are needed in order
to show the effectiveness of one's interventive efforts, and/or to explain why
certain helping efforts failed. #9 involves the preparation of a brief but clear
statement describing what has happened or what have been achieved as to
warrant group termination, or, in case of a change in the group's worker, a
statement describing what have been achieved, and what else need to be
done in order to guide the new worker.

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TERMINATION
Termination in the Helping Process
Termination is the final step in the helping process. It should be
undertaken with the same care given to the earlier stages.
Termination is done when the goals for the client have been substantially
achieved and there is no reason to expect that any more significant gains can
be achieved by extending the helping relationship.
The helping relationship may also be discontinued if after a reasonable period
of time there has been very little progress or movement toward the
achievement of the agreed-on goals for the individual and/or the group and
the prospect of change in the situation is not held likely. After having done his
best and it is clear that he is not getting there, then the worker has to end the
helping relationship.
When the mode of helping is through a group, termination may be effected in
different ways, depending on the type of group one is working with. For
example, in the case of a leadership or a skills-training group that has clearly
defined to be accomplished a set time frame, members are usually admitted
into the group and are terminated at the same time. These are usually "closed
groups" because once started, new members are not allowed to join. You must
be familiar with numerous "modular" group programs that abound in the
country today which pursue what popularly called a "developmental
orientation. Group membership in these programs are frequently terminated
smoothly with the members some- times receiving certificates of participation.
In the case of a group program that has a treatment orientation and has a
longer time frame, the picture would be different. Generally, membership in
such a group is terminated when the goals for the individual members have
been achieved. Since goal-achievement is seldom effected simultaneously for
all group members, what happens is that membership is terminated sooner for
some, and later for others. This is easy to understand if we think of a hospital
where people go for medical treatment. Patients may get admitted on the
same day, but do not all get discharged at the same time. As some patients
get discharged, new patients are also admitted for treatment. In the case of
a treatment-oriented group program, new clients may replace those who are
terminated, with the social worker using his "waiting list" (if he has one ready)
to choose the replacements, or recruiting new members. This happens when
one is working with an open group (ie, one that permits additional members to
join after the group has started).
It is possible to have a treatment-group that is "closed," i.e., no new members
are allowed to join after the group has been started. However, the worker
should recognize the possible adverse effects of a dwindling group size on

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account of the termination of individual members as goals for them are
achieved. One way to avoid this situation is to exercise care so that there is
some homogeneity in group composition. This means that the worker should
select members whose problems are of such a nature that they are not likely
to progress at a markedly different pace from each other, and termination will
therefore take place at more or less the same time.
Termination of group membership, whether done simultaneously for all
members at one time, or individually, one at a time, calls for the exercise of
professional judgment, as do all other activities in the helping process.
Hartford describes the following parts of the termination phase:
1. Pretermination
This is the period of preparation for the actual ending which can include the
acknowledgment that the group is about to end. In the case of long-term
groups, particularly treatment-oriented groups, a period of one to two months
of preparation would be ideal. This helps the group or the individual member
to get used to the idea that the end to the group's life or membership in it is
about to come (resistance is minimized if the worker discusses the reality of
termination during the initial or group formation stage).
When it is only one member that is being terminated, the worker's preparation
of that member will involve not just informing the group about it (and briefly
sharing the reason especially if it is a positive one) but also discussing it with the
member outside of the group session.
In the case of a whole group that is being terminated, this is the best time for
working through the difficulties some members may feel about ending,
reviewing accomplishments and failures, and planning some closing activity.
The worker can also mention some post-termination plans and elicit ideas from
the group.
Group members should be given the chance to talk about the ending of their
group experience. Their feelings about it may be positive. They may feel proud
about the tasks they have accomplished, happy about the friendships they
have made and joyful about the pleasant memories of activities they have
participated in, relieved about concerns or problems that have been resolved,
or confident about life after the group. Some members may resist or have
negative feelings that they may want to express or resolve in relation to other
members, the group itself, or even the worker. Some negative feelings may
relate to the impending separation of the group or from the group. These may
include feelings of rejection, anxiety, insecurity, sadness, and abandonment.
Whatever it is that the members feel about termination, Sue Henry points out
that the central theme of this stage is that of mourning and time has to be
provided to allow the handling of people's feelings.

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2. Termination
This is the recognized ending which means the last actual session of the group
or of the individual whose membership is being terminated. Whatever closing
activity or program has been planned is implemented at this time. If we are to
adhere to the principle of participation, then the planning and
implementation of the group's closing activity should be a joint effort between
the worker and the group. However, one frequently finds social group workers
who make the group assume the full responsibility for planning, preparing and
conducting the group's closing activity. The worker is present but stays in the
background and gets up only to give his closing remarks. He acts like a guest
instead of a key person who must now facilitate the concluding activity and
bring it to a satisfying end.
3. Post-termination
This consists of the plan for follow-up which can be done on either an individual
or on a group basis.
After a group has been terminated, some members continue to hang around
the agency which is an indication of a number of things. Members may have
developed an attachment to the worker and/or the group, and are unable to
accept that group life has ended. Also, there might be a felt need to continue
membership. The worker can respond in different ways whichever she deems
appropriate. Periodic follow-up meetings could be arranged for as long as
these meetings are necessary. The group could continue as a friendship group
and the worker could be available for consultations. Arrangements could be
made, too, to connect them to someone in the community who can act as
their adviser. In community work, social workers often make it a point to
develop indigenous group leaders who can be depended on to see to the
group's continuing even after the worker has terminated their helping
relationship. Treatment groups, for their part, can be helped not only through
periodic follow-up, usually on an individual basis, but sometimes by being
assisted to continue as a "self-help" group that will still meet regularly so that
the members can provide support to each other. The worker can share with
them his knowledge of how self-help groups operate and guide them in
adapting some of the procedures and techniques used by these groups.
Finally, in our setting, former clients are increasingly being utilized as a resource.
Group members can be motivated to act as agency volunteers if they meet
the requirements.
A group that is being terminated because its goals have been achieved may
be assisted or guided to move on to helping others in their community. When
this happens such as in the case of a treatment-oriented group, then the group
shall have stopped being a medium and target for change and is now about
to become an agent of change.
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It is possible for the worker and the group to continue to have a helping
relationship after the goals for the group have been achieved. However, this
will be because there is another or new concern or problem and the helping
process will have to start all over again. However, sometimes the group only
needs some initial guidance but can rely on itself such as in terms of helping
others or in effecting change in its larger environment. If this is the case, the
worker should know when he should leave, and happily so, because the group
can now be on its own.

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 Social Work
Practice III and
Field Instruction
III

(Working w/ Communities)

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I. HISTORICAL DEVELOPMENT OF SOCIAL WORK IN WORKING WITH
COMMUNITIES

A. Western Beginnings
➢ Elizabethan Poor Law of 1991
- Formalized the practice of relief for the poor in England and Wales
which refined the country’s Old Poor Law of 1597.
- Could be described as “parochial” since the administrative unit of
the law system were parishes.

➢ The Charity Organization and the Settlement Houses Period (1870-

1917)
- Charity Organization Society (COS) was founded by Octavia Hill
and Helen Bosanquet in 1869 in London.
- Dealt the effects of poverty with limited government interventions.

➢ Charity Organization in the U.S.

- Reached Buffalo, NY in 1877 through an English priest.
- Reached 25 cities in America in 6 years of operation.
- Charity Organization of New York City was founded in 1882 by
Josephine Shaw Lowell.

➢ The English Settlement Movement (1882)

- Peaking with the Toynbee Hall in the East End in London in 1884.
- Housed young men from Oxford and Cambridge who were
assigned to undertake social work in the deprived area of East
End.

➢ The American Settlement Movement

- Jane Addams and Ellen Gates-Starr established the Hull House in
1889

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 - It housed immigrants and provided community for women.
- The study focused on how to engage the residents and citizens of
the neighborhood in problem-solving in the community.

➢ The Rise of Federation (1917-1935)

- 1917 saw the rise and growth of community chests and councils in
America.
- Started with war chests, and ended with the enactment of the
Social Security Act.
- Established after World War in 1918.

➢ American Association for Community Organization (AACO)

- Established in 1918.
- The national agency for chests and councils which later on was
named as Community Chests and Council (CCC) of America.

➢ American Association for Social Workers

- Organized in 1921.
- The first general organization set-up to train social workers and
other volunteers who specialized in community education.
- Set the stage for the development of more public welfare
programs in 1935.

➢ Period of Expansion and Professional Development (1935-Present)

- The National Conference of Social Work undertook a study on
community organization in 1938-1939, and publicized the
“Generic Community Welfare
Welfare Organization.”
- Many councils and services came in to attend wartime needs
during WWII (1939-1945).

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 - United Services Organization (USO) is the union of many forces
that serves the needs of the military personnel and the
communities in defense.
- “Community Organization for Social Welfare” was published by
Wayne McMillen
- National Conference of Social Work organized the Association of
the study of Community Organization to improve the professional
practice of CO in the Social Welfare area.
- ASCO merged with other organizations to form National
Association of Social Workers in 1945.
- Community Organization has been treated and acknowledged
as a vital and integral aspect of social work education in the
American Association of Schools of Social Work Education.

➢ UK Historical Development
The First Phase (1880-1920)
- Community work was entirely seen as a process of heling the
individuals to enhance their social adjustments (Joseph & Dash,
2013).
The Second Phase (1920-1950)
- Emergence of new ways of dealing with social issues and social
problems. The community organization was closely associated
with central and state government programs for urban
development.
- The important development in this period was its association with
community association movement (Joseph & Dash, 2013).
The Third Phase (1950-onwards)
- A period of professional development of social work.
- Paved the way for finding in the analysis of the social problems are
shortcomings of the systems (Joseph & Dash, 2013).
The Fourth Phase

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 - Period of radical social movement
- Increased involvement of community action and conflicts
between community and authority.

B. Development of CO in the Philippines

➢ Filipino Cultural History
- People were organized in a close-knit and self-reliant communities
along rivers and coastal areas.
- Small communities are composed of 30 to 100 households with
roughly a population of 100 to 500 which were called Balangay.
- Communities organize themselves to solve problems and attain
common goals.
- Unity among the various balangay against colonial rule can be
considered as the early beginnings of collective movement.
- In the course of our history, the Filipino nation was characterized
by the masses’ unrelenting struggle for freedom from foreign
domination and for social justice.
- A distinct pattern of organizing and mobilizing that is evident in the
history of our country: a) People’s movement for genuine freedom
and social emancipation.
- Bases of the early organizing and collective action: a) Anchored
on the situation of the community and society in general
(Oppression and injustice under the Spanish rule); b) People were
easily convinced to join the movement because they could easily
identify themselves with the leader who suffered the same way as
them.

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➢ American Occupation and Japanese Invasion
- General Malvar mobilized the peasants and workers by relating
national issues with their daily lives.
- Focal point of the struggle was the heavy unfair system of sharing
between landlords and tenants.
- When Japanese occupation occurred, the People of Central
Luzon met the Japanese with greater unity.

➢ After the World War II

- Devastation intensified the need for relief welfare and
reconstruction.
- Welfare work continued while the Catholic church-based
activities expanded. The government passed into law the creation
of Presidential Arm for Community Development (PACD).
- The rallying clamor was community development: sanitation,
livelihood, backyard gardening, etc.

➢ City Slum Dwellers

- In 1970, the biggest colony of slum in the country was the Tondo
Foreshore Land.
- Was scheduled to be demolished to accommodate the building
of an international airport spearheaded by IMF and World Bank.
- The urban poor was mobilized and resulted to Zone One Tondo
Organization (ZOTO) on October 20, 1970.
- Currently, ZOTO is a federation of 182 urban poor organizations in
relocation sites in Metro Manila.

➢ Pre-Martial Law Years

- Around 1965, the Philippine’s social situation was rapidly
deteriorating.

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 - There was a resurgence of nationalism and student activism and
the groundswell of public outrage that resulted to a series of
protests and demonstrations against the government.
- This culminated the First Quarter Storm and paved the way for
grassroots organizing.

➢ Martial Law Years

- Student activism intensified in the 1970s that gave rise to the
organizations such as Kabataang Makabayan, where they stage
protests that resulted in damages to persons and property.
- This prompted then Marcos to declare Martial Law in 1972 to quell
the communist-led organizations whose main goal is to establish a
communist state.
- All progressive groups were subject to repression, while some
individuals were arrested and eliminated.
- All attempts to organize were brought to halt while others resumed
under the auspices of the church.
- The Church played a major role in protecting and later on
mobilizing urban poor and took the lead in organizing above
ground until 1970s.
- PEACE, CLC, NASSA created by CBCP, BCC-CO were established.

➢ Ninoy Aquino’s Death

- Ninoy Aquino’s assassination widened the opposition resulting to
increased number of organizations forming coalition and
broadened alliances.

➢ EDSA People Power

- In February 22, 1986, a massive mobilization was held in EDSA.
- Led by various political groups, religious groups, military defectors
and militant movement involving ordinary people form the

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 different walks of life in support of the coup led by Fidel V. Ramos
and Juan Ponce Enrile.

➢ Post-EDSA People Power (1990-Present)

- Sustainable Development Programs: to address depletion of vital
resources and the degradation of the environment.
- Community organizing focused on proper utilization and
conservation of resources.
- Community organizing practice focused on addressing sectoral
and welfare issues including drugs, sexual abuse, and domestic
violence.
- Social work practice transitioned from direct provision to
sustainable programs.
- Building of federations and coalitions more prominent.

II. THEORETICAL BASIS OF SOCIAL WORK IN WORKING WITH

COMMUNITIES

A. Two Concepts of Community (Roland Warren)

• Geographic Community – refers to the people in a specific
geographic area as the village, barangay, sitio, district,
municipality, city, province, region, nation, or the world.
• Functional Community – is composed of people who hold
common values, share common functions or express some
common interest such as education, health, livelihood, labor,
welfare or recreation.
B. Definition of Community Organization
Murray Ross: “A process of identifying problems and needs, prioritizing
them, formulating solutions in solving problems/attaining needs and
implementing them through cooperative and collaborative efforts

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 which results to improved capacity in community problem-solving
process and community integration.”

Arthur Dunham: “The process of matching needs with resources and as

a conscious process of social interaction concerned with three types of
objectives which are task goals, process goals, and relationship goals.

• Task goals – are concerned with concrete tasks to be undertaken to

meet specific needs and people’s aspirations or to solve particular
problems.
• Process goals – the process of helping people in a community or
group strengthen their quality of participation, self-direction and
cooperation.

• Relationship goals – are focused in changing a certain type of

relationships and decision-making process in a community by
diffusing power to a wider base.
Perlman and Gurin: “CO as a process of finding solutions to social
problems by redistributing resources, functions, and decision-making
power.”

C. Patterns of relationship in the community

GEMEINSHAFT GESELLSHAFT
More direct and personal More formal or impersonal
Traditional/Conservative More abstract
More significant and meaningful More instrumental or utilitarian
Relationship in a Rural Community Relationship in a Highly
Urbanized Community

D. Philosophy of Community Organization

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 “Acceptance of the right of the community to decide what it wants
rather than having the organizer’s views imposed upon it, belief on the
capacity of the people to find richer and more satisfying ways of living if
they are helped to use the resources within themselves and their
environment which are and could be made available to them.”

III. PHASES IN WORKING WITH COMMUNITIES

A. Five Major Interrelated Phases of the CO Process (The Heart of CO)
1. Pre-Entry (Outside)
- Preliminary Social Investigation (PSI)
2. Entry into the community (Outer Layer)
3. Immersion with the people (Inner Layer)
4. CO Proper (Middle Layer)
• Social analysis
• Spotting and development of potential community
leaders and/or organizers
• Core group formation
• Organizational and program / project development
5. Phase-over (outer layer)
- Deepening Social Investigation (DSI)

B. STEPS OF CO PROCESS
1. Social Preparation/Pre-Entry
a. Area Selection
✓ Depressed areas and presence of low-income groups
✓ Presence of development agencies and other support
institutions providing assistance to the area
✓ Willingness of local groups to link up with organizing
programs
✓ Stable peace and order situation
✓ Accessibility

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 ✓ Geographical location

b. Group Selection
✓ Dialect
✓ Population: Number of target individuals, families,
households
✓ Level of organization (organized vs. unorganized)
✓ Sectoral groupings: women, youth, farmers, etc.
✓ Heterogeneous vs. homogeneous membership
✓ Basis for organizing: common problems and expressed
needs

2. Entry into the Community

✓ Meeting with the local officials
✓ Consultations with the local groups and agencies
✓ Attendance in a barangay assembly
✓ House-to-house visits to key leaders
✓ Formal launching of the program

3. Integration with the people

✓ House-to-house visits
✓ Informal discussions with individual or groups
✓ Attendance in social gatherings

4. Social Investigation/Community Study (With Spot Map)

This will become the basis for identifying and patronizing needs
and problem, as well as, determining appropriate methods and
strategies for organizing work.
• PSI – Preliminary Social Investigation
• DSI – Deepening Social Investigation

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 5. Initial Problem-Solving Planning with Ad Hoc Committees
6. Core Group Formation
7. Training, Ground Working, Mobilization including Project
Development and Management
8. Formalization of the Community-Based Organization
9. Consolidation and Expansion
✓ Join alliances and networks
✓ Keep growing as an organization
✓ Level-off expectations and targets within the organization and
among partner agencies

10. Evaluation
11. Turnover/Phase Out

IV. THEORIES RELATED TO SOCIAL WORK IN WORKING WITH COMMUNITIES

A. Ecological and Systems Theory (Urie Brofenbenner)
A system is defined as a whole consisting of interdependent and
interacting parts, or as a “set of units with relationships among them.”
Systems theory provides social work with a tool for analysis and
organizing data about clients, and offers many options for intervention.
The use of a system model as a conceptual model for practice allows
social workers to focus their attention on the person-situation/
environment interrelatedness, thereby avoiding the tendency to think of
the individual or the society as the cause of problems and therefore, the
primary target of change.

Key Concepts of Systems Theory

• Open System. An open system is the one that is engaged in interchanges

with the environment and therefore continues to grow and change.
• Closed systems do not interact with other systems, neither accepting
inputs from them, not producing outputs for them. They have a quality

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 called entropy, i.e., over time, they tend toward less differentiation of
their parts and toward loss of organization and function.
• Boundaries. Barriers that define a system and distinguish it from other
systems in the environment.
• Homeostasis. The tendency of a system to resist change and maintain
status quo.
• Adaptation. The tendency of a system to make the changes needed to
protect itself and grow to accomplish its goal.
• Reciprocal Transactions. Circular interactions that systems engage in
such that they influence one another.
• Feedback Loop. The process by which systems self-correct based on
reactions from other systems in the environment.
• Equifinality. It suggests a system can take multiple paths as it adapts over
time. A system’s ability to adapt effectively can depend on the
goodness of fit of that system within its environment (Gitterman &
Germain, 2008).
• Microsystem. It is closest to the client. This would include parents, siblings,
peers, and teachers. Understanding the systems that exert the most
influence on a client is essential to social work practice when taking an
ecological systems approach
• Mesosystem. According to Bronfenbrenner (1979), refers to the
relationships or direct interactions among systems in the microsystem.
The mesosystem demonstrates the importance of the interactional
nature of systems.
• Exosystem. Bronfenbrenner (1979) defines the exosystem as occurring
when an interaction between two systems exerts an indirect influence
on another system. Imagine that a supervisor at a social service
organization is being reprimanded by the agency director for not
meeting the agency’s goal regarding how many hours his program
would bill for that month. The supervisor might put pressure on his
supervisees to increase the number of billable hours because of the

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 pressure exerted by his superior. Although the effect is coming from a
higher level, the social workers never had communication with the
agency director about the need to increase billable hours.
• Macrosystem. It is a larger system that influences a client’s life.
• Chronosystem. Bronfenbrenner (1979) refers to the chronosystem as the
events that affect the client. Events such as 911 can affect an entire
society, bringing fear across a larger group of people. Ultimately, the
reactions to such events can lead to policy decisions that are grounded
in fear.
B. Strengths Perspective
The essential idea in taking a strengths-based approach to practice
is that all clients, families, and communities have strengths. Strengths are
internal and external capabilities and resources unique to each person
or group (Mandleco & Perry, 2000). Internal strengths are personal
qualities such as a sense of humor, insight, and flexibility that help people
cope with the challenges they face. External strengths are the resources
outside of each person that also lend support. External strengths may
include extended family, connection to a faith community, or services
available in a client’s local geographic area.

Key Concepts of the Strengths Perspective

• Resilience. The ability to overcome adversity, maintaining or even

sometimes enhancing function.
• Hope. A belief in the possibility of positive outcomes.
• Culture. Beliefs, traditions, and daily activities of a group of people.
• Cultural Identity. Membership or a sense of belonging to a group of
people that informs beliefs, practices, and traditions
• Collaboration. A relationship that equalizes power, supporting shared
decision making.

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C. Task-Centered Model
The task-centered model, the focus of this chapter, emerged from
the problem-solving process. The task-centered model brings with it a
sharper focus on specific assignments or tasks that clients can undertake
and that, when accomplished, lead to problem resolution. This model is
adaptable to social work in a great number of practice settings.
Because it is not a product of any particular theoretical orientation, it is
amenable to use with numerous theoretical frameworks, such as
behaviorism or family systems theory.

D. Conflict Theory
Conflict theory can guide social work on all levels of practice. Social
work macro practice involves recognizing structural barriers that hinder
the opportunities for a group of people. Conflict theory offers an
explanation for this inequity, suggesting people are competing for
scarce resources, which explains why some policies favor certain groups
over others. In addition, this theory acknowledges that those in power
are more likely to support policies that are friendly to their group. Groups
that have been less successful at having political representation are
therefore less likely to have their concerns heard. Social work macro
practice seeks to advocate for groups that are left out of the political
process.
E. Role Theory
The term role refers to the socially expected behavior prescribed for
a person occupying a particular status or position in a social system.
Social norms for a particular position provide guides for attitudes,
feelings, and behavior that are permitted, expected, or prohibited for
the individual in the given role.

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 F. Culture Theory
Culture is defined as “that complex whole which includes
knowledge, belief, art, morals, law, customs, and other capabilities and
habits acquired by a man as a member of his society.”

It is important for a social worker to know that culture is 1) learned; 2)

shared; 3) cumulative; 4) dynamic; 5) diverse; and 6) whole

G. Learning Theory
A basic assumption is that because behavior can be acquired or
learned in the course of an individual’s development, structured
learning situations can be used to develop healthy and eliminate
unhealthy behaviors.
KEY CONCEPTS OF LEARNING THEORY

• Reinforcement. It refers to specific rewards or supports that affect the

strength of the response. A reinforcer is a stimulus which determines the
probability of occurrence of the response which it follows. Reinforcer
can be social responses (praise, approval, rewards, deprivation,
scolding, and other forms of punishment), and artificial responses (gifts,
food, tokens, money). There are two kinds of reinforcers.
a. Positive reinforcers. It tends to increase the frequency of the
response, i.e. the individual learns to react the certain way if he
finds that his response is followed by a gratifying consequence or
reward; rewarded behavior is repeated.
b. Negative reinforcers. It increases the desired response through
introduction or aversive stimuli, i.e. if behavior is followed by a
painful or unpleasant consequence, that behavior will not be
repeated.

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V. MODELS OF SOCIAL WORK IN WORKING WITH COMMUNITIES

1. Community Development
According to Kramer and Specht – this model refers to mobilizing
the people, the victims, the unaffiliated, the unorganized and the
non-participating who are affected by a community condition into
groups and enable them to take action on these social problems and
issues which affect them.

The basic elements of community development by Kenneth Maygood:

1. “The community is approached as a whole.”

2. “Activities undertaken correspond to the basic needs of the
community.” This can be classified as:
✓ Physical
✓ Economic
✓ Social
✓ Psychological
3. “The educational-organizational process moves from an awareness
of the problem to a definition of problems followed by study.”
4. “Community development activities are thought of in long-range
terms.”
5. “Widespread participation and involvement is sought with decision-
making taking place at the lowest level, consistent with the nature of
the problem.”
6. “The resources of both governmental and non-governmental
organizations are utilized.”
7. “Both professional and lay participation are sought in community
development programs.”
8. “The identification, encouragement and training of local leaders is a
central feature of the community development programs.”

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 2. Social Planning
According to Kramer and Specht, this refers to “efforts direct
towards integrating the different action systems of the community
with other systems in the local community and/or with extra
community action systems, efforts aimed at bringing about reforms in
attitudes, policies, and practice of large private and public agencies
including legal, functional, and operating system.

Three levels of action in social planning by John Dickman:

• Societal goals – selecting social goals and setting targets for their
achievement.
• Testing consequences – the application of social values and action
criteria to the assessment of programs undertaken in pursuit of
economic and political goals and the consequences in terms of inter-
group or interpersonal relations of everything from broad economic
development projects to specific redevelopment projects.
• Social programming – planning the more traditional welfare activities
of public and private agencies and the coordination by many
groups.

3. Social Action
It refers to individual or group activity designed to influence a
change in social policy or to lobby for the formulation of needed
policies or social legislations for the benefit and welfare of the people.

As a CO model, social action has the following strategies:

1. Social Brokerage
2. Integrative Mechanisms to Strengthen Organizations
3. Social protests to support social movements

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VI. TOOLS OF ANALYSIS IN COMMUNITY ORGANIZATION
• Stakeholders Analysis – It is an approach for understanding a system
by identifying the key actors or stakeholders and their mutual
relationships in the system and assessing their respective interests and
involvements in that system. Among others, it serves to provide a
foundation and strategy for participation and mobilization of key
stakeholders.
• Gender Analysis – Focuses on understanding and documenting the
differences in gender roles, activities, needs, and opportunities in a
given context.
• Force Field Analysis (Kurt Lewin) – It is a process of identifying the
dimensions (driving forces and restraining forces) of a problem and
determining the strategies for solving it.
• SWOT Analysis – This is a tool for Social Analysis that focuses on the
identification from the dynamic interrelationships between and
among the strengths and weaknesses of the internal environment of
the organization as well as the opportunities and threats posed by
external environment.
• Appreciative planning and action – This is an organizational
development methodology based on Appreciative Inquiry (AI) and
built on searching for the positive, for successes, for what works, as
opposed to problem-oriented focus of most other planning and
development strategies.
• Participatory Rural Appraisal (PRA) – It is also known as Participatory
Learning and Action (PLA). PRA uses (a) visualization that enables
participation regardless of literacy level; and (b) group animation
and exercises to facilitate information sharing analysis and action
among stakeholders.
• Writeshops – It is a method of producing information materials or
publications where the different stakeholders come together and
engage themselves in a process of pooling their resources and

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 knowledge to document a subject of common significance to them
and to the larger society. The subject of documentation may pertain
to field-tested best practices and strategies in the development.
• Participatory Training – This is training that releases energy and
creativity from the people.

VII. THE COMMUNITY ORGANIZER: ROLES, FUNCTIONS, VALUES,

KNOWLEDGE, PRINCIPLES, AND SKILLS

A. Roles of a CO Worker
1. Enabler – enabling the community to engage in establishing
goals, objectives, and setting priorities.
2. Helper – helping the community groups identify their
problems/needs and take effective action on their planned goals
and objectives.
3. Guide – guiding the community groups in the process through
difficulties encountered
4. Initiator – initiating action through education, demonstration, and
other techniques and strategies.
5. Broker – acting as broker between groups, the client community
and outside resources.
6. Advocate – advocating the just cause of any disadvantaged
groups, sector, or community as a whole.
7. Consultant – providing expert knowledge and information to
achieve planned goals and objectives.
8. Intervenor – intervening for and on behalf of the people for their
participation and involvement in the formulation of social welfare
programs, services, and projects intended to benefit or affect
them or when their interest and welfare are in jeopardy.

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 9. Planner – sits as planner for the social welfare/social services sector
in planning bodies as the barangay, municipal, provincial,
regional. and national development councils
10. Researcher – makes research on current problems, needs, and
issues as basis for action-planning.

B. Functions of a CO Worker
1. Fact finding – to secure and maintain adequate factual basis for
sound planning.
2. Program development – to initiate, develop new programs &
services and modify or terminate social welfare programs and
services that had become irrelevant.
3. Establishment of standards – to establish, maintain, and improve
social welfare standards, and to increase the effectiveness,
efficiency, and economy of operation of social welfare agencies.
4. Coordination – to improve & facilitate inter-relationships and to
promote coordination between organizations, groups and
individuals concerned with social welfare programs and services.
5. Education – to develop better public understanding of social
welfare needs, problems, resources, objectives, services,
methods, and standards.
6. Support & Participation – to develop adequate public support of
and public participation in social welfare activities.

C. Techniques of a CO Worker
The Philippine Social Work Encyclopedia described technique as “the
manner by which certain activities are executed based on the
mechanical or formal aspects.”

Different Techniques of a CO Worker

1. Structuring – it employs the use of suitable structures to engage in

problem solving as councils, committees, task force, study group,

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 etc. Each committee is to analyze each problem, get additional
facts when necessary, and formulate a plan to solve said
problem/need with the participation and involvement of the
people.

2. Situation Analysis – This technique “involves the breaking up of a

problem situation, or collection of data, exploring the content and
examining and setting forth of the various aspects, relationships
involved to gain insight and understanding the content better for
logical conclusions/solutions.”

3. Problem Analysis – It is the process of looking into the cause of the

problems and their effects on those affected by it.

4. Role Playing and Socio-drama

Role playing is acting out a situation which would depict a
problem or varied problems and their effects designed to change
the attitude and thinking of the target audience towards the
problem as from apathy to concern.

Socio-drama is a dramatic performance, with psychological

overtones that is also designed to change the values, attitudes,
habits, and thinking of the target audience to a desired manner.

5. Education and Promotion – this employs a range of educational

and promotional ways/approaches to enhance people’s
understanding and support of programs, projects, and plans for
community improvement and development. A CO worker does
not only deal with existing problems but most importantly must
help the community prevent the occurrence of graver problems.

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 6. Demonstration – It uses the organization of demonstration projects
to illustrate ways of dealing with certain social problems which can
be subsequently adopted for similar uses by the community and
other communities and organizations.

7. Use of Group Dynamics and Experiential Learning in Training

Experiential learning employs the exposure of trainees to a
planned situation or game where they experience a learning
process. Group dynamics had been defined and to mean “the
interacting forces within a small human group.”

8. Use of an Expert/Consultant – No person has the monopoly of

knowledge, hence one of the CO worker’s techniques is the use
of expert from other fields.

9. Formal Study – The CO worker employs this technique to influence

public opinion and motivate people to act on certain community
or national issues. She carries out a formal study by gathering and
analyzing data in connection with current issues or problem.

10. Use of Questions in Handling Group Discussions

• To open discussions
• To stimulate interest
• To provoke thinking
• To accumulate data
• To get individual participation
• To develop a subject matter
• To change the trend of discussion
• To limit or terminate discussions

D. Strategies of a CO Worker
Strategy is a “tactic or careful plan or method devised to achieve a
desired goal.” The Philippine Social Work Encyclopedia alludes

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 strategy as “a procedure adopted by social workers to achieve a
goal.”

Different Strategies of a CO Worker

1. Management of Power – The CO worker uses this strategy by

helping create new centers of power in communities where
leadership is indifferent and ineffective.

2. Training of Leaders for their Role Functions – The training of

indigenous leaders for their role functions is an effective strategy
in enabling the community to be self-reliant and self-managed
community.

3. Organizing People for Specific Tasks, Roles & Functions – Goals and
objectives can only be realized if there are groups of persons who
plan for these goals and objectives, then implement and monitor
and evaluate their implementation. People are organized to do
specific tasks is a strategy that facilitates the attainment of goals
and objectives since the job is done in a more organized manner
which uses at the same time the pooled thinking, expertise and
resources of those involved in the different organized operational
units.

4. Use of Conflict – This strategy had been popularized by Alinksy. It

is used in communities where the people are apathetic towards
their pressing problems. The introduction of conflict is designed to
awaken people from their lethargy and trigger the desired action
on their part to do something about their community problems.

5. Collaborative Strategy – This is developed by Roland Warren. This

strategy is based on assumption of consensus or common values
and interests among the parties in disagreement.

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6. Campaign Strategy – This is applicable when the people are not
in agreement on how an issue should be resolved. This strategy
employs educating, persuading, and pressuring the recalcitrant
into agreeing with a group’s proposed solution/approach to a
major issue or problem in the community.

7. Contest Strategy – The contest strategy would apply to crystallize

the issues involved and to get majority vote/support for one of the
contestant’s proposals which will be considered the community’s
adopted decision after the voting.

8. Social Brokerage – This is a strategy of social action and it is

employed when a problem threatens to be explosive or disruptive
and is diffused through the CO worker’s intervention as a broker
with the involvement of relevant groups and individuals who can
help diffuse a crisis situation.

9. Use of Integrative Mechanisms to Strengthen Organization

This is the second strategy of the Social Action. It employs the
integration of other groups’ efforts and support to strengthen the
cause another group or agency is espousing. The support may be
in the forms of expertise, logistics, equipment, personnel, speaker’s
bureau or just a public announcement of support.

10. Social Protests to Support Social Movements

This is the third strategy of the social action model which is
commonly used as a strategy in influencing change or
modification of policies, legislations, ordinances, programs, and
services deemed irrelevant, inadequate or disadvantageous to
the greater sector of the society.

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 Social protests are mass action activities where people march in
the streets with placards conveying the cause of their action or
what the group is protesting about. The mass action is sometimes
in the form of mass delegation of protesters presenting their
petition with media coverage to legislators, a government office,
private organization, a business establishment, a landlord or even
foreign embassies.

11. Lobbying – This may be included as the fourth strategy of social

action wherein interest groups attend committee meetings of the
legislative bodies and legislative sessions itself to show support of
or protests against the passage of certain bills or some of its
offending provisions.

12. Use of Field Trips – People learn faster through visual aids and
actual experience.

13. Use of Volunteers – The use of volunteers had been found as an

effective strategy for lack of manpower and resources.

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 SOCIAL WORK COMMUNITY EDUCATION AND TRAINING

I. THEORETICAL BASIS, PERSPECTIVES, PRINCIPLES AND CONTEXT OF

COMMUNITY EDUCATION AND TRAINING
Experience in the field has shown that many development projects
failed because beneficiaries have not received the appropriate
education to help manage and sustain their operation. According to
United Nations Universal Declaration of Human Rights (1948), everybody
has the right to education.

A. Scope of community education

Community education is a political tool for the enhancement of

community’s development. The focus is on all activities available to
alleviate poverty and promote sustainable development in the
community. Community education relates to equity by which
individuals, irrespective of age, sex, culture, class, race, religion,
occupation, or educational level benefit from the educational
programme to fulfill themselves and the society.

Community education is at the heart of human development and

the acquisition of knowledge, values, and skills by people in the
community has always been the foundation of human development.

Community education is not advocacy or preaching; it is an

examination of the issues which allow the participants to make up their
own minds as to the best course of action.

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 C. Framework of Community Education

D. Models of Community Education (Brookfield 1986)

➢ Liberal Model – it is based on the premise that the community
is a homogenous entity where all people are equal and free
and that they can be freer and more enlightened when
exposed to education.
➢ Liberating Model – It is based on assumptions that there are
structural injustices in society as mentioned by Freire (1974)
injustices exist in the political, social, and economic spheres of the
community.
Andragogy and Pedagogy

➢ Andragogy – Malcolm Knowles defined Andragogy as a

philosophy of teaching that focuses on instructing adults. Stephen
Brook Field advocated a self-directed learning and critical
reflection model wherein adults take control of their own learning
by setting their own learning goals, locating appropriate
resources, deciding on which learning methods to use and
evaluating their own progress.
Principles of Andragogy

a.) Adults are autonomous and self-directed

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 b.) Adults have accumulated a foundation of life experiences and
knowledge
c.) Adults are goal oriented
d.) Adults are relevancy oriented
e.) Adults are practical
f.) Adults need to be shown respect

➢ Pedagogy – It is a child focused-teaching approach and refers to

the art of helping kids learn.

II. TRAINING PROCESSES AND TRAINING NEEDS ASSESSMENT

A. Preparatory Activities
• Identification of Community Needs
• Identification of issues and response needed
1. Understanding Organizational Needs
2. Identifying and Understanding the Participants
3. Setting Objectives – it must be SMART
4. Formulating a Training Design
a. Decide on the Format
Generally, adult learn by themselves in home study
programs or self-directed in home study programs or self-
directed learning projects. Whatever format is chosen; you
must ensure that all members of the community are equally
represented.

Most Common Educational Formats:

➢ Workshops – puts emphasis on problem-solving. Workshops
actively involve participants in identification and analysis of
problems, as well as development and evaluation of
solutions.

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 ➢ Field Trips/’Lakbay Aral’- People learn best about the
environment when they experience it directly.
➢ Action Projects – It help participants learn more about their
environment/community while they participate in a
stewardship activity.
➢ Drama and Festivals – Theatre is particularly useful because
the environmental action that is required can be role-
played, and participants can easily see what is expected of
them. Drama presentations can also be aimed at target
groups that have low-levels of literacy and are an effective
way of integrating humor into very serious subjects.
Puppetry or any form of creative storytelling is ideal for
gaining the attention of all ages in the community.

5. Participation – it is the theme and end goal of all

community/environmental education. Participation can mean
many different things, such as changing behavior, involving
oneself in decision-making or political processes.

B. Choosing the Methods

➢ Nominal Group Technique (NGT) – It is a process which helps a
group identify problems and solutions and establishes priorities
➢ Case Studies – The purpose of the case study is to stimulate
discussion about a problem and look for solutions. A case study
can also present different options for participants to consider
scenarios about what could happen.
➢ Role-Playing – Role-plays work best when the learners act out roles
that are different from the ones they normally play within the
society. During the role-play, a problem may be given which the
players need to solve. Problem-solving exercises not only increase

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 knowledge, commitment, and understanding about
environment, but also enhance critical thinking skills.
➢ The use of Meta Cards (Visualization in Participatory Program) – It
is highly useful for issues and learning related to environment and
related social concerns. It relies on facilitating interactions
between and among participants so that there is creative
reflection and activity.
➢ Environmental Games – Games and action activities are highly
appropriate for teaching adults about the environment because
they are active, have fun, and reinforce learning concepts by
doing and acting rather than listening.
➢ Use of Creative Arts – Visual arts, poetry, and music can be
eloquent methods for expressing the need for environmental
action and can provide a great deal motivation to the
community. Messages in artistic expression are especially
important in the awareness phase of environmental education.
➢ Small Group Discussion or Study Circles – adult educators know
that adults like to learn by talking to each other. Very often, one’s
person experience will help educate others. When adults sit
together and try to solve a problem, they are often more
successful than if they attempt to solve a problem individually.
➢ Slide and Video Presentation – It can be a very effective format
for community/environmental education especially in areas of
literacy. Make sure that the visual material you select is relevant to
the appropriate for your area and content.

6. Implementing/Facilitating Community Education Activities

This is referred to as the facilitation stage. Good adult
educators assist adult learners to teach themselves what they
need to do to accomplish their learning objectives.

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 7. Evaluating the Activity – During this phase, you evaluate
whether or not you have been successful in reaching your
goals.

Evaluation Methods

a. Observation – Observe learners’ reaction to the programs and

how much enthusiasm they bring to discussion or task.
b. Interviewing – After the learning program, you can also ask key
people about their impression thereof. Often it is very effective
to interview some of the same people that you interviewed
prior to your learning program in your needs analysis.
c. Evaluation Forms – An evaluation form which is done at the end
of the learning program really evaluates the learners’
immediate reaction. Reaction forms can be very helpful to
you, particularly if you will be doing the program again, you
should ask the participants on their reaction on how they felt
about the learning experience.
d. Diaries – The content of the diary would focus on the specific
events and actions that you are hoping the learners will
participate in.
e. Audits – Audits are a way of measuring the impact of our
behavior.
Additional Community Education Tools

1. Socio-Economic Ranking – it is a tool used to assess and rank village

families in terms of relative socio-economic status.
2. Problem Ranking – it is a tool used by a community to identify and rank
problems in order of priority by assessing their relative importance using
a set of criteria.

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3. SWOT Analysis – Strengths and Weaknesses focus on internal factors,
while opportunities and threats reflect the influences of the external
environment affecting the organization, community, or activity.
4. Stakeholder Analysis – It is a method by which people generate insights
into the characteristics of individuals and/or groups, and their respective
relationship to a particular resource or a project.
5. Identification of Key Informants – Key informants are purposely selected
community members who are able to provide information on a
particular research topic based on their knowledge, skills or experience
with that subject.
6. Problem Trees and Webs – They are the diagrammatic presentations of
a problem, its causes and effects. These are done after a community
has identified and prioritized its problems.
7. Seasonal Calendar – It is a tool for documenting regular cyclical periods
and significant events. It provides a general picture of important
environmental, cultural, and socio-economic periods throughout the
year.
8. Historical Lines – This tool documents significant events and changing
conditions in the community in written format, symbols, or both. Ideal
participants should include elders, long-time residents, and younger
groups.
9. Daily Activity – a tool that provides information on various activities
performed daily in the reproductive and productive sphere, as well as in
community leadership and management.
10. Historical Transect – Pictorial representation of an area through time. It is
used to show trends in both bio-physical and socio-cultural conditions.
11. Trend Line – It graphically illustrates the community’s perception of
certain event and changes
12. Using transects to build a community profile – a transect is a series of
observations performed while walking across an area.

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13. Resource Mapping – a method of collating and plotting information on
the occurrence, distribution, access and use of resources within the
economic and cultural domain of a specific community.
14. Participatory Gender Analysis and Responsive Planning – The
analysis focuses on the reproductive and productive roles of
women and men and how these affect their access to and
participation in the management of coastal resources.

III. ROLES AND SKILLS OF TRAINERS IN SOCIAL WORK COMMUNITY

EDUCATION AND TRAINING
A. Roles of a Trainer/Facilitator
➢ Training designer and planner – facilitator is responsible for
assessing learning needs and evolving learning objectives.
➢ Manager – mobilizes financial resources, plans, dates and venues,
schedules, logistics and required administrative support.
➢ Educator – the facilitator is responsible for providing the main input
on the training topic and for passing on the relevant information.
➢ Moderator – is to enhance interaction and participation.
➢ Learner – the facilitator can be the main source of information for
the group, but not the sole source of knowledge.
➢ Evaluator – facilitator is responsible for assessing the success of the
training with regard to the effective application of the
methodology, transfer of the skills and knowledge, level of
participation, etc.

B. Communication Skills for Facilitators

Communication is an art and science that involves the acts of
speaking and listening, reading, and writing. It also incorporates the
transmission of the non-verbal language.

➢ Reflective Listening/Feelings – To diffuse the situation, to reflect

feeling back to the person, and to show understanding.

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➢ Paraphrasing – Indicates that you are listening and lets you check
for understanding.
➢ Questioning – To gather information, to focus discussion, and to
expand understanding.
➢ Summarizing – To bring important point out, to review progress,
and to bring closure to move on.
➢ Validating – To show what people say is important
➢ Encouraging – To show interest and to encourage discussion.
➢ Clarifying – To ensure you understand and to clear confusion.

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