Psychological consultation and collaboration in school and community settings

PSYCHO!
OGICAL‘CONSULTATION
AND COLLABORATION IN SCHOOL
AND COMMUNITY SETTINGS
A. Michael Dougherty
HK
Psychological Consultation
and Collaboration in School
and Community Settings
FIFTH EDITION
A. MICHAEL DOUGHERTY
Western Carolina University
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Dedicated with love to my parents, Arthur and Cecilia;
and to my family, Leslie, Matt, and Ashley
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Contents
PREFAGE xv
TOMES
ODE Nine
PART | Consultation and Consultants, Collaboration and

Collaborators 1
The Case of Billie: Consultation 2
The Case of Chris: Collaboration 2
1 Introduction and Overview 5

Historical Overview 9
Consultation Defined 10
Common Characteristics of Consultation 12
Collaboration Defined 13
Case Example 1: Consulting with Juvenile Court Counselors 15
Case Example 2: Collaborating with a Teacher 15
Case Example 3: Consulting with Another Human Service
Professional 15
Consultation and Collaboration Compared with Other Human
Service Activities 15
Consultation, Collaboration, and Levels of Prevention 16
Multicultural Limitations of Consultation and Collaboration 17
Whether to Choose Consultation or Collaboration 19
Promoting Consultation and Collaboration in Your Work
Setting 20
Suggestions for Effective Practice 20
Vv
vi TABLE OF CONTENTS
Questions for Reflection 20

Suggested Supplementary Readings 21
Suggested Websites 21
Consultants, Consultees, and Collaborators 22

Introduction 23
Case Example 1: An Ineffective Consultant 23
Case Example 2: An Effective Consultant 23
Characteristics of Effective Consultants and Collaborators 24
Skills Necessary for Consultation and Collaboration 25
Interpersonal and Communication Attitudes 25
Interpersonal Skills 26
Communication Skills 26
Skills Related to Cultural Diversity 27
Problem-Solving Skills 28
Skills in Working with Organizations 29
Group Skills —30
Ethical and Professional Behavior Skills 30
Roles Consultants and Collaborators Assume 31
The Nature of Consultant Roles 31
The Categorization of Roles 31
Common Consultation Roles 32
Internal and External Consultants 35
Consultation Research 36
Summary 40
PART Il The Stages of Consultation and Collaboration 42

The Phases of the Entry Stage 44
The Phases of the Diagnosis Stage 44
The Phases of the Implementation Stage 45
The Phases of the Disengagement Stage 45
Putting the Generic Model into Practice 46 .
Examples 46
Resistance to Consultation 46
TABLE OF CONTENTS vii
Organizational Resistance 47
Consultee Resistance 49
Dealing Effectively with Resistance 50
A Brief Example of Resistance to Consultation 50
Personalizing the Consultation and Collaboration Process 50
Entry Stage 52
Introduction 53
Case Example 53
Phase One: Exploring Organizational Needs 53
Determining whether Consultation Should Take Place 54
Why Am I Here? 55
Who Are You? 55
What Is Likely to Happen? 55
What Will Be the Result? 55
What Can Go Wrong? 55
Phase Two: Contracting 56
The Nature of Contracts 56
The Formal Aspects of a Contract 57
Elements of a Contract 57
The Psychological Aspects of a Contract 59
Phase Three: Physically Entering the System 60
Phase Four: Psychologically Entering the System 61
Interpersonal Influence in Consultation 62
Multicultural Aspects Related to Entry 64
A Final Note on Entry 65
Case 3.1: Entry for School Consultants 65
Case 3.2: Entry for Community Consultants 66
Summary 67
Diagnosis Stage 69
Introduction 71
A Case of Diagnosis 71
Phase One: Gathering Information 72
The Nature of Information Acquisition 72
viii TABLE OF CONTENTS
Scanning 74
Methods
for Gathering Information 74
Phase Two: Defining the Problem 78
Phase Three: Setting Goals 81
The Process of Setting Goals 81
Characteristics of Effective Goals 81
Phase Four: Generating Possible Interventions 83
Multicultural Aspects Related to Diagnosis 84
Summary 85
Case 4.1: Diagnosis
for School Consultants 85
Case 4.2: Diagnosis
for Community Consultants 86
5 Implementation Stage 89
Introduction 90
A Case ofImplementation 90
Phase One: Choosing An Intervention 91
Types of Interventions 93
Individual Interventions 94
Dyadic and Triadic Interventions 95
Interventions
for Groups and Teams 95
Interventions
for Use between Groups 97
Interventions
for the Entire Organization 97
Phase Two: Formulating a Plan 99
Phase Three: Implementing the Plan 101
Treatment Integrity 102
Phase Four: Evaluating the Plan 104
Multicultural Aspects Related to Implementation 105
Case 5.1: Implementation
Case 5.2: Implementation
Summary 107
Questions for Reflection 108 .
TABLE OF CONTENTS
6 Disengagement Stage 110

Introduction 111
A Case of a Botched Disengagement 111
Phase One: Evaluating the Consultation Process 112
The Role of Evaluation 112
Formative Evaluation 114
Summative Evaluation 118
Quantitative Methods 118
Qualitative Methods 119
Phase Two: Planning Postconsultation/Postcollaboration
Maines 122
Phase Three: Reducing Involvement and Following Up 122
Reducing Involvement 122
Following Up — 123
Phase Four: Terminating 124
Multicultural Aspects Related to Disengagement 125
Case 6.1: Disengagement
Case 6.2; Disengagement
Summary 127
Ethical, Professional, and Legal Issues 129

Introduction 130
Case Example 130
Ethics and Professional Issues 130
Values and the Consultant 132
Multicultural Issues 134
Consultant Competence 135
Training as an Ethical Issue 138
The Consultant—Consultee—Client Relationship 138
Rights of Consultees 141
The Consultant and the Group 144
Ethical Issues in Intervention 145
Issues Related to Crisis/Disaster Consultation 146
Ethical Issues in Organizational Consultation 146
TABLE OF CONTENTS
Issues Related to Consulting over the Internet/Telephone 147

The Consultant and the Law 148
Malpractice 149
Avoiding Legal Entanglements 149
Case 7.1: Ethics
Case 7.2: Ethics
Summary 152
8 The Pragmatic Issues of Working within an

Organization 154
Introduction 155
Case Example 155
Recent Changes in Society and Organizations 156
The Influence of Organizational Theory 157
The Bureaucratic Model 158
Open Systems Organizational Theory 158
Organizational Change 162
Approaches to Change 162
The Nature of Organizational Change 163
Dealing with Organizational Culture 164
Issues in Organization Assessment 165
The Culturally Sensitive Organization 167
Time Constraints 167
Case 8.1: Organizational Concepts
Case 8.2: Organizational Concepts
Summary 170
PART Ill Models of Consultation 172
9 Mental Health Consultation and Collaboration 175

Historical Background 176
Mental Health Consultation Defined 178
TABLE OF CONTENTS xi
Case Example 178

Key Concepts of Mental Health Consultation 179
Basic Characteristics 179
Psychodynamic Orientation 181
Transfer of Effect 181
Types of Consultation 182
The Consultation Process 182
The Client-Centered Case Consultation Process 182
The Consultee-Centered Case Consultation Process 184
Innovations in Consultee-Centered Consultation 189
The Program-Centered Administrative Consultation Process 190
The Consultee-Centered Administrative Consultation Process 193
Modifications of the Caplanian Model 195
The Ecological Perspective 196
Collaboration from a Mental Health Perspective 198
Multicultural Aspects Related to Mental Health
Consultation 200
Case 9.1: Mental Health Consultation
Case 9.2: Mental Health Consultation for Community
Consultants 202
Summary 202
Recent Trends 203
Conclusions 205
10 Behavioral Consultation and Collaboration 208

Introduction 209
Case Example 209
Behavioral Consultation Defined 211
Key Concepts of Behavioral Consultation 212
Scientific View of Behavior 212
Emphasis on Current Influences on Behavior 213
Principles of Behavior Change 213
The Consultation Process 213
xii TABLE OF CONTENTS
Behavioral Case Consultation 214

Behavioral Technology Training 223
Behavioral System Consultation 225
Conjoint Behavioral Consultation 227
Collaboration from a Behavioral Perspective 228
Multicultural Aspects Related to Behavioral Consultation 228
Case 10.1 Behavioral Collaboration
Case 10.2 Behavioral Consultations
Summary 231
Recent Trends 231
Conclusions 232
11 Organizational Consultation and Collaboration 236

Introduction 237
Case Example 237
Historical Background 238 :
Organizational Consultation Defined 239
Key Concepts in Organizational Consultation 240
The Organization as Client 240
Process Is as Important as Content 240
Edgar Schein’s Models of Consultation 241
Collaboration from an Organizational Perspective 255
Multicultural Aspects Related to Organizational
Consultation 255
Case 11.1 Organizational Consultation
Case 11.2 Organizational Consultation for Community
Consultants 257
Summary 258
Recent Trends 258
Conclusions 260
TABLE OF CONTENTS xiii
12 School-Based Consultation and Collaboration 263

Rationale for School-Based Consultation and Collaboration 265
Case Example of School-Based Consultation 265
Case Example of School-Based Collaboration 266
Consulting and Collaborating with School Administrators 268
School Consultation and Organization Development Change 269
Consulting and Collaborating with Teachers 270
Adlerian Consultation 272
Instructional Consultation 273
Consulting and Collaborating with Parents/Guardians/Extended
Families 276
Parent Case Consultation 277
Parent Education and Training 278
Home—School Collaboration 279
Cross-Cultural Considerations When Working With Parents 250
Interagency Collaboration 281
Pragmatic Issues 284
Ethical Issues 284
Working with Other School-Based Professionals 284
Systems View of the School 285
Developing a Framework
for Prevention and Intervention 285
Time Constraints 286
Multicultural School Consultation 287
School Consultation in the 21st Century 287
Case 12.1: Consultation
13 Case Study Illustrations of Consultation and

Collaboration 292
The Case: Acme Human Services Center 294
A Description of the Organization 294
The Organization’s Problems 294
Existing Data on the Organization 295
The Approaches to Consultation and Collaboration 296
xiv TABLE OF CONTENTS
Mental Health Consultation 296

Behavioral Consultation 300
Organizational Consultation 302
School-Based Consultation Example 305
Background =305
Consultant and Teacher Reflections 306
School-Based Collaboration Example 314
Background 314
Collaborator and Teacher Reflections 316
Summary 325
EPILOGUE 327
GLOSSARY OF KEY TERMS USED IN THE BOOK 328
REEERENGES 533i
NAME INDEX 377
SUBJECT INDEX 384
HK
Preface
Psychological Consultation and Collaboration in School and Community Settings is writ-

ten for graduate and undergraduate students in the helping professions. Students
in counseling, psychology, social work, human resource development, and other
helping-profession training programs will find this book helpful as they seek to
acquire the knowledge and skill bases that lead to the effective practice of con-
sultation and collaboration. This book can be used either as the primary text in
consultation and collaboration courses or as a supplemental text in courses in the
helping professions. Many instructors have found the text useful in introductory
and “roles and settings” courses in counseling psychology, school counseling,
school psychology, student development, mental health and community
counseling, social work, and human resource development. Moreover, practicing
consultants and collaborators can find in this book a wealth of practical and the-
oretical information to help guide their practice.
In this text, I use human service professional as a general term that encompasses
counselors, psychologists, social workers, human resource development specia-
lists, and members of other helping professions. At the same time, I have tried
to respect the terminology used by the professions covered in this text.
PURPOSE
This book provides a thorough overview of what students and practicing mental
health/human service professionals must know and be able to do to effectively
practice consultation and collaboration. It provides a balance of theory and prac-
tice and illustrates their interrelationship. The book presents a generic model for
application, surveys the various models to consultation and collaboration, dis-
cusses their organizational context, and reviews the many ethical and professional
issues faced in delivering these services.
XV
xvi PREFACE
I have found that students learning about consultation and collaboration ap-
preciate a practical model for delivering these services before they study specific
approaches. As a result, I have provided a generic model of consultation and
collaboration at the beginning of the text before discussing specific models.
Students will also find a large number of case studies that illustrate how to deliver
consultation and collaboration services in real life. Furthermore, many professors
note that the greatest challenge in teaching consultation and collaboration is to
make them practical; therefore, I have included the numerous case studies to
bring their concepts to life.
Finally, students say they benefit more from learning about consultation and
collaboration when they are involved personally. As a result, I have structured
the book so students can develop a personal model of consultation and collabo-
ration. Each chapter begins and ends with questions that stimulate and encourage
the reader to reflect on the material in that chapter. In the case studies, students
are asked to make decisions about a particular consultant’s or collaborator’s be-
havior. Each chapter ends with some recommendations for effective practice. I
have attempted to write a text that is interesting, current, informative, and ori-
ented toward practice with a solid grounding in theory and research.
ABOUT THE FIFTH EDITION
In this edition, I have updated the material and refined the discussion of the to-
pics. I have also included many new topics and more extensive coverage than in
the fourth edition. Throughout the text, I have provided significant additional
coverage of cultural diversity as it affects consultation and collaboration. I have
included material on prevention as there is a trend to increasingly view consulta-
tion and collaboration in this way. The most broad-based change is an increased’
focus on school-based consultation. I have again revised Chapter 12, which fo-
cuses on school-based consultation and collaboration with administrators, tea-
chers, and parents. Chapters 3-10 each still contain a detailed case study on
school consultation and community consultation; I have changed some of the
case studies to reflect issues such as positive behavioral support and school vio-
lence. These revisions create a balance that will appeal to instructors preparing
students for practice in school settings.
Each chapter has been carefully examined and reviewed. I have updated the
introductory chapter and have added coverage of promoting consultation and
collaboration in your work setting, the multicultural limitations of consultation
and collaboration, and the levels of prevention. Chapter 2 has been significantly
updated as well, particularly the section on research. Additions to Chapters 3-6
include discussions of the implications of cultural diversity on a particular stages
of consultation and collaboration. Chapter 3 provides updated coverage of the
social influence process, as well as a case study that illustrates each phase of the
entry stage. Chapter 4 contains new coverage of qualitative data gathering and
material on functional behavioral assessment. Chapter 5 contains additional cov-
PREFACE xvii
erage on treatment integrity and treatment acceptability. Chapter 6 includes ad-

ditional material on qualitative evaluation. Chapter 7 contains new material on
cultural diversity and crisis consultation, and updated codes of ethics of various
professional organizations.
I have also revised Chapter 8. For this edition, I have added material on cul-
turally responsive organizations. I have retained a section entitled “Implications
for Consultants and Collaborators” for each theory of organization. Chapter 9 re-
tains an in-depth discussion of Caplan’s model of mental health consultation while
including new material on the increasingly eclectic nature of mental health con-
sultation. In particular, new material on consultee-centered consultation is in-
cluded. Chapter 10 updates and expands coverage of Bergan and Kratochwill’s
model of behavior consultation. I have expanded coverage of the behavioral con-
sultation process. Chapter 11 has additional material on Schein’s models for orga-
nizational consultation as well as education/training consultation. Chapter 12 has
been significantly revised and updated in general. I have included new material on
working with nonmainstream families and the topic of prevention. In Chapter 13,
I have retained a shortened version of the case study of Acme Human Services
Center because it illustrates how the approaches covered in the text are applied
to a non-educational setting. In addition, I have retained a transcript of a school
consultation case and a school collaboration case, along with a reflective analysis of
each. I hope that these additions will help the text become even more valuable
and practical for the reader.
OVERVIEW
What will you discover as you read this book? Psychological Consultation and
Collaboration in School and Community Settings is divided into three parts. Part |
sets the stage for understanding consultation and collaboration and how they
are practiced. Chapter 1 is an orientation to the practice ofconsultation and col-
laboration: It contains an introduction, a definition of consultation and collabo-
ration, a brief historical overview, and information on how you can promote
consultation and collaboration within your work setting. Chapter 2 includes a
discussion of the characteristics of effective consultants and collaborators and of
the roles in which they engage; it also reviews the current status of research in
consultation and collaboration.
Part II describes in detail the ins and outs of the consultation and collabora-
tion processes using a model that involves four stages: entry, diagnosis, imple-
mentation, and disengagement. Chapter 3 is about the entry stage—that 1s,
how the consultation or collaboration process starts. Chapter 4 discusses diagno-
sis—how the consultant-or collaborator can help determine the problem to be
solved. Chapter 5 describes the implementation stage—how the parties involved
attempt to solve the problem. Chapter 6 examines the ending of the consultation
or collaboration process, including the difficulty consultants and collaborators
face in assessing success and how they can say goodbye in a personal yet
xviii PREFACE
professional manner. Chapter 7 focuses on the ethical, legal, and professional is-
sues consultants and collaborators encounter in their practices, such as those re-
lated to confidentiality, diversity, and crisis situations. Chapter 8 deals with the
pragmatic issues of working within an organization. This chapter emphasizes that
all consultation or collaboration takes place within some type of organization and °
that the forces in that organization impact, for better or worse, your efforts.
Part III surveys mental health, behavioral, organizational, and school-based
consultation and their implications for collaboration. Chapter 9 reviews mental
health consultation; because of the traditional popularity of Caplan’s model, I
have made it the central focus of the chapter, while recognizing the increasing
eclecticism in this model. Chapter 10 explores behavioral consultation, which
uses behavioral technology both to benefit clients and organizations and also as
an aid in training human service professionals and others. Chapter 11 discusses
organizational consultation, including four specialized applications: education/
training, program, doctor-patient, and process. Chapter 12 covers school-based
consultation and collaboration, including how these services can be provided to
administrators, teachers, and parents. Chapter 13 presents case study applications
to give a better sense of the nuts and bolts of consultation and collaboration.
HOW TO USE THIS TEXT
This text can be used in several ways. Some instructors might want students who
are preparing for work in schools to read Chapter 12 first and students who are
training for work in community settings to read Chapter 13 first. This would
give each student a sense of how consultation and collaboration are practiced in
his or her field. Other instructors might want to begin with Chapter 7 to instill
an understanding of the complexity and seriousness of the ethical and profes-
sional issues faced in the process of providing consultation or collaboration. Still
others might want to start with the generic model and cover the specific ap-
proaches later, or vice versa. | have designed this book so that the material-can
be covered in the most logical order regardless of how a particular course is
taught.
In addition, this text can be used in conjunction with Casebook of
Psychological Consultation and Collaboration in School and Community Settings, Fifth
Edition, also published by Cengage—Brooks/Cole. The casebook contains several
cases that describe real-life examples of consultation and collaboration and illus-
trate various approaches.
An instructor’s manual and PowerPoint slides are also available at this text’s
website: academic.cengage.com/counseling/dougherty. It contains a variety of
materials, including test questions, suggested class activities, and recommenda-
tions for teaching. I have taught courses in consultation and collaboration for
over 20 years, and I believe this instructor’s manual and therelated slides will
be very helpful to you in teaching the concepts and skills of consultation and
collaboration.
PREFACE xix
ACKNOWLEDGMENTS
I would like to thank the many graduate students in counseling and psychology—as
well as student personnel and human resources staffatWestern Carolina University
— who contributed indirectly yet significantly to the development of this text. Their
feedback on the consultation and collaboration course I teach was an invaluable asset
in determining the final form this text would take. I also wish to thank my graduate
assistant, Sara Stephens, who assisted me in various ways.
I would also like to acknowledge my reviewers, including:
Michael Cox, Webster University

Suzanne Faykus, Francis Marion University
John W. Fick, Siena Heights University
Wiliam Lawrence, North Carolina Central University
Sang Min Lee, University of Arkansas
Amelia Lopez, Millersville University
Michael B. Madson, University of Southern Mississippi
Cheryl A. Notari, Montclair University
Glenda P. Reynolds, Auburn University Montgomery
Charles Richards, Spring Arbor University
William Ross, Prairie View A&M University
Kumea Shorter-Gooden, Alliant International University
Jeff Thomas, Arizona State University
Karen S. Weston, Gannon University
Wendy Neifeld Wheeler, College of Saint Rose
Jesse B. DeEsch, Rader University
Richard K. James, University of Memphis
Arthur M. Horne, University of Georgia
James Bergin, Georgia Southern University
Scott Young, Mississippi State University
These individuals furnished me with a wealth of helpful ideas and many valuable
comments.
Special thanks go to Dixie McGinty of Western Carolina University, who re-
viewed the material on evaluation in Chapters 5 and 6, and Candace Boan of
Western Carolina University for her review ofthe entire text. I continue to thank
Gerald Corey, professor emeritus of California State University at Fullerton, and
Mary Deck of Western Carolina University for their suggestions over the years
concerning the organization ofthe text and the instructor’s manual.
To my wife and life partner, Leslie, my deepest appreciation for her love,
support, and understanding during the preparation of this text and for helping
me remember that work is always there and love is not always as accessible. To
my children, Ashley and Matt, thanks for helping me remember how to play.
Finally, to the talented people at Cengage—Brooks/Cole, I extend my grati-
tude for being able to work with a first-class group of professionals. It was a true
pleasure to work with them and others who helped make this book a reality.
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To the Student
Consultation and collaboration are “head, heart, and hands” processes. You
come to understand them, then you become a strong advocate for them, then
you do them with a passion. The often-used metaphor of the bicycle rider sheds
light on what it takes to be an effective consultant and collaborator. The front
wheel provides direction, the back wheel provides the force, and the rider guides
the bike to its destination. The rear wheel represents your technical skills (what
you do when you consult or collaborate), the front wheel represents your skill
with people (how you consult or collaborate), and the rider represents your per-
sonhood (who you are). When all three elements are in sync, it becomes more
probable that you will succeed in your consulting and collaborating endeavors.
This book will help you become an even better “bicycle rider.” You might want
to take special note of the questions at the beginning of each chapter. They are
designed to stimulate thought about each chapter’s main points as you read. In
addition, the questions at the end of each chapter will assist you in applying what
you have learned through your reading. I hope you will take the time to reflect
on these questions after you have completed each chapter. Each chapter con-
cludes with a few suggestions for effective practice, which will help you deter-
mine how to use the chapter’s material in your practice of consultation and
collaboration.
In addition, supplementary readings are suggested at the end of each chapter.
I have chosen these readings carefully and encourage you to read those that in-
terest you. You will note that there are a variety of case studies throughout the
text. The focus of some cases will not be in your professional training area.
Nonetheless, the analysis of these cases can be quite beneficial to you, because
it is the process of the analysis and not the cases themselves that is critical.
I also suggest that you look over Chapters 7 and 8, and 13 after you read
Chapters 1 and 2. Chapter 7 discusses ethical, professional, and legal issues. Even
a cursory glance at this chapter will show you the many important issues you will
face in your practice of consultation and collaboration.
Xxi
xxii TO THE STUDENT
Chapter 8 covers a variety of issues related to working in an organizational

context. By skimming through this chapter, you can appreciate the complexity
of organizations and, consequently, of consultation and collaboration within
them.
Chapter 13 presents the case of Acme Human Services Center and illustrates.
how various consultation approaches can be applied to that case. This chapter
also includes a case study transcript of both a consultation session and a collabo-
ration session. By looking through this chapter, you can get a feel for the nuts
and bolts of real-life consultation and collaboration. Once you have obtained a
perspective on how consultants actually consult and how collaborators actually
collaborate, you can more readily see the critical importance of such procedures
as creating relationships with the people with whom you are going to work and
determining the interventions that emerge for use with the client system.
This is a book about consultation and collaboration: what these services are,
how they are eftectively practiced, and the forms they can take. I sincerely hope
that after reading this book you will be motivated and empowered to perform
consultation and collaboration confidently and effectively.
HK
Psychological Consultation
and Collaboration in School
and Community Settings
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PART 1
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Consultation and Consultants,

Collaboration, and
Collaborators
‘@ onsultation and collaboration are forms of service delivery that are expected
from today’s mental health professionals. What is consultation? What is col-
laboration? What do psychologists, counselors, social workers, college student
personnel and human resource specialists do when they consult and collaborate?
What special knowledge and skills do consultants and collaborators need to prac-
tice effectively? What roles do consultants and collaborators take on in their
work? Students can begin to develop a personal style of providing consultation
and collaboration by familiarizing themselves with the answers to the aforemen-
tioned questions. To that end, Part I explores these and related questions.
Consultation and collaboration are specialized professional services. They are
performed by mental health/human service professionals in a variety of settings.
When these professionals consult, they work with individuals and groups for the
purpose of helping them to work more effectively on the individual, group, or-
ganizational, or community level. Consultation is a helping relationship in which
human service/mental health professionals work with individuals and/or groups
in a variety of settings
(such as agencies, schools,and businesses) to help them
work more effectively.
This apparently simple process is actually quite complex. You'll learn that
consultants not only try to help the people with whom they are working (called
consultees) with their immediate problems at work; they also try to improve their
consultees’ future professional functioning. Part of this assistance is in helping
1
2 PART | CONSULTATION AND CONSULTANTS, COLLABORATION, AND COLLABORATORS
consultees become more aware of new choices or of consultants and collaborators. In your profes-
alternatives for working with their client systems. sional practice, you'll spend a great deal of your
Consultants engage consultees in joint problem professional time performing consultation and col-
solving, typically of a collaborative nature, and laboration, perhaps in situations similar to the fol-
consultees are free to accept or reject any consul- lowing examples.
tant suggestions. You'll discover that the client sys-
tem can consist of an individual, a group, an entire The Case of Billie: Consultation
organization, or the community at large.
Consultation is based on several assumptions Billie is a therapist working with a client who re-
(Noell & Witt, 1996; Zins & Erchul, 2002). veals during a session that he has AIDS. As therapy
continues, Billie is increasingly aware that there are
= Consultation
~~ is a cost-effective use ofresources several AIDS-related issues that may need to be
relative to direct services such ascounseling.
dealt with in subsequent therapy sessions. Billie
#. A collaborative approach frequently leads toa notes her anxiety about working with an AIDS cli-
successful outcome. —
ent and her lack of knowledge about AIDS-related
= Discussing cases and programs with consultees, issues. By taking advantage of the consultation op-
ina problem solving format, issufficient for
portunities that her employer provides, Billie meets
consultees to change their behavior.
for three consultation sessions with a psychologist,
® Consultees
~~ will generalize the problem-solving
who helps her examine her views concerning AIDS
skills
they learned in consultation to future
situations. |
patients and recommends a variety of resources that
provide pertinent information on AIDS. In addi-
a Direct contact between the consultant and
client system is often unnecessary. — tion, the psychologist helps Billie develop both
short- and long-term plans to become more effec-
As you will note as you read this text, collabo- tive in dealing with clients with AIDS.
ration is quite similar to consultation. Those parties
with whom the human service professional collabo-
The Case of Chris: Collaboration
rates are termed fellow collaborators. The majority of
what holds for consultation also holds for collabo- Chris Gonzalez is the head counselor at a large urban
ration. For example, both are problem-solving ac- secondary school that has a severe substance-abuse
tivities. However, the last assumption in the list problem among its student body. The counseling
above reflects one area in which consultation and department of the school has a well-defined proce-
collaboration differ. collaboration,
In it is assumed dure for referring substance-abuse cases to commu-
that direct service between the professional and the nity resources. Chris has been studying several drug-
client system isintegral to successful outcomes. prevention programs but is uncertain about which
We will discuss later in this text the importance one would be best for the school. Chris contacts
of multicultural variables as they relate to the eftec- Leslie, who is a substance-abuse counselor at the
tive practice of consultation and collaboration. As community mental health center, and invites her to
noted many times over in this text, the ever- collaborate with him.
changing makeup ofour society dictates the neces- Leshe is quite familiar with a number of
sity ofincluding a multicultural context to the work substance-abuse programs for schools. Chris and
PART | CONSULTATION AND CONSULTANTS, COLLABORATION, AND COLLABORATORS 3
Leslie agree to collaborate and méet for three two- grow in importance as a foundational role for the
hour sessions over a three-week period. During the professions” (p. 599). There has been an increase
first meeting they explore the school’s substance- over the past decade in the number ofresearch studies
abuse problem in detail, and Leslie observes the conducted on consultation and collaboration. In es-
overall operation of the school. In the second meet- sence, consultation has emerged as a primary service
ing, Leslie provides Chris information on possible provided by helping professionals to assist a variety of
substance-abuse programs with which Chris was other professionals (such as teachers) and caregivers
not familiar. Chris helps Leslie understand the un- (such as parents). Collaboration, as a direct service,
ique characteristics of the school and how they has emerged as an alternative to consultation, partic-
would affect any program. In the final meeting, ularly in settings where both the would-be consul-
Leslie and Chris problem solve and decide which tant and consultee are employed in the same setting.
program would be best for the school. Consultation continues to be a cornerstone ac-
These examples are typical of the many oppor- tivity for mental health professionals. Mental health
tunities for consulting and collaborating available to professionals frequently seek consultation primarily
human service professionals. Indeed, consultation for the purpose of assisting their clients, with a sec-
has become an increasingly powerful force in the ondary goal of avoiding possible lawsuits based on
helping professions (see ASCA, 2003; Kratochwill, malpractice. The onset of managed care and limited
Elliott, & Callan-Stoiber, 2002), and collaboration counseling sessions has led to the increased need for
is increasing in its importance. A tremendous social consultation among mental health counselors, psy-
demand for this kind of professional service has de- chologists, and social workers (Sperry, 2005). For ex-
veloped, in part due to the effects of the realign- ample, mental health consultants may assist with or-
ment of the world’s economy and the increasing ganizational downsizing, issues related to mergers,
demographic changes in our society (Lewis, Lewis, mental health policy, violence prevention, and con-
Daniels, & D’Andrea, 2003). Whereas three dec- flict resolution. Managed care has also given impetus
ades ago consultation was considered an “emerging to interagency collaboration. Community consul-
tole MRairpius.1973, par 335), today? 1G isvanac= tants are called upon to assist in a variety of programs
cepted and valued service of human service profes- (Staton et al., 2007), such as programs designed to
sionals. Consultation has become one ofthe services prevent elder abuse (Wolf & Pillemer, 1994).
routinely provided in the work settings of human Community psychologists and community counse-
service professionals. As one example ofthis trend, a lors have been expanding their application of consul-
special workgroup on consultation and interprofes- tation (Zins, 1998) by engaging in areas such as trial
sional collaboration across the specialty areas of psy- consultation (Myers & Arena, 2001), systems consul-
chology (see Arredondo, Shealy, Neale, & Winfrey, tation (Lewis et al., 2003), and mental health consul-
2004) validated consultation and interprofessional tation with juvenile correction facilities (Cowles &
collaboration as important activities for psycholo- Washburn, 2005). They are also acting as cultural
gists. What Gutkin and Curtis (1999) have said for mediators to close the gap between mainstream
the school psychology profession and consultation schools and nonmainstream families (Nastasi, 2005).
likely holds for other human service professions: Whereas social workers used to be only the reci-
“With each passing year, consultation seems to pients of consultation, they now have provided
consultation services to a variety ofconstituencies for related to employee assistance programs (French &
over three decades. The 1980s saw a significant rise in Bell, 1999). Student affairs specialists are increasingly
the number of counselors providing services to orga- being asked to provide consultation in postsecondary
nizations and their personnel (Maher, 1993). Serious educational settings (Conyne, Rapin, & Rand, 1997;
social issues like the AIDS epidemic have led many Knotek, 2006; Kressel, Bailey, & Forman, 1999).
psychologists to take on community involvement Clearly, consultation and collaboration have in-
through education/training consultation (Douce, creased in popularity as a role for human service
1993; House & Walker, 1993) as well as by providing professionals.
mental health consultation services to primary care What kinds of things might y O asa con-
physicians (Gongora, 2004). Music therapists spend sultant
or collaborator? Consider the following list,
a significant amount oftheir time consulting and col- which notes some broad examples:
laborating (Register, 2002). School counselors spend
at least 12 percent of their time performing consulta-
tion (Partin, 1993) undetermined
and an amount
taking
collaboration
part in activities. Insome studies,
Wne mot}
time consulting than in any other activity (Hardesty

& Dillard, 1994). School psychologists, though con-
sulting more than ever before, indicate a desire to do
even more (Anton-LaHart & Rosenfield, 2004) and
most likely will in the future (Cole & Siegel, 2003;
Cummings et al., 2004a; Merrell, Ervin, & Gimpel,
2006). Recent reviews ofthe role of school psychol-
ogists indicate increased attention to collaboration as
a service (Zins & Erchul, 2002). Human resource Part I introduces you to the worlds of con-
development specialists, as well as members of other sultation and collaboration, provides a frame of
- 3
helping professions, are frequently being called on to reference for their practice, and focuses on the
consult with organizational programs such as those knowledge, skills and attitudes needed.
Introduction and Overview
+ his chapter introduces the concepts of consultation and collaboration, de-

fines them, and shows how they differ from one other and from other ser-
vices performed by human service professionals.
Here are five questions to consider as you read this chapter:
How would you define consultation and collaboration?
What are the differences between consultation and collaboration?
What do consultants and collaborators actually do when they provide
services?
In what ways are the prototypical roles of healer and technological advisor
compatible?
What are the implications of the phrase “There is no one best way to con-
sult or collaborate”? .
Consultationis practiced by most human service professionals in a variety of

settings for a variety of reasons. Consider the following examples:
A psychologist helps a therapist deal with problems she is having with one or
more clients in her caseload.
A counselor works with a schoolteacher to improve classroom management
techniques.
A counseling psychologist consults with a nursing home director about
recreation programs for patients suffering from Alzheimer’s disease.
A family therapist trains school counselors in family systems theory.
A professor of human services assists a job corps center staffin becoming
culturally skilled professionals.
A team of school-based consultants assist teachers in finding ways to help
students cope with school violence.
= A psychologist diagnoses the reasons for high # Two mental health professionals in the same
turnover in a social services agency. agency team up to help a client suffering from
AIDS, each working with a different aspect of
» A counselor assists the staff of acounseling
the case.
center in identifying its major work concerns
and in making plans to solve them. # A school psychologist and teacher work to-
gether on a prereferral intervention for a dis-
=» A mental health worker assists a Head Start
ruptive student in the teacher’s classroom.
program in evaluating its parent training
program. These examples illustrate how human service
= A social worker assists a group of rural human professionals can provide assistance to others (as
service agencies to build a network for re- well as receive assistance) through collaboration.
sponding to common issues. Consultation and collaboration have become
=» A community mental health worker trains a important roles for many professionals (Cowan,
group of other mental health professionals in 2007); practicing these roles has become increas-
developing outreach and client advocacy strat-
ingly scientifically based (Cowan, 2007; Zins,
egies for assisting ethnic minorities.
2002). Human service professionals provide consul-
» A group of mental health consultants assist a
tation to, or collaborate with, individuals, groups,
university in examining the mental health as-
and organizations, usually in one of three organiza-
pects of its crisis communication plan.
tional settings. One setting is within some type of
These examples illustrate how human service human service agency, whose mission in part is to
professionals engage in consultation. provide consultation/collaboration services to the
Human service professionals also collaborate. In community—for example, a community mental
its most generic form, collaboration involves a pro- health center. A second setting is a private firm or
cess in which two or more parties work together to independent practitioner offering consultation/ col-
assist another party or program toward some desired laboration services to the community—for instance,
outcome (Allen, 1994). a psychologist in private practice offering stress
Consider these examples: | management training to the employees of a job
# A community counselor serves on an inter- corps center. In the third ara consultants work’
agency team designed to help a family at risk. - a ee Beka e's
“in house” and consult and collaborate within the
# A school psychologist serves as part of a site- organization that employs them—for example, a
based management team in an urban school. school psychologist or school counselor consulting
# A human resource management specialist serves with a teacher about a student’s behavior.
as a member of a self-directed work team that is When human service professionals consult,
a permanent structure in a health care setting.
their primary purpose is to help others work more
= A psychologist works with a large industry to
effectively to fulfill their professional responsibilities
examine the turnover of women in leadership
positions.
to an individual, group, organization, or commu-
nity. The typical focus in human service consulta-
# A school counselor and teacher collaborate to
assist a student, with the counselor providing
tion is changing behavior in some way, whether it
counseling services to the student and the is the behavior of a client or the behavior of
teacher changing the way she instructs the program participants. The consultant’s role varies
student in the classroom. with the needs of the consultee (Williams, 2000).
CHAPTER 1 INTRODUCTION AND OVERVIEW 7
Whereas the consultee maintains responsibility for as a derivative of these models. We will see that there
managing the problem and carrying out any inter- are different types of consultation and collaboration
vention procedures, the consultant maintains the within each of these models.
ethical responsibility of making appropriate recom- Achieving these steps provides you with the
mendations and overseeing the professional well- basic rudiments from which you can develop a per-
being of the consultee. Consultation is a helping sonal model of consultation and collaboration. You
relationship that is interpersonal and has a problem- will consult and collaborate most effectively when
solving focus in which consultant and consultee you have integrated your knowledge and skills with
have meetings to assist a third party called the client your unigue personality. For example, I am a very
system. Collaboration differs from this process in social person; I prefer people around me. One way
that all parties involved have responsibility for I use this trait in my own personal model of con-
some part of the outcome and reciprocally consult sulting and collaborating is by appreciating the im-
with one another. portance of relationships in these contexts.
Human service professionals generally consult or I make five very basic assumptions in this book.
collaborate with other human service professionals, First, I assume that consultation and1 collaboration _
other professionals (such as teachers or managers in are very similar in terms of the skills needed and the |
organizations), and parents. Thereis a preventative processes engaged in. Throughout this text, what |
aspect to all consultation and collaboration, in that write about consultation basically holds for collab-
one of the goals is to prevent the problem at hand oration. The main point to remember is that in
from
becoming
more severe and another is to pre- collaboration, as opposed to consultation, the men-
vent additional problems from arising (Zins & tal health professional assists in the intervention and
Erchul, 2002). As we will find out, this latter goal 1s also receives and gives consultation to other colla-
often pursued by attempting to assist change at the borators. In order to enhance the readability of the
systems level (e.g., an entire school or organization). text, I will frequently use the term consultation in-
By focusing on systems, human services professionals stead of phrases like consultation and collaboration.
can often determine the conditions inherent within When it is necessary to differentiate consultation
the organization that contribute to the development from collaboration, I do this explicitly in the text.
and maintenance of problems within individuals The second assumption is that how a consultant
(Zins & Erchul, 2002). or collaborator performs is as important as what he ~
To consult and collaborate effectively you need or she does. This is very important because the
to develop an understanding of how these services perceptions of these processes by the parties in-
are practiced. A general framework for understand- volved are critical in determining their success.
ing and practicing consultation and collaboration will For example, as a consultant I might know what I
help you develop a cognitive map and a sense of need to do to help a particular consultee, but if I
direction for performing these services. A familiarity don’t know how to do it in a way that he or she
with the types of consultation—usually categorized sees as helpful, then the consultation is less likely to
as mental heath, behavioral, and organizational—will be successful. Of importance is how the working
provide you with models that have some applicability relationship is established. By consulting and col-
in particular situations. Collaboration has evolved laborating under the supervision of well-trained
professionals, you will understand how you consult fessionals need to be well-grounded in models and
and collaborate and the impact your behavior has interventions related to consultation and collabora-
on the effectiveness of these processes. tion (Alpert & Taufique, 2002a; ASCA, 2003). This
The third assumption is that consultation’ and | knowledge creates an objective frame of reference
collaboration are human relationships. ‘Consultants for delivering professional services. Further, only
and collaborators work with people. The personal such knowledgeable and skillful professionals lend
sides of these services become as important as their credibility to consultation and collaboration as le-
professional sides. Human service professionals need gitimate services for human service professionals to
to identify and clarify their values about both life provide.
and the professional services they offer so that they The fifth assumption is that how one goes
do not fall into the trap of inadvertently imposing about the process effectively depends eeeee
those values when providing these services. Such an number of factors that make up the situation that ©
imposition, in addition to being unethical, can re- led to the request for service. Cultural competence
strict the professional growth of the persons with is a must for practicing consultants and collabora-
whom they are working. In addition, a lack of tors, and consultation models and practice need to
self-knowledge about values can place blinders on be adapted to the cultural context of the consultee
a professional and lead to mistakes during the course and client system. Maintaining an open mind about
of consultation and collaboration. However, when the various approaches to consultation and collabo-
consultation and collaboration are viewed as human ration is also important. Some readers are turned off
relationships, the respect, dignity, and welfare ofthe by the term behavioral because it reminds them of
parties involved become paramount. Effective pro- horror stories about the misuses of behavior modi-
fessionals excel by behaving in ways that demon- fication. Others are prejudiced against the term
strate respect for their consultees and fellow colla- “mental health” because they automatically identify
borators and protect their welfare. it with “having a permanent disability” or using
The fourth assumption is that human services psychotherapy. Some readers may not like the
professionals need training 1n these services. In the term organization because it leads them to think of
past many people consulted and collaborated with- a bureaucratic structure in which rules and regula-
out ever having any proper training; they learned to tions are more highly valued than the people within
provide these services through a series of consulting it. However, since effectiveness in consultation and
and collaborating experiences alone. Only by collaboration depends upon the context in which
chance do they develop a frame of reference for the services occur, an effective human services pro-
approaching consultation and collaboration oppor- fessional develops a broad repertoire of skills and a
tunities. Flying by the seat of one’s pants is danger- large knowledge base from which to provide ser-
ous in the delivery of any professional service; the vice. Then, depending on the situation, the profes-
professional (and sometimes the personal) aspects of sional can use the most pertinent knowledge and
other people’s lives are involved. Consultants appropriate skills available. Finally, I encourage a
should not view their counseling/psychotherapy systems view of events. A systems view of events
skills as sufficient to get them by when consulting allows you not only to see the big picture, but
(Welfel, 200 2). Consequently, human service pro- also to see the interconnectedness of events, their
multi-causal nature, and the gréat realm of possible

ways of intervening.
ee) The bare essence of eA as it
emerged as a service delivery, was to enhance the
methodological repertoires of consultees (Johnson
HISTORICAL OVERVIEW & Pugach, 1996). The consultant was the expert
who accomplished this task in a series of transac-
Like most other human service/mental health functions with the consultee. Gerald Caplan’s 1970
tions, the roots of consultation go back to ancient landmark book The Theory and Practice of Mental
times. Decades ago, Gallessich (1982) pointed out Health Consultation promoted mental health consul-
that two Repco icalroles ofconsultation emersed: tation as a primary prevention service to mental
health providers. This book was, in part, based on
Caplan’s professional experiences in the late 1940s
and early 1950s. Consultation became a primary
activity for workers in the schools such as counse-
lors and psychologists. The community counselor’s
PRET so too— the need for people who could role as a consultant has been less well-established
help solve problems and _ provide technical (Keys, Bemak, Carpenter, & King-Sear, 1998).
expertise. Along with these developments, there has been a
As consultation developed into a tool of human great expansion of the empirical literature on con-
service professionals, the familiar medical consulta- sultation (Alpert & Taufique, 2002a).
tion provided a model. Ifaphysician noticed some- Consultation today, common in such human
thing about a patient that might require the atten- RE SHRM een aiciasn aut
tion of a specialist, he or she consulted with the
specialist. Frequently, that meant turning the pa-
tient over to the specialist (in other words, the con- psrererimrnmmenimsaiic aiate cover the his-
sultant). The physician who originally handled the torical development of each of these types in later
case frequently did not treat the patient again. chapters.
Hence, in the original form of consultation, the More recently,
consultant saw and treated the patient. ee ee amountwoe
Such was the state of consultation around the emphasis placed on the expert role (e.g ., a counselor
turn of the 20th century. Then it became increas- helping a teacher improve classroom management
ingly apparent to medical professionals that the re- skills) to a more collaborative approach (e.g., a
ferring personnel could benefit from participating counselor and teacher working simultaneously on
in treating the patient further. This change in per- Bons felated to improved classroom, behavior)
spective fostered the emergence in the human ser-
vice professions of consultation as we now know it.
Additional forces that contributed to the emergence
of human service consultation were the growth of Gihladauspacioleerensonmervices, There has been a
the organization development movement and the parallel increase in interest in collaboration as a
community mental health movement (Brown, mode of service delivery in profit and nonprofit or-
Kurpius, & Morris, 1988). These forces viewed ganizations (Sherwood, 1993). For example, in the
the consultee as an Active participant in the consul- mental health arena, collaboration emerged as an
tation process and viewed consultation as a devel- alternative to traditional consultation, primarily for
opmental, preventative force that would continue internal consultants. In fact, the increase in having
to balance direct and indirect service activities. This providers and recipients of consultation employed in
the same organization made it increasingly difficult the consultee must be a human service professional or
for some of the assumptions of consultation to be whether the consultant must be from outside the sys-
met and thereby gave impetus to the popularity of tem in which consultation occurs.
collaboration. General agreement does exist on several aspects
Finally, the increased complexity of organiza— of consultation that can be used in formulating an
tions has demanded a more system-level approach acceptable definition. Most authors consider that
to problem solving. The literature concerning con- the goal of all consultation is to solve problems.
sultation and eeliBoration has reflected increased What constitutes a “problem” can, of course, vary
interest in providing these services at the systems significantly. An organization could seek a consul-
level. It is now common for consultants and colla- tant to assist in such problems as alleviating poor
borators to work on organization-wide issues and staff morale or determining how best to evaluate
deal with problems that affect the entire organization the effects of a substance-abuse program. The
(Merrell et al., 2006). For example, counselors and term “problem” does not necessarily imply that
psychologists are involved as consultants and colla- something is wrong. It may simply refer to a situa-
borators in dealing with system-level issues such as tion that needs attention or enhancement. That is,
those related to school reform. Consequently, to- consultants not only assist consultees in developing
day’s human service professional needs to have the solutions to defined problems (such as assisting an
skills to consult and collaborate, not only at the in- administrator in working out the glitches in a pro-
dividual level, but also at the systems level. eram), but they also empower consultees by assist-
ing them in recognizing their needs and tapping the
unused potential and resources necessary to meet
those needs (such as through strategic planning)
CONSULTATION DEFINED (Egan, 2007; Knoff, 2002). The positive psychology
framework (Gerstein, 2006) has influenced consul-
What is consultation? This simple question does not tation with the increased focus on strengths and
have a simple answer. For example, later in this book optimal human functioning. The consultee’s prob-
you will be exposed to definitions of mental health, lem with the client system can be dealt with in
behavioral, and organization consultation. With that either a remedial or developmental manner, de-
said, there are some common elements. Basically, pending on what the situation dictates.
consultation isa type of service performed by coun- ~ Consultants help consultees view the problem as.
selors, psychologists, and human resource workers in part cof alarger system sogaadersiand how it
has de- |
which they assist anothe person who has responsi- veloped, is maintained, and may be solved (Kurpius
bility for a case or program. However, defining the & Fuqua, 1993b). Hence, consultation can occur ina
term “consultation” 1s as difficult as defining such very broad range of problem-solving situations. In
terms as “counseling” and “psychotherapy,” and this sense, consultation is a unique activity (Auster,
there is no widespread agreement (Gutkin & Feeney-Kettler, & Kratochwill, 2006; Kratochwill,
Curtis, 1999; Kurpius & Fuqua, 1993a). In fact, the Elliott, & Stoiber, 2002).
continued ambiguous use of this term makes quality A second commonly accepted aspect of consul-
research on the subject difficult (Zins,2002). tation isits tripartite nature (Williams, 2000); that is,
Consultation tends to be defined in terms ofthe volves three parties: a ¢ ultant, aconsultee, and
role and function of the consultant. However, this system. The consultant lelivers direc ice
method de-emphasizes the process of consultation. A onsultee, who delivers direct servicence |
variety of generic definitions of consultation have ay
been suggested over the years (see Parsons, 1996). The client system receives indirect service from
These definitions generally agree about the role of the consultant through an intermediary (the
consultation, but they differ on such issues as whether consultee). Thus, the consultant provides assistance
CHAPTER 1 INTRODUCTION AND OVERVIEW
Consultant Consultee Client System
FIGURE 1.1 Relationships of the parties in consultation
to the consultee that can positively affect the consul- In human service consultation, the consultant 1s
tee’s work with the client system. often a human service professional, such as a
Figure 1.1 shows the relationships among the counselor, psychologist, social worker, or human
parties involved in consultation. The solid lines rep- resource development specialist. The consultee is
resent direct service; the broken line represents in- often a parent, another human service professional,
direct service. or another professional with some caretaking role
The reader should not assume from Figure 1.1 (e.g., a work supervisor, administrator, or teacher).
that the relationship among the consultant, consul- There can be one or more consultees involved in
tee, and client system is a linear one. There are consultation, and the client system can consist of
times when the consultant may want access to the one person, a group, an organization, or an entire
client system (e.g., for assessment, testing, or obser- community.
vation). Further, the consultant has an ethical and A third aspect of consultation on which there is
moral obligation to ensure that interventions de- substantial agreement is its goal of improving both
signed to assist the client system are appropriately the client system and the consultee (Zins & Erchul,
carried out (Kurpius & Fuqua, 1993b). Having con- 2002). The term improve can, of course, mean many
tact with the client system when necessary meets things, and hence a large number of approaches to
this obligation. Figure 1.2 shows one way of view- consultation and a great many interventions be-
ing the relationships among the parties in consulta- come available to consultants. For example, a con-
tion with these ideas in mind. sultant might help a consultee, not only to work
more effectively with a given moderately depressed
client, but also to improve the consultee’s ability to
Consultant Client System | work with similar clients in the future.
Agreement on these aspects of consultation
leads to a general and widely accepted definition:
sultation is a process in which a human service pro- |
I assists. a consul eewith a work-related (or
ng: proble vith a client system, with the 3
F helping both e consultee and the client system in >
me Ate way. The content of consultation deals

with what is discussed, and the process refers to the
problem-solving process and the nature of the inter-
action between consultant and consultee (Kurpius &
Fuqua, 1993a). The consultant and consultee pool
1.2. The triadic relationships in consultation their expertise to assist the client system.
FIGURE
COMMON CHARACTERISTICS not (at least as far as the consultation relation-

ship is concerned). The primary reason for
OF CONSULTATION
consultation occurring is that the consultee
expects the expertise of the consultant to be of
Can consultation be identified by certain common
some value with the situation at hand. Hence, a
characteristics? A survey of the literature on the na-
consultant can be both directive and collabo-
ture of consultation (e.g., Gutkin & Curtis, 1999)
rative (Gutkin & Curtis, 1999; Kratochwill and
suggests it can. In addition to the three aspects just
Pittman, 2002).
discussed, some general agreement exists on the fol-
lowingfo) characteristics of consultation: The consultation relationship is temporary.
Depending on the type, consultation may
Either the consultee or the client system may range from a single session to weekly sessions
be given priority over the other at a given time, for more than a year. Whatever its length,
depending on the consultation approach that 1s however, the relationship is always tempo-
taken. rary (the consultant does not replace the
The consultant provides indirect service to the consultee).
client system by providing direct service to the Consultation deals exclusively with the con-
consultee. sultee’s work-related or caretaking related
Consultation can be remedial or preventative. problems. By definition, it never deals with the
In remedial consultation, the consultant helps personal concerns of the consultee. The con-
the consultee develop an effective intervention. sultant can take on a variety of roles in con-
In preventative consultation, a main focus is to sultation, depending on the nature of the
assist consultees to increase knowledge and problem, the skills of the consultee, the pur-
skills for future use. pose‘and desired outcomes of consultation, and
the skills of the consultant.
Consultants can be either separate from or part
of the system in which consultation is to occur; Consultation tends to be collaborative in nature;
that is, external consultants or internal that is, consultants and consultees work together
consultants. to complement each other in solving the pro-
blems defined in consultation. The consultant
Participation in consultation is voluntary for all
brings expertise to bear on the problem and
parties involved.
engages the expertise of the consultee to solve
Consultees are free to do whatever they wish the problem (Gutkin & Curtis, 1999). One car-
with the consultant’s suggestions and recom- dinal exception is in carrying out the agreed-
mendations. They are under no obligation to upon consultation plan. The consultee carries
follow the consultant’s recommendations. The out the plan with the consultant remaining on
need for monitoring or being on call when the call for further assistance. Another exception is
consultee implements the consultant’s recom- when consultees have the skills but not the time
mendations 1s necessary to ensure treatment in- to do a given task. For example, a consultee
tegrity, which is the appropriate implementation might ask a consultant to lead a workshop on
of the recommendation by the consultee. substance abuse counseling for the consultee’s
The relationship between the consultee and organization, even though the consultee is
consultant is one of two equal peers. Although skilled in that task.
the consultation relationship is equal in terms Consultation usually occurs in an organiza-
of the power and decision making, it is unequal tional context. Three key variables within an
in terms of need; that is, the consultee needs organization can influence the success of con-
help with a problem and the consultant does sultation: the people involved in consultation,
how the process of consultation unfolds, and bility for the case (Schulte & Osborne, 2003). For
how change procedures are implemented. It is example, a school counselor might work with a stu-
quite important that consultants understand the dent on decreasing verbal aggression while consult-
dynamics of the consultee’s workplace. ing with the teacher about decreasing the student's
disruptive behavior in the classroom. Figure 1.3
illustrates the relationships of the parties involved in
consultation.
COLLABORATION DEFINED
Collaboration is very similar to consultation in that, elp oO chent, program,or pipaniation n oaks
as a stand-alone service, it follows the same oration each participant “alternately plays the con-
problem-solving process. It involves the interactive sultant/expert and the consultee/recipient role in a
exchange of resources, interdependence, and a fo- forum where solution finding is jointly and equally
ALU NS shared among people with different knowledge and
experience” (Thousand, Villa, Paolucci- Whitcomb,
& Nevin, 1996). Collaboration improves upon the
solutions the parties may have come up with inde-
pendently. It involves shared ownership of problem
-boration requires si Ce nueat of aed goals, definition and solutions, shared knowledge and ex-
bidirectional communication, and joint problem pertise, ane increased PRON | to work together
solving (Minke, 2006). There is an inherent respect
of the views and skills of fellow collaborators oS OSES he purpos .
(Arredondo et al., 2004). Collaboration is a role in and itsee & Shinn,
which the helper accepts responsibility for the men- 2002). Eureher collaboration may be useful in situa-
tal health aspects of a case, including carrying out tions where a consultee does not have the skill or
planned interventions and assuming joint responsi- time to effectively take total responsibility for imple-
mentation of the intervention (Kratochwill &
Pittman, 2002). Recent research on collaboration
as a service has socially validated collaboration as a
valued service by practitioners (Welch & Tulbert,
2000).
It is important to remember that a distinguish-
ing difference between consultation and collabora-
tion is that, iny coniulaion, aoeee AOU
:
id is respon ‘ble ensur eatmentind -
thee adequate ree aes ie ;
intervention (Zins & Erchul, 2002). The basic trick
of consultation is for the consultant to exert inter-
personal influence while maintaining a cooperative
relationship (Zins & Erchul, 2002).
In collaboration, the parties involved share the
power in the decision-making process (Macmann et
al., 1996). Decisions are made by the people in-
The relationships of the parties in
FIGURE 1.3.
collaboration volved, which allows for multiple views to be put
forward. For example, in a school setting, a tea- 1999). In school-based consultation and collabora-
cher’s perspective is involved as well as that of the tion, family—school teams can be developed
to assist
school counselor and school psychologist. Further, in enhancing student achievement (Nastasi, 2005;
the teacher influences their behavior through his or Paisley & Milsom, 2007).
her input. All collaborators are considered to have Like consultation, the context
or setting of col-
unique expertise and are accountable for applying it laboration can shape its nature. There are typically
in helping the client system (Welch, 2000). two contexts in which collaboration can occur: in-
Collaboration as an option for service delivery traagency and interagency. For example, in intra-
has been around since the early 1970s and has agency collaboration, people from the same school
been steadily growingin popularity ever since setting work together to help some children and
(see ASCA, 2003): It emerged as a way to help their families in increasing the children’s academic
consultees take on a greater sense of ownership in achievement.
the problem-solving process, most particularly in In interagency collaboration, a group from two
the carrying out of interventions (Johnson & or more agencies attempts to help a child make a
Pugach, 1996). In this way, both parties recipro- successful transition from a juvenile evaluation cen-
cally influence one another in all aspects of the ter to a public school setting.
case, engage in joint problem solving, and have Interagency collaboration is particularly com-
responsibility for some aspects of the case related mon in early childhood settings (Harris & Klein,
to its outcome. Collaboration sometimes remains a 2004). Collaboration in both these contexts presents
one-on-one experience, but most frequently it is a its own unique challenges.In intraagency collabora-
small group process that emphasizes teams (Paisley tion, the major challenge is for the parties-at-interest
& Milsom, 2007; Rosenfield & Gravois, 1999). to find the time to actually meet and implement the
For example, many schools have an Instructional nuts and bolts of the collaborative process (see
Consultation (IC) Team (Rosenfield & Gravois, Chapter 12). In interagency collaboration, the major
1999). It has recently evolved another aspect in challenge is one of coordination ofthe efforts of two
which all members of the organization work “to- or more organizations to a common end.
gether and support each other on a set of multi- Defining the parameters of collaboration can
dimensional collegial interactions” to enhance the sometimes be difficult. When the consultant and
organization’s effectiveness (Johnson & Pugach, prospective consultees are employed in the same
1996, p. 197): setting, it is difficult to meet some of the fundamen-
Collaboration can occur in a variety of settings. tal assumptions underlying consultation. For exam-
For example, in schools, collaboration can occur ple, maintaining confidentiality at necessary levels
during screening for special education services, de- can be challenging, the voluntary nature of consul-
velopment of individualized education plans (IEP), tation becomes questionable, and it is often difficult
periodic review of students, and also with problem- to relieve the consultant of any responsibility for the
solving intervention teams and site based manage- outcome of consultation (Zins & Erchul, 2002).
ment teams (Shaw & Swerdlik, 1995). Considering some of the challenges a school coun-
Collaboration often occurs in groups called selor or school psychologist might face in attempt-
teams, which are established whenever there is a ing to provide consultation services in a school,
collective effort to accomplish a goal such as helping some authors (e.g., Caplan & Caplan, 1993) have
the client system. Teams in which collaboration is suggested that collaboration is the intervention of
the primary activity include task forces, work choice when the mental health professional is inter-
groups, and multidisciplinary teams. To be effective, nal to the organization.
teams have to manage their problem-solving busi- In collaboration, the school-based professional
ness activities and maintenance (giving and receiving has equal responsibility for the overall outcome and
feedback) activities well (Rosenfield & Gravois, primary responsibility for the mental health outcome
of thecase. In addition, the collaborating partners do economy procedures and she assists with information
not have the freedom to reject any aspect ofthe assis- that is helpful in counseling the student. At a later
tance to be provided to the client system. They must date, you both evaluate the effectiveness of the col-
go along with the consensus about how to proceed. laborative experience.
Perhaps the best way to conceptualize collaboration
is as consultation with a direct service component
added. School-based mental health professionals Case Example 3: Consulting with
need to be aware that they should be open to recip-
Another Human Service Professional
rocal consultation; that is, they too may take on the
consultee role as necessary. George is a community counselor seeking help for a
The following three brief and simple examples situation that is new to him: providing therapy to a
illustrate the scope of consultation and collaboration. family who has a dying child. George asks you for
some suggestions in helping the family deal directly
with the impending death of the child since this is
Case Example 1: Consulting with causing severe problems within the family. You in-
Juvenile Court Counselors terview the family without performing any therapy
and provide George with specific written recommen-
A juvenile court counselor group asks you to dations for him to assist the family in dealing with this
conduct a two-day, interactive workshop on ap- issue. You then follow up and help George assess the
proaches for counseling adjudicated maladjusted progress he has made with the family.
and non-maladjusted youth. First you conduct a
needs assessment. What do the consultees know,
and what can they do? What do they need to
CONSULTATION AND
know and do when it comes to working with ad-
judicated youth? You then design a workshop COLLABORATION
based on your findings, conduct the workshop,
COMPARED WITH OTHER
evaluate it, and follow up.
HUMAN SERVICE ACTIVITIES
Case Example 2: Collaborating with a

Consultation and collaboration can be compared
Teacher with the four other common human service func-
Mary Smith, a teacher, and you agree to try to assist a tions—counseling and psychotherapy, supervision,
student whom Mary says is “incorrigible” and whom teaching, and mediation—as a way of making the
you view as lacking proper social skills with adults. concepts underlying consultation and collaboration
You and Mary meet and establish a relationship. clearer. Such comparisons were popularized by
Caplan in the 1970s:
Mary describes what the student does that makes
her label him as “incorrigible” and how often these Consultation and collaboration are different from
negative behaviors occur. You give your opinions counseling and psychotherapy in two fairly obvious
about the student’s behavior. With that data in ways. First, counseling and psychotherapy are —
hand, you and Mary determine the acceptable level dyadic in nature (they involve two parties, the ther-
of the negative behaviors to be sought as well as the apist and the client) whereas consultation and col-
level of new desirable behaviors. Together, you then laboration are tind See counseling and psy-—
a
develop a program that has Mary implementing

chotherapy deal with ( perso ay DI ——_
some token economy procedures with the student : << ao ;

in the classroom while you provide counseling ser- with work-related or caretaking-related concerns —
vices to the student. You help her with the token

only. This is not to say that the effects of resolving
a work-related problem cannot be therapeutic to

the consultee or fellow collaborators. Stull, consul-
tants and collaborators, even if they are trained
therapists, never provide counseling or psychother- Human service essionals ma
apy to consultees or fellow collaborators, even if the or fellow collaborator learning, but in a manner
work- or caretaking-related problem being solved is different from that used by teachers. A consultant
determined to be due to a personal problem of the or collaborator may, however, take on a teaching
other professional or caregiver. In such cases, the role on occasion. For example, a mental health col-
human service professional brings up his or her con- laborator might teach a fellow collaborator how to
cerns and then refers the other party for assistance. perform a behavioral counseling technique with a
In another difference, there is evidence that consul- client, or an organizational consultant might teach a
tants tend to be more controlling of the consulta- consultee the basics of survey design. Later in this
tion relationship than counselors are of the counsel- text you will read about one of the most commonly
ing relationship (see Henning-Stout & Conoley, requested approaches to consultation, education/
1987). A final point to remember is that when the training.
consultant or collaborator is trained in counseling Mediation is different from consultation and
and psychotherapy, it is quite easy to inadvertently collaboration, although many consultants and col-
turn the consultation or collaboration session into a laborators use mediation techniques in
therapy session. organizational work. Med
Another human service function that 1s different
from consultation and collaboration is supervision.
Supervision can be either clinical or administrative. ul « 1 oe is mis to consulta-
Clinical supervision involves “consistent observation tion and ,collaboration in that it has a problem-
and evaluation of the counseling process . . . provided solving orientation, is tripartite in nature, uses
by a trained and experienced professional,’ while collaboration extensively, and involves a peer rela-
administrative supervision focuses “on the issues sur- tionship among the parties. Mediation is different
rounding the supervisee’s role and the responsibilities from consultation and collaboration in that it
in the gen eee as an employee” (Haynes, Corey & necessarily deals with conflict, never uses a teaching
role, and does not allow room for suggestions or
recommendations by the third-party neutral.
‘
CONSULTATION,
COLLABORATION, AND
power to perform ongoing evaluations ofyour eftec-
tiveness on the job. These evaluations will be used in LEVELS OF PREVENTION
personnel decisions that affect you in many ways at
work and thus create inequity in the relationship. Throughout this text, you will note examples that
Therefore, consultants or collaborators do not be- illustrate consultation and collaboration as uuu re-
come supervisors of the people to whom they pro- medial or ING BS you know
vide these services.
Teaching is also different from consultation and
collaboration. Traditional teaching involves a pre-
determined, detailed lesson plan, whereas events in
consultation and collaboration often dictate more
spontaneous behavior by the parties involved. 2007). The remedial perspective is reactive, and the
preventative model is proactive (Blom-Hoftman & receiving increased attention in the literature [see,
Rose, 2007). One of the founders of consultation, e.g., Zins (1995)]. The idea is consultation enhances
Gerald Caplan, used the public health model to consultee’s abilities to successfully deal with similar
develop his model of mental health consultation. issues in the future and serves as a method of deliv-
His impact is felt today in consultation and collab- ering prevention services through the intermediary
oration. The public health model includes three of the consultee (Zins, 1995).
tion: primary, secondary and tertiary In conclusion, consultation and collaboration,
(remedial). As Lewis et al. note: “Primary preven- because they can focus on both remediation and
tion focuses lowering the incidence of emotional prevention, are ideal services for mental health pro-
problems
and on promoting positive mental health viders as they attempt to better meet the needs of
among people not identified as having any special people ineea i“ cule diverse, gue
cilhiauley. It can be distinguished from
alm s at early identification and
act from tertiary preven-
the long-term ef-
to decrease
tion, which attempts oneor eisother isCEeEPEAV Zine 1995).
fects of disabilities” (2003, p. me ee
MULTICULTURAL LIMITATIONS
OF CONSULTATION AND
COLLABORATION
example, a school-based consultant might engage in It is very likely that you will practice consultation
primary prevention by working to effect a system- and collaboration in multicultural and cross-
level change in a school that creates a safe and car- cultural settings. The 2000 U.S. Census showed
ing school climate conducive to all students learn- that our society is very diverse. This diversity 1s re-
ing at optimal levels; secondary prevention by flected in all of the institutions in our society and
working with an administrator to develop at special thus requires culturally competent practice on the
program for students at risk for dropping out of part of consultants.and collaborators. In and of them-
school; and tertiary prevention by working with a selves, cultural differences are complex and subjec-
teacher to assist a student with a history of acting tive (Hall, 2005; LaRoche & Maxie, 2003). Further,
out in the classroom. In another example, a there is a complex connection between culture and
consultation. scehapten READERS
community-based consultant might engage in pri-
mary prevention by consulting with neighborhood
et al., 200 e Teac
organizations to promote human development; sec- Ge ARR
ondary prevention by working with a community- Behring & Ingraham, 1998). In other words, the
based alternative mental health program to prevent culture of the client system is an aspect ofthe ecol-
teenage pregnancies; and tertiary prevention by ogy dealt with in consultation (Ortiz, 2006; Ramirez
consulting with the counselors of pregnant teens & Smith, 2007). Further, most models of consulta-
and their partners. tion are ethnocentric and are therefore limited
As you will note throughout this text, there 1s (Nastasi, 2006).
Ingraham (2000, 2004) has built a framework
increasing consensus among mental health specialists
in our society that we need to focus more on the that conceptualizes consultation from multicul-
tural and cross-cultural perspectives. Multicultural
psychological health and well- being of our society
competence is brought to the forefront and tradi-
during the twenty-first century (Lewis et Als: 2003):
tional consultation models are adapted accordingly
As a result, consultation for primary prevention is
(Ingraham, 2004). This framework considers the = an open triad structure examines the complex
influence of culture on the consultation process interplay of interpersonal and extrapersonal
and the individuals involved in it. This framework forces within the context of the system;
can be applied to all models of consultation. In » the consultation experience is used an oppor-
multicultural consultation, theconsultant, in a cultur- tunity to transform the system;
ally sensitive manner, adjusts services to accommo- ’
= patriarchal structures in organizations are based
a and value » cultural differences (Ingraham,
on greater privilege for some rather than
2003). In. cross-cultural consultation, consultation oc-
curs across cultures. Ingraham’s comprehensive others;
framework focuses on structures and processes of # the consultant’s expertise and skills should be
consultation, thus allowing consultants to identify used to empower;
and reflect upon multicultural issues and increase # the role of the consultant is that of an active
the chances of a successful consultation experience. agent for change;
This framework has five components:
# the consultation process can prevent similar
* consultant knowledge, skills and dispositions systemic problems in the future; and
related to cultural competence in consultation;
= informed advocacy on the part of the consultant
= understanding consultee needs for develop-
for the consultee and client system is appropriate.
ment in knowledge, skill, confidence and
objectivity;
Through employing the framework and/or
# cultural variations in the parties involved in concepts like those described above, consultants
consultation (e.g., consultant—consultee are in a better position to provide services with
similarity); multicultural competence. Without such a frame-
=# contextual influence (e.g., organizational cul- work, the chances for successful consultation and
ture) and power influences (difference in collaboration are diminished (Ramirez & Smith,
power among parties in the consultation rela- 2007). As Salzman (2005) notes, “no symptom or
tionship); and observation can be accurately interpreted without
due consideration to social, historical, political and
= . methods for supporting consultee success in
cultural considerations” (p. 235). Consultants will
multicultural situations.
want to ensure that they are culturally sensitive at
Nastasi (2006) points out the necessity of | each phase of the consultation process. As an exam-
tural specificity indelivering nenroeevery as con- ple, the concept of “happiness” for the client system
sultation and collaboration. Cultural specificityre- may vary by culture (Gerstein, 2007).
fers to the idea that all aspects ofservices such as In addition to striving to be multiculturally com-
consultation and collaboration are relevant to the petent, consultants will want to bear in mind that the
targeted culture (Nastasi, 2006). traditional models of consultation, which are typi-
Huffman et al. (2006, p. 127), although not cally derived from models ofcounseling and psycho-
developing a framework for consultation as such, therapy, may be based on worldviews that are irrele-
have presented major ideas that could lead to the vant to some cultural groups (Corey, 2005; Hoffman
development ofa feminist and multicultural frame- et al., 2006). As Corey notes: “With respect to many
work. The major themes include: of the traditional theories, assumptions made about
mental health, optimum human development, the
# a nonhierarchical approach provides greater
nature of psychopathology, and the nature of effec-
benefits than a hierarchical one;
tive treatment may have little relevance for some cli-
# a hierarchy in the consultation relationship is ents” (2005, p. 42). For example, many cultural
not inevitable; groups do not embrace the emphasis on indivi-
dualism that many counseling theories value. As a in terms of preference?” In some instances, it might
result, consultants need to take a “person-in-the- well be that collaboration is regarded as the “new kid
environment perspective” (Corey, 2005; Lum, on the block” and therefore is not perceived to be as
2007). By focusing on both individual and environ- legitimate as consultation. On the other hand, for
mental factors, consultants can modify and adjust the professionals who are internal to the organization in
model they are using (Diller, 2007; Ramirez & which services are to be provided, collaboration may
Smith, 2007) to accommodate consultees and their be preferred because it presents many stakeholders
client systems. For example, a consultant might re- with a piece ofthe action of implementation.
conceptualize treatment goals for a consultee of a Second, ask yourself, “How do I really feel about
culturally different group by taking the consultee’s consultation and collaboration? Do I think consulta-
cultural beliefs into consideration (Diller, 2007). In tion puts me too much in the expert role? Do I think
other examples, a consultant may suggest that a con- collaboratio forces
n me to give up too much power in
sultee spend more time in relationship building with the case?” It is important for you to know where you
the client system, making recommendations regard- stand on issues like these as they will affect your choiée
ing how the consultee may approach a culturally dif- ofservices. Before you proceed with consultation you
ferent client from a cultural style perspective need to determine ifthe assumptions underlying con-
(Ramirez & Smith, 2007). According to Diller sultation (e.g., confidentiality, the voluntary nature of
(2007), another possibility is adding culture-specific the relationship, nonhierarchical status within the re-
helping strategies, as appropriate, to existing models. lationship) are met. If they are not met, collaboration
By behaving in this manner, consultants ensure that may well be the method ofchoice.
they take into account the subtle variables influenc- Your own skill level will also influence your
ing the consultation process. The use of amulticul- decision to use consultation or collaboration.
the one hand, consultation demands the
tural framework will help consultees with a variety of On
issues that block consultee objectivity. One of these ability to guide and control the problem-solving pro-
issues is intervention paralysis, in which consultees are cess while empowering the consultee. On the other
aware yet afraid of acting due to con-
multiculturally hand, collaboration demands the ability to balance
cern overmaking a multicultural blunder and com- the reciprocal influence that the parties exert on
ing across as culturally insensitive (Ingraham, 2004). each other in collaboration. As you gain experience
This can result from the common predicament of a in both consultation and collaboration you will be-
consultee knowing that each case is individual and come equally comfortable with both processes.
also that common cultural variables may be at play Theleve skill of the prospective consultee
ofl
(Ramirez & Smith, 2007). or collaborator will also influence your choice of
services. If the other party is not skilled in what is
most likely to be implemented and time for training
WHETHER TO CHOOSE is not feasible, then collaboration is in order. If time
is not a factor or the other party is relatively highly
CONSULTATION OR skilled in terms of possible interventions, then con-
COLLABORATION sultation may well be in order.
The bottom line is that the choice between
using consultation or collaboration is frequently a
You will frequently be faced with the decision to
call with either choice being an ade-
choose between consultation and collaboration as judgment
the service of choice in particular situations. quate one. As in determining whether to provide
Below I describe some guidelines to assist you in any other service, the nature of the problem, the
this choice process. context in which it occurs, and the skills of the
First, ask and ans wer
the question, “How does parties involved interact together to influence your
choice.
the organizational culture view each of these services _
PROMOTING CONSULTATION termine how your work can assist them and the
organization. When you share examples of their
AND COLLABORATION IN
work and related successes, others in the organiza-
YOUR WORK SETTING tion are more likely to trust your expertise as well
as make connections about how they. can benefit
There are a variety of strategies available to you to from consultation and collaboration. When you are
promote consultation and collaboration services in frequently visible and engaging others at all levels
your work setting. McLean (2006) has identified of the organization, you are more likely to be in-
several successful approaches to finding the “points vited” ‘to’ “engage im activities “related te
of focus” (p. 45). You can make a point to learn organizational-level and individual-level initiatives
the ins and outs of your organization including its that lead to consultation and/or collaboration.
people. This task allows you to be able to identify Engage your immediate supervisor as champion
the needs for consultation and collaboration at both of your consultation and collaboration services,
the individual and organizational levels. You can and invite those who have engaged in consultation
proactively publicize and promote awareness of or collaboration with you to share their experiences
your services within the organization. These pro- with others in the organization.
cesses assist the members of the organization to de-
SUGGESTIONS FOR EFFECTIVE PRACTICE
= Know the focal points in your work environ- can do both well and differentiate between the
ment that can be improved through your two when necessary.
services. # Make a point to differentiate consultation and
# Develop a working definition of consultation collaboration from the other professional ser-
and collaboration with which you feel vices you will be providing.
comfortable. = Strive to take into account the social and cul-
# Become very familiar with the characteristics of tural factors affecting your consultees and their
both consultation and collaboration so that you client systems.
QUESTIONS FOR REFLECTION
|. How do the roles of consultant, consultee, and 5. In what ways are consultation and collabora-
client differ from one another? tion similar? Different?
ii) What is the basic difference between indirect 6. How can you promote consultation and col-
and direct service that consultants and colla- laboration services in your work setting and
borators provide? also emphasize both the preventative and re-
3. In what ways can consultation and collabora- medial aspects of these services?
tion be called problem-solving processes? 7. How can consultation and collaboration have
4. Why is it important for consultants and colla- the goal of improving the consultee (or fellow
borators to have a personal theory of these two collaborator) and the client system at the same
services? time?
8. Because consultants by definition work with 9. How would you as a collaborator determine
consultees who have work-related problems, which roles to take on during collaboration?
how can the consultation relationship be that 10. How can you practice consultation and colla-
of equals? boration in a culturally competent manner?
SUGGESTED SUPPLEMENTARY READINGS
Started in 1990, the Journal of Educational and Psychological Fuqua, is divided into five sections: Section 1 ad-
Consultation is put out by the Association for dresses conceptual and operational foundations of
Educational and Psychological Consultants and consultation; Section 2, assessment and organiza-
published quarterly by Lawrence Erlbaum tional diagnosis: Section 3, organizational culture;
Associates. This journal serves as a forum for the Section 4, consultation in different settings; Section
exchange of ideas, theories, and research among 5, research in consultation. This journal issue and «
professionals in the human services and education. the one described next still represent much of the
current thinking in consultation.
Consulting Psychology Journal: Practice and Research. This

quarterly is the official journal of Division 13, “Consultation II: Prevention, Preparation, and Key
Consulting Psychology, of the American Issues” (Special issue). (1993b). Journal of Counseling
and Development, 72, 115-223. This special issue is
Psychological Association. It presents various ideas
an update of the special issue of the Personnel and
related to the practice of consultation. In recent
Guidance Journal entitled “Consultation II:
years, the journal has tended to emphasize organi-
zational consultation. Dimensions, Training, Bibliography,” which was
published in 1978. The new update, edited by
Kurpius and Fuqua, is divided into three sections:
“Consultation I: Conceptual, Structural, and Operational Section 1 addresses primary prevention consultation;
Definitions” (Special issue). (1993a). Journal of Section 2, professional preparation of consultants,
Counseling and Development, 71, 596-708. This spe- Section 3, trends and topical issues such as ethical,
cial issue is an update of the special issue of the legal, and multicultural issues. This issue is a fine
Personnel and Guidance Journal entitled “Consultation complement to “Consultation I.”
I: Definitions, Models, Programs,” which was pub-
lished in 1978. This update, edited by Kurpius and
SUGGESTED WEBSITES
http://www.counseling.org/Publications/ you can enjoy the convenience of searching

CounselingToday.aspx This site presents APA journals, a database of abstracts, and gen-
Counseling Today online. You can explore this eral information. The search engine allows easy
site for references to consultation. retrieval of information related to consultation
and collaboration.
http://www.counseling.org/Publications/
Newsletters.aspx This site is by subscription http://www.nasponline.org —This is the web-
only, and the newsletter 1s available to be site of the National Association of School
read on the website. Psychologists. It contains a wealth of invaluable
information, including information on consul-
http://members.apa.org If you join the tation and collaboration.
American Psychological Association (APA),
HK
Consultants, Consultees, and

Collaborators
|f you were looking for a consultant or collaborator to work with people in

your human service organization, what type of person would you hire? If
you were going to permanently hire a mental health professional in your organi-
zation and part of his/her job was to consult and collaborate, what you be look-
ing for in candidates? What kinds of professional knowledge and skills would be
needed in such a person, and how would you be able to tell if the consultant/
collaborator truly possessed them? What roles would you want this person to
take during his or her activities? What would be the most critical factor for you
in determining whether or not to hire this prospective helper?
This chapter provides some answers to these questions—it discusses the char-
acteristics that effective consultants and collaborators possess, the skills critical to
successful consultation and collaboration, and the various roles that professionals
take on when providing these services. In addition, we will examine two other
important areas: the position (internal or external) of the consultant/collaborator
to the organization in which service is to occur, and the current status of research
on consultation and collaboration.
As you read this chapter, consider the following questions:
1. How are the personal characteristics of consultants and collaborators likely to
influence the delivery of their services?
ine) What skills seem necessary for consultants and collaborators, regardless of the
role they assume in delivering their services?
3. Do any of the roles of consultants and collaborators tend to contradict one
another?
4. In what ways should consultants and collaborators be multiculturally skilled?
22
CHAPTER 2. CONSULTANTS, CONSULTEES, AND COLLABORATORS 23
5. To what degree can the research related to to and clarifies Jamie’s concerns. When Jamie ex-
these services guide your practice? presses pessimism about the possibilities of helping
the family, Terri offers encouragement and support,
As I have noted in Chapter 1, you can assume in and she asks how Jamie’s work with the family ties
this and in the following chapters that the discussion into their agency’s role and mission. Finally, they
of a given topic applies equally to consultation and establish a verbal contract between them and agree
collaboration unless I make a distinction otherwise. I to meet twice more about how Jamie can work
more effectively with the family.
avoid using the terms “consultation” and “collabora-
First, Terri observes Jamie working with the
tion” together in order to enhance the readability of family. During the next consultation session, they
this text. exchange their impressions about the family; divide
the family’s adjustment problem into three smaller,
more specific problems; and set goals to solve them.
Terri then leads Jamie through a brainstorming ses*
INTRODUCTION
sion during which possible interventions are gener-
ated, Once they agree on an intervention for each
Consider the following two cases:
problem, Terri assists Jamie in formulating their ideas
into a feasible plan, which Jamie agrees to carry out.
Case Example 1: During their final consultation session one
An Ineffective Consultant month later, Terri and Jamie formally evaluate the
degree to which each problem was solved and the
Dale Jones, a counselor, and Jackie Cheng, a social effectiveness of the consultation process itself (that
worker, work together in a community mental is, how well they worked together). They plan ad-
health center. Jackie approaches Dale for consulta- ditional follow-up strategies for Jamie to use in later
tion regarding a migrant family that is part of contacts with the family and agree that, within 30
Jackie’s caseload. It seems that the family has had days, Terri will make a follow-up call to Jamie con-
difficulty adjusting to the community, which concerning the family’s progress. Then they say their
sists primarily of retirees who have their summer goodbyes.
homes there. When Jackie asks Dale for help in Terri clearly spent much more time and used
facilitating the family’s adjustment, Dale makes light more finesse with Jamie than Dale did with Jackie.
of the request by noting that by late fall, both the Terri displayed many of the characteristics of effec-
retirees and the migrant family will be long gone. tive consultants. She used interpersonal skills when
offering support and encouragement to Janue. When
Case Example 2: Terri listened to and clarified Jamie’s concerns, she
used communicated effectively. She used several
An Effective Consultant problem-solving approaches with Jamie to identify
ways to help the migrant family. Tern showed the
Terri Brodski, a psychologist, and Jamie Stewart, a
sensitivity ofa multiculturally aware consultant when
social worker, work together in a community men-
she asked Jamie to share in detail her views of the
tal health center. Jamie approaches Tern for consul-
family’s problems. Terri also showed skill in working
tation regarding a migrant family that 1s part of
with organizations when she asked how Jamie’s work
Jamie’s caseload. It seems that the family has had
with the family tied into the agency’s role and mis-
difficulty adjusting to the community, which con-
sion, and she displayed ethical and professional be-
sists primarily of retirees who have their summer
havior by spending the time and effort needed to help
homes there. When Jamie approaches Terri about
Jamie. As you can see from these two cases, there are
the family’s problems, Terri asks her to present her
characteristics and skills that differentiate effective
concerns about the family in detail, and she listens
consultants from ineffective ones. Let’s examine consultation services to a church group, whereas an-
these characteristics next. other consultant might participate in a personal
growth group to improve his or her interpersonal
effectiveness. In short, personal growth orientation
is an attitude toward life that helps consultants be-
come more effective human beings by periodically
CHARACTERISTICS OF
“stretching” themselves in
1 some way.
EFFECTIVE CONSULTANTS tion refers
AND COLLABORATORS
fectiveness of their consultation Rectal (Cooper,
Monarch, Serviss, Gordick, & Leonard, 2007).
Because consultation and collaboration are de-
Consultants often participate in workshops, training
manding, the requirements to perform them suc-
programs, academic courses, and supervised practice
cessfully are a challenge. Some research suggests
so as to remain current in their fields. In addition,
that the best consultants seem to be guided by
many consultants seek additional training and
the need to make a difference in the lives of others
knowledge to expand the parameters of their con-
(Bianco-Mathis & Veazey, 1996). Beyond an inter-
sultation practices. For example, one consultant, a
nal motivation, however, effective consultants mu
university professor by training, might take a series
possess
the following: of management and organizational behavior courses
= a personal and professional growth orientation and so expand her consultation services to include
= knowledge
of the content and process of con-— human service agencies. Thus, a personaland pro-
sultation and collaboration as well as human fessional growth orientation helps consultants to
behavior practice what they preach more effectively. By
experiencing growth in their own lives, consultants
® consultation and collaboration skills '
are better able to empathize with consultees about
What Arredondo et al. (2004) pointed out for psy- the barriers to growth that consultees normally ex-
chologists applies to all consultants and collaborators perience, and to be more authentic role models for
in that they “need to acquire and demonstrate the those with whom they work.
knowledge, skills, attitudes and values necessary to __ Effective consultants, of course, also possess
work in a collegial, integrative, and informed manner knowledge ofco sultation and a basic knowledge of hu-
across specialty and practice areas” (p. 791). man behavior (Arredondo et al., 2004). Effective
A personal growth orientation involves the willing= consultants know the ins and outs of consultation;
ness of a consultant to grow andcohanige asia persong that is, they possess a generic model of consultation
and are knowledgeable about the various types of
consultation and related multicultural and ethical
issues. Such knowledge provides them with a sense
A personal growth orientation does not necessar- of meaningfulness and adds direction to their
ily mean that consultants must experience personal practices.
growth counseling or therapy, although such experi- Effective consultants must also possess knowl-
ences can be quite beneficial. Rather, the concept of edge about human behavior—including both in-
personal growth orientation entails any aspect of a dividual and group behavior—for consultation
consultant’s life in which he or she endeavors to involves having, first and foremost, a human rela-
“stretch.” For example, one consultant might decide tionship. Because consultants spend much of their
to accomplish the feat of hiking to every waterfall in a time working with individual consultees, they need
national park within a certain time frame, another to know the basics of personality theory, normal and
consultant might volunteer 10 hours a week of free abnormal behavior, interpersonal relationships, and
human communication. Knowledge of these topics consultation success (see Knoff, McKenna, & Riser,
is essential for maximizing the effectiveness with 1991; Knoff, Sullivan, & Liu, 1995; Randolph &
which each stage of consultation is accomplished. D’llio, 1990). For example, Knoff and coauthors
Furthermore, a basic knowledge of group dynamics (1995) found that there were two primary skill
and organizational theory and behavior is a necessity areas when prospective consultees were queried re-
for almost all consultants because most consultation garding consultant effectiveness: consultant knowl-
occurs in, and is affected by, an organizational setting. edge, process, and application skills and consultant
Therefore, consultants need a working knowledge of interpersonal and problem-solving skills. It is very
organizations to maximize the effectiveness of their likely that the same holds for collaboration as its skill
activities. sets represent the same competencies (Arredondo
Even when consultants have a growth onienta- et al., 2004).
tion and are knowledgeable, ifthey are to be effective,
nN need to pos > SRIUL 1 CONSULTLNE “J suitants
Interpersonal and Communication
must be able to doas well asknow. Effective consultants Attitudes
have a broad repertoire of consultation skills that range
from basic communication skills to sophisticated Consultation is a human relationship that involves
problem-solving intervention skills. extensive communication. Interpersonal and com- ,
ication skills, which are related to creating and
ntaining: effective human relationships,
Sand
are es-
ntial for a consultant. Furthermore, the attitudes —
‘sentia
SKILLS NECESSARY FOR -om which these skills flow are as important as the ©
skills themselves (Kurpius & Rozecki, 1993).
CONSULTATION AND In the early 1960s, Carl Rogers demonstrated
COLLABORATION that the desirable underpinnings for these skills are
unconditional regard, empathy, and genuineness.
Many skills are required of effective consultants and These attitudes form the core conditions on which
collaborators. You will want to remember that the an effective consultation relationship can be built.
skills described below are not the consultation Without these attitudes in the consultant, the devel-
process itself. Rather they are the tools with which opment of rapport with the consultee may take
you will implement the process. Many authors point longer to achieve or may not occur at all. These atti-
out the importance of competent interpersonal tudes exist on a continuum; their presence in a person
and communication skills (see, e.g., Dougherty, is not an all-or-nothing proposition (Egan, 2007).
Henderson, & Lindsey, 1997; Egan, 2007). Skills in However, to the degree that consultants possess these
attitudes, the conditions for successful consultation
working with culturally diverse populations are in-
creasingly important (Ingraham, 2004, 2004; Lum, will be established (Kurpius & Rozecki, 1993).
2007; Miranda, 2002), as are problem-solving skills ~ Unconditional regard (often referred to as “accep-
tance” or “respect”) refersto the willingness of
(Welch, 2000) and skills in working with organiza-
tions (Knoff, 2002). Because consultants, and even
the consultant to respect and accept the consultee
SR oee ya Le ania eae
more so collaborators, are increasingly being called DSU
and can liked orcared forbythe eatere nspite — }
on to work with groups of consultees, skills in
ofthe The consultant often
consultee’s imperfections.
group work are a must (Paisley & Milsom, 2007).
manifests regard as nonjudgmental and non-
Finally, well-developed ethical and professional be-
possessive behavior toward the consultee (e.g., assum-
havior skills are egsential to competency (Corey,
ing the consultee’s and client system's good will).
Corey, & Callanan, 2007). The limited empirical
Empathy refers to the consultant’s ability to un-
research on the importance of the skill areas also
derstand—to tune in to and accurately perceive
supports the hypothesis that they are related to
the consultee’s experience without losing his or

her objectivity. It is a posture of putting oneself 1
in- (e.g., talking implicitly and explicitly about
another person’s shoes. Empathy helps in establish- how consultation is related to change)
ing rapport, trust, open communication, and a com- macieaneeits ~eerppenar mannii
mon ground from which consultation can proceed Ke consul g., explaining early
(French & Bell, 1999). Empathy is both a value and a on oa the ements is he what he or she
communication skill (Egan, 2007). can do for the consultee)
Genuineness 1s demonstrated when consultants
feel free to be themselves in the consultation rela-_
tionship—when they need not hide behind roles, '
making explicit use of epee benign intent,
become defensive, or lose spontaneity with the
and similarities to the consultee)
consultee (Egan, 2007). Perhaps one of the greatest
contributions of genuineness to successful consulta-
tion is the art effect it can have for the con-
aca. 2000). oe ASR ORTH on eee awrens s

In summary, although your skills are critical to anxiety about working with a client who has
your success as a consultant, your perspective may be De)
just as important (Bellman, 1990). For decades, these
e.g., being willing to
attitudes and the behavioral characteristics that reflect
them are linked to professional skills and knowledge ea at BAe
in such a way that they affect how a consultee per- Interpersonal skills assist consultants in develop-
ceives a consultant’s helpfulness (e.g., see Bardon, ing and sustaining strong relationships with their
1986). consultees. The strength and outcome ofthe consul-
tation relationship are often directly related to con-
sultee motivation, a commitment to change, and a
Interpersonal Skills
positive attitude toward consultation (see Curtis &
The interpersonal skills of creating, maintaining, and Stollar, 2002). Gibbs (1980) was one of the first
terminating relationships refer to our ability to get authors to note that consultant interpersonal skills
along with other human beings. Because consulta- are integral to working effectively in cross-cultural
tion is a helping relationship, consultants need rela- consultation. Kurpius and Rozecki note that “if the
tively high levels of these skills (Arredondo et al., consultant does not have a mastery ofthe art of com-
2004; Zins & Erchul, 2002). munication and an understanding ofthe intricacies of
=i Sa ia interpersonal interaction, the consultation process
will most often appear lifeless and unlikely to be of
pre
aaer long-lasting help” (1993, p. 143).
= putting the consultee at ease (e.g., making small

talk) Communication Skills
The communication process between consultant and

consultee can be considered central to the process
of consultation (Rosenfield, 2002b). As Rosenfield
notes, “The consultant functions as the architect
sume: ce acces early on ae the of the dialogue, creating space for and facilitating
consultee can and cannot do) the consultation conversation” (2002a, p. 611).
Everything consultants do when they consult in- Communication skills such as these are related
volves a system of language constructs (Daniels & to a successful consultation outcome in that they al-
DeWine, 1990); that is, a system of symbols used low the consultant and consultee to exchange mean-
to make sense of life events and experiences. ingful and accurate information, which facilitates
_Communication skills refer to people’s ability to more effective problem solving and aids relation-
send and receive meaningful messages. Such skills ship maintenance throughout the consultation pro-
tend to be more specific than relationship skills. As cess. Jargon should be used with caution (Knotek,
we know from our experiences with others, com- 2003). Through the use ofeffective communication
municating is sometimes quite difficult. skills, the consultant is able to view the situation
Consultants need to use a broad repertoire of and the consultee from a variety of perspectives
communication skills to increase the probability ofa and enhance the possibilities of a successful out-
successful outcome to consultation. There is some come to consultation (Kurpius & Rozecki, 1993).
research that highlights the importance of commu- In fact, communication and interpersonal skills build
nication in consultation (Dougherty et al., 1997; the foundation for the success all of the stages of
Erchul, 1993b). consultation.
skills.
There are many “basic” communication
Among the more important ones for consultants Skills Related to Cultural Diversity
are:
Cultural considerations can affect consultation prac-
= nonverbal attending (e.g., keeping an open
tice (Nastasi, 2006). Although consultation models
body posture)
tend to be deficient in the areas related to cultural
listening sO
s (e.g., dis
activel y discern ing e2 a consultee’s diversity (Ingraham, 2000, 2003, 2004) and gender
intended meaning) issues (Henning-Stout, 1994), the literature related
= expressing empathy (e.g., understanding the to multicultural issues in consultation has expanded
consultee’s experience and accurately commu- greatly since the turn of the millennium. Several
nicating that understanding back to the organizations such as the American Psychological
consultee) Association, the American Counseling Association,
the Council on Social Work Education, and the
=questioning (e.¢., asking consultees to expand National Organization of Human Service Education
on a subject or be more specific) have developed materials on multicultural prepara-
orparaphra
clarif
= yin (e-g., putting con-
sing g tion and practice. The increasing diversity within our
consultant's own
sultees’ expressions into the society demands skills on the part of consultants in
words to demonstrate understanding or to help dealing with that diversity: “Consultants almost in-
consultees understand themselves better) evitably provide services to individuals who are dif-
= summarizing (e.g., putting together the main
ferent from themselves in their culture of origin”
points of discussion in order to determine the (Ramirez et al., 1998, p. 479). One of the major
next step in the consultation process) challenges human service professionals encounter 1s
discerning the complex role cultural diversity takes
g consultees
= providing feedback (e.g., providin on in their work (Hays, 2001). As early as 1970,
with informat ion abou t them selv es for the
Caplan pointed out how cultural variables could ad-
purposes of exam inat ion and chan ge)
versely affect communication in consultation.
= _giving information (e.g., informing the con- Indeed, the culture of the parties involved in
sultee of the possible ways a given client might consultation may well affect the efficacy of the
be effectively helped) mode of consultation being used (see Brown, 1997;
Seni ing the same language” (e.g., choosing Rosenfield & Gravois, 1999). There is no doubt that
consultants need to be culturally competent and take
plain language that avoids jargon)
cultural differences into account (Frisby, 2006; S nes own ire
Hoffman et al., 2006; Holcomb-McCoy, 2004;

Miranda, 2002; Ortiz, 2006; Rogers, 2000). For ex-
ample, by the year 2025, the Hispanic and Asian
combined population will approximate one-quarter
of the population in the United States (Ortiz &
Flanagan, 2002). Consultants will increasingly be
asked to consult with and about culturally diverse
people and with organizations owned, managed,
or populated by culturally diverse people (Jackson not making vaiue jJudaeN
& Hayes, 1993). Competencies in becoming multi- (or client systems) who are culturally different
culturally skilled as a consultant include those te-
lated to beliefs, atiudes, knowledge, and skil.
(Arredondo et al., 2004; Nastasi, 2005), well as as
assessment and intervention (Quintana et al., 2000;
Rogers, 2000).
Multicultural competence is basic to effective
consultation (Ortiz & Flanagan, 2002). Corey et al.
(2007) note that one of the major issues facing hu-
man service professionals is understanding the com-
plex role that cultural diversity plays in their work.
Sue (1998) suggests that cultural competency in-
volves making hypotheses rather than premature
judgments about culturally different people, know-
ing when to generalize and when to individualize
By increasing the level of our skills in working
regarding culturally different people, and having
with those from different cultures, and addressing the
culture specific expertise. When consultants work
complexities of culture and gender as they relate to
from a multicultural perspective, they attempt to
consultation, we can move toward effective consul-
understand and deal with the socio-cultural forces
tation practice. For an example of a culturally con-
affecting the helping relationship (Gibbs, 1980).
gruent consultation, see Salzman (2002). Flanagan
There are a significant number of multicultural
(2002) provides an excellent resource on competen-
competencies that have been established for human
cies related to cultural diversity. For excellent re-
service professionals by Arredondo and her collea-
sources for working with people from different
gues (1996, 2004). Ingraham (2000) has developed
cultures, see, Atkinson (2004), Diller (2007), Hall
eight domains for consultant competency in multi-
(2005), Lum (2007), and Ortiz and Flanagan (2002).
cultural consultation. Consultants should bear in
The bottom line in dealing with diversity is
mind that all consultation is multicultural if the con-
pointed out by Ortiz (2006, p. 159): “the development
cept of culture is broadened to include diversity in-
and application of interventions in a diverse setting or
dicators such as gender and age (Das, 1995).
with a multiethnic population does not automatically
Understanding your own cultural framework
make it an example of multicultural practice.”
provides a context for understanding different cul-
turalcontexts (ACAvs 2005; APA, 12002, 2003).
Being
multiculturally
competent is essential for con-
Problem-Solving Skills
problem-solving, ethical, and professional behavior Because consultation is by nature a problem-solving
skills such as the following (Ramirez et al., 1998): activity, consultants need to be highly skilled in that
area (Arredondo et al., 2004; Méyers, 2002). There Skills in Working with Organizations
is some empirical evidence that problem-solving
As the cases presented at the beginning ofthis chap-
skills are essential even in the presence of effective ter indicate, almost all consultation occurs within
interpersonal and communication skills (Curtis &
some organizational context. Because of this, con-
Stollar, 2002). Some of the many problem-solving sultants need to have some basic skills—specific
availa
skills ble
to consulta nts are behaviors—in working with an organization as a
(e.g., de- whole. When successfully demonstrated, these skills
fining consultation as a problem-solving increase the likelihood of a successful outcome of
activity) consultation.
» defini ng (that is, isolating “what is

the problem
to be fixed” during consultation)
problem (e.g., noting antecedents and

consequences) (e.g., creating working relationships with pro-
g hering, analyzing, and int eting spective consultees)
pertto intheen
probltem (e.g., surveying or- sing - Organizational
organizational analy
analysis e.g., determining
ganization al perso nnel and providing feedback who talks to whom under what conditions)
on the results)
g feedback (e.g., giving the consultee
ing objective information about some aspect of the
at is, determining which forces are organization’s functioning)
working for and against a given plan)
ising systems theory (e.g., dealing with com-
nterven i0ns | OY d particular situat)
plex organizational issues)
(e.g., identifying consultee strengths that in-
crease the likelihood of successful plan =»— gathering information (¢.g., using surveys to
determine the attitudes of the organization’s
implementation)
members)
» evaluating problem-solving attempts (that 1s, fFepDeErlvolre ©: Oroantl fation-wide inter-
determining the degree to which a selected ventions (e.g., providing a stress management
intervention worked)
[ roblem-Sso. ate xy process

organization (that is, its working atmosphere
is, arranging the responsibilities involved in
carrying out the plan)
Of | ~ O -O
(that is, its norms, standards, and values)

. solvin gm (that is, examining how
the proble
> program planning oO (e.g., assisting consul-
change can affect other parts of the system) oO
tees in executing effective programs)

Consultants use problem-solving skills such as these
to assist their consultees in solving work-related pro-
assisting consul-
blems. Many consultants attempt to facilitate the de-
within the organiza
a: -
t1i0N €.g.,
_tees in improving manager ial styles)

velopment of more sophisticated problem-solving
skills in their consultees. The critical implications of
As the list suggests, human service consultants need
these skills for successful consultation will become
not have all the skills required to give the organiza-
apparent in later chapters (Chapters 4 and 5) that dis-
tion with which they consult everything it needs.
cuss specific problem-solving skills.
However, such consultants do need selected skills » linking the comments of one group member to
that allow them to operate at an optimal level pertinent comments from others (e.g., tying in a
within the organization and assist with selected consultee’s statement about one ofher clients to
organization-wide changes. Without these skills, another consultee’s remark about one ofhis
consultants and the consultation process itself can clients)
become victims of those organizational forces that ® facilitating the developmentof the group process
have negative effects. The importance of a reper- (e.g., knowing when to move from the getting-
toire of skills for working with organizations will acquainted stage to the working stage)
become even more apparent in Chapter 8, which
= using group management skills (e.g., knowing
provides an orientation to organizations and how
how to terminate a group session)
they function.
® sensing and using group dynamics to help
Group Skills consultee groups meet their goals (e.g., calling
attention to the emotional current running
Because they are increasingly being called on to work
‘ through the group).
with groups of consultees, effective consultants need
to be skilled in working with a variety of groups Increasingly consultants and collaborators are in-
(Conyne & Mazza, 2007; Gutkin 2002; Webster, teracting in group modalities, such as teams, thus am-
Knotek, Babinski, Rogers, & Barnett, 2003). Several plifying the importance of group-related skills.
of the types of consultation you will be reading
about later—such as education/training consulta-
Ethical and Professional
tion, program consultation, process consultation,
and behavioral system consultation—frequently de- Behavior Skills
mand the use of group work on the part of consul- To be successful, consultants need to behave ethically
tants. Furthermore, group skills are particularly criti- and professionally. The necessary skills are often as-
cal for collaborators because most collaboration sociated with internal feelings or beliefs that are ex-
occurs in teams (Iverson, 2002; Meyers et al., plicitly demonstrated in consultants’ behavior.
2004; Paisley & Milsom, 2007). Some of the many Throughout their careers, all consultants encounter
group skills needed include: professional situations that require a set ofskills based
# focusing and maintaining attention on task and on sound ethical judgment (Corey et al., 2007). For
work issues (e.g., gently reminding the group example, what would you do if, as a consultant, you
when it gets off task) were “over your head” in trying to help a consultee
work with a difficult client?
# managing conflict within a group of consultees
Some of the myriad important skills that can
(e.g., using mediation skills in assisting two
help consultants act in an ethical and professional man-
conflicting group members)
ner are:
= managing agendas of meetings (e.g., helping
group members determine what items should = acting with integrity (e.g., maintaining
be on an agenda and how those items are to be confidentiality)
dealt with) = adhering to an ethical code (that is, adhering to
= providing
feedback to group members (e.g., accepted guidelines for professional behavior)
confronting members, avoidance of important = engaging in consultation only within one’s
issues) professional limits (that is, declining consulta-
® facilitating concrete and specific communications for which one is not qualified)
tion among group members (e.g., reflecting the # maintaining personal and professional growth (e.¢.,
true meaning of vague generalities) - engaging in professional development activities)
* having the intent tohelp (e.g ., being as thorough asultants ca any number of roles
as possible) duringa particular consultation relationship. The
nature of the roles is usually defined in the consul-
= effectively coping with the stress of consulting
tation contract. Effective consultants are able to de-
(e.g., using stress management skills)
termine which roles are necessary, define them to
= ensuring cultural competence (e.g., adapting
ae
<i
thesatisfaction of all parties involved, and then per-

procedures to cultural context) form those roles.
= using effective writing skills (e.g., writing high- The primary role a consultant takes on depends
quality reports) on several factors, including his or her abilities and
frames of reference, the consultee’s expectations
using power
for legitimate purposes only (that
and skill levels, the nature of the problem that con-
» is, using one’s skills to influence others
sultation is attempting to solve, the model of con-
appropriately)
sultation used, and the environmental context in
Acting in an ethical, professional manner cre- which consultation occurs. Based on this assess-
ates positive perceptions among the consultant’s ment, the consultant will be directive or nondirec-
coworkers and contacts. Such perceptions contrib- tive as appropriate (Kratochwill, Elhott, & @allan=
ute to the successful outcome of consultation be- Stoiber, 2002).
cause consultees are able to attribute to the consul-
tant the social influence necessary for maximum
The Categorization of Roles
effectiveness during consultation. Chapter 7 deals
extensively with the ethical and professional behav- Most categorization schemes put consultation roles
ior of consultants. on some sort of continuum. The most popular cat-
Possessing all these skills seems a tall order. The egorization approach still used was developed in the
extent of a consultant’s skills is best understood if 1980s by Lippitt and Lippitt (1986), inwhich con-
they are seen as part of acontinuum; no consultant sultants’ roles lie on a continuum ranging from
either completely lacks or completely possesses each directiveto nondirective roles. In directive roles
skill. And although it is important to note that ef- consultantissomething of a technical expert,
the
fective consultants are not necessarily expert in all of whereas in nondirective roles consultants tend to
these skills, they possess most of these skills to a te s expertise. Another popular
the consultee’
facilita
moderate or high degree. Developing the skills to approach to consultants’ roles, developed by
be even more effective is'a process that continues ‘Margulies and Raia (1972) in the 1970s, includes
for the entire career of every consultant. task roles (those related to expertise) at one end of
a continuum and process roles (those related to fa-
cilitation )
at the other.
AND Regardless of how consulting roles are catego-
ROLES CONSULTANTS
rized, the bottom line is that Pocetcn schemes |
COLLABORATORS ASSUME tend to reflect the consultant’s degree of involve-
ment in the consultation process relative to that of |
The Nature of Consultant Roles the eS They guide the consultant in deter-
mining who is responsible for what tasks and how
Consultants can wear many hats. They use the skills proceed in consultation. For
the consultan t should
described in the preceding sections in a variety of professionals, the directive—
most human service
consultation roles or functions performed at any
nondirective categorization scheme of Lippitt and
given time during the consultation relationship. Just
Lippitt (1986) seems most appropniate; the terms
as consultation is not easily defined, neither are the
are familiar to most human service professionals,
roles in which consultants function.
and they provide a very helpful rule of thumb On the one hand, consultants have a professional
because they imply the amount of control the con- obligation not to engage in inappropriate advocacy
sultant should have over the consultation process. roles (Remley, 1988). Yet they should not avoid
The following discussion of common consultation situations that dictate that they become advocates.
roles is grounded in the categorization scheme of Some authors (e.g., Conoley & Conoley, 1992) pro-
Lippitt and Lippitt (1986). mote a very positive view of advocacy, even to the
point of calling it a type of consultation in and of
itself.
Common Consultation Roles However, to get a feel for the possible turmoil in
Consultants
can engage in the consultation process which an advocacy role might place a consultant,
sor Sr oA gogeeare aco interms of how consider the following: A school counselor is an ad-
ultant directsthe activity occurring
vocate for a student (client system) identified as a
Nuch
immoonaicatti? pete & Lippitt, 1986); that is, possible dropout. Some school personnel (consul-
some roles are more directive than others. Next tees) feel strongly that because the student cannot
consultation roles: advocate, ex-
we'll consider six be adequately educated in the system as it stands,
pert, trainer/educator, collaborator, fact finder, and the student is better off in some setting other than
process specialist. the school. The counselor agrees that the system can-
not meet the student’s needs but maintains that it
Advocate. The most directive consulting role is should obtain the resources to do so. This advocacy
that of advocate.At first glance you would think position places the counselor in a lose—lose situation.
that advocacy would not be a typical role the consul- By attempting to change the system to benefit the
tant takes on. As an advocate
the consultant attempts client, the consultant risks losing consultee support.
\dethe consultee to do something the con- \
uade Ifthe consultant does not attempt to change the sys-
sultant deems highly desirable. For example, a contem, the client may drop out.
sultant relying on her superior knowledge about data There are times, situations, and issues for which
collection in organizations might advocate the use of advocacy 1s uns most appropriate role for a consul-
several methods in addition to what the consultee e of an appropriate advo=m
thinks is necessary. However, in the last two decades (
“ipa Vit
the advocacy role has been defined more in terms of

advocating for the rights of those who are unable to © treat its clients and me way:
help themselves (see, e.g., Hoffman et al., 2006 actua j (Lott & Rogers, 2005).
Lewis et al., 2003; Lott & Rogers, 2005). In this Consultants can avoid misusing the advocacy role
sense, advocacy is often combined with outreach: by maintaining a high level of self-awareness and
the promotion ofavailable services to selected popu- skills about such matters as poverty, racism, and
lations. For example, a mental health professional value-related issues and by maintaining a collabora-
may advocate at a variety of levels to get barriers re- tive relationship with the consultee.
lated to client access or growth examined (ACA,
2005). Expert. The most common role that consultants ,
Consultants can act as advocates in a variety of take on is that of
expertor technical advisor, In this
ways (Kurpius & Lewis, 1988): as process consul- circumstance, the consultee needs some knowledge, ad-
tants assisting groups in working effectively or be- vice, or service that the consultant can provide on re-
coming self-advocates; as identifiers of target groups quest (Stroh & Johnson, 2006). When consultants are
needing advocacy, finding necessary resources and retained as experts over a long period of time, it seems
facilitating the advocacy attempts; and as agents apparent that the consultees (or organizations) retaining
who attempt to prevent target groups from needing the consultants know what they need from the consul-
advocacy at a later time. tants. However, this 1s often not the case (Schein, 1988).
CHAPTER 2 CONSULTANTS, CONSULTEES, AND COLLABORATORS 33
_ consuls who consult with agencies about | the consultant has both the expe pasein certain skills
1eir programs meine ed to make a’ ee to create the cone under which +
21 sofwhat wrongitth an agency’s client’ consultees can acquire those s sk The roleof edu-»-4
6 OR i y Lies x. role of expert. catorimplies consultan sa body of
Consultants also function as experts when they are knowledge that consultees desire and the ability |
asked to recommend solutions to previously defined to teach them that knowledge: Formal training and
problems. For example, a consultant might recom- education sessions usually take the form of work-
mend a training program in stress management for shops and seminars. For example, a consultant might
the members of the counseling department at a large train a group of program leaders in a human ser-
secondary school. As in most other consulting roles, vice agency in methods of motivating subordinates.
the consultant does not treat the client system Informal training/educating usually occurs between
directly. the consultant and the consultee during some other
Consultants
who engage in the role of expert aspect of the consultation relationship. Thus, a con-
need to be aware o ibility that they can sultant might teach a consultee how to gather base
create dependence on the part of t eir consultees line data on certain client behaviors.
(Lippitt & Lippitt, 1986). The consultee can get One advantage of the trainer/educator role is
used to having the consultant do the work and that the consultee receives skills and/or knowledge
can effectively give the problem away to the that can perhaps be used repeatedly in the future, and
consultant. thus the consultee’s professional development is en-
Consultants engaging in the expert role need to hanced in some specific way. However, it is possible
be aware that under such circumstances their con- to erroneously assume that the consultee will actually
sultees may not improve their own problem-solving use the newly acquired skills and knowledge in some
abilities, especially if the consultant does not take the way. Unless the consultant incorporates into the
time and energy to help them to do so. training the context in which the skills and knowl-
edge are most useful, there is a strong likelihood that
they will not be adequately put into practice in the
Satay pamper ns Very closely related to the
future.
role of expert is that of trainer/educator. Whereas
Consider this example, which uses the trainer/
the role of “technological advisor” does not imply
educator role: You are a practicing school consul-
change in the professional functioning of consultees,
can tant in a middle school. Your principal asks you to
the role of a trainer/educator does. Consultants
conduct some in-service training for the school staff
engage ot ae formal and informal training and/or
on “Motivating the Underachieving Middle School
educating. Some authors (e.g., Conoley & Conoley,
Child.” You agree to conduct the workshop and
1992) contend that formal education /training activi-
follow through.
ties such as workshops are not truly consultation be-
cause of the amount ofpreplanning involved. Others
(e.g., Lippitt & Lippitt, 1986) see the trainer/educa- Collaborator. Nowhere in the consultation liter-
ature is there more confusion than that over the term
tor sole as a legitimate and distinct approach to con-
of “collabora tor” (Schulte & Osborne, 2003). That
sultation itself. Perhaps these differences in viewpoint
said, consultant generally take a collaborative ap-
result because education is compared with consulta-
tion as if it were a different human service. One way proac asultation in that the consultant an
consultee - pool their resources and work together’
to reconcile these different perspectives is to take the
on the task of creating a successful ensultati on ex-
view that whereas consultants frequently train and
educate, both formally and informally, this role is perience. Whereas the expert role in consultation
only one of several in which they engage. acknowledges the consultee’s need for assistance,
Consultants are often asked to act in the capacity the collaborator role acknowledges the consultant's
of trainer/educatorsThé role of trainer implies that need for the consultee’s assistance. The consultee is
encouraged to express his or her own ideas and mod- the same time there is an ongoing debate about
ify the consultant’s contributions. When used to de- whether collaboration is an integral element in con-
scribe consultants, collaborator refers to that role in. sultation (Erchul, 1999; Gutkin, 1999a, 1999b).
which the consultant engages the consultee ina joint — Further, there is little agreement in the field as to
endeavor to accomplish a particular task at a particu- the definitions of the terms “collaborator” and
lar time. The concept of complementarity is impor- “collaborative” (see Schulte & Osborne, 2003).
tant in the collaborator role. Consultants do not per- This lack of agreement has stifled research on the
form for consultees tasks that the consultees could. collaborator role and its effective implementation.
perform for themselves; they contribute expertise The following example uses the collaborator
that consultees need to accomplish those tasks. | role: You are a consultant working in a community
Collaboration is frequently needed in identifying al- mental health center with a colleague who has diffi-
ternative solutions to a problem, in determining the culty with a client. Together, you and the colleague
positive and negative forces operating on various al- pool your resources and contribute your respective
ternatives, and in making decisions about how to strengths and abilities to resolve the difficulty.
approach a given problem. You should note that col-
laboration, as a role for aconsultant,is distinct from Fact Finder. The role of fact finder 1s one every
the service ofcollaboration. As I have noted earlier, in consultant takes on frequently. In its simplest i. m it
the service of collaboration, each collaborator takes merely involves obtaining informatio . In the typic
responsibility for some aspect of the case. fact-finding role, hg consultant,gathers morn °
In one example of a collaborative role, a con- analyzes it, and feeds it back to the consultee(
ent
sultant and a consultee might compare their obser- & Lippitt, 1986). The consultant often takes on the
vations of a client and come to a mutually agreed- fact-finding role to collect information necessary in
upon diagnosis of the client’s problem. In another clarifying or diagnosing a problem. Methods for
case they might mutually agree on how much and gathering information include reading records, inter-
what kinds of data need to be gathered about the viewing, observing, and surveying. (We will discuss
consultee’s organization. several ways to gather information in Chapter 4.)
Among the relatively few risks involved in en- Consultants can gather information on a consultee’s
gaging in the collaborator role is that consultants client or on an entire organization. Factfinding can
may not realize that they are affected by consultees’ range from a simple, quicklyaccomplished task to a
behavior. Perhaps the most common mistake hu- very complex, time-consuming one. A school psy-
man service professionals make as collaborators is to chologist (consultant) might administer an individual
overestimate their consultees’ abilities and consult intelligence test to a student (client system) who is
in such a way that consultees’ knowledge and skill being seen by a school counselor (consultee) and re-
inputs hinder effective consultation. To avoid this port the findings back to the counselor. In another
pitfall, consultants need some assessment of consul- example, a consultant might design and send out a
tees’ problem-solving abilities before assuming the survey to an organization’s members to determine
collaborator role. the level of morale within the organization.
Conditions to enhance consultees’ professional One question the consultant should ask before
development are built into the role of collaborator. beginning fact-finding activities is “Why am I (and
When the consultant takes on a collaborative role, not the consultee) gathering this information?” Ifthe
consultees’ problem-solving skills are enriched for answers relate to lack of consultee expertise, political
the future. In addition, their confidence is likely sensitivities, time constraints, or the consultant’s need
to increase because they feel a sense of contribution to learn more about the environment in which the
to the consultation process. Some limited empirical problem is occurring, then the role offact finder is a
evidence suggests that consultees prefer a collabora- legitimate one. If the answer is because it’s the
tive approach by consultants (Gutkin, 1999a). At consultant’s job—not that of the consultee—to
gather the facts, then the consultant should reexam- relative to what was accomplished in the meeting.
ine whether or not that role is appropriate. In this example the consultant merely puts into ex-
Consider this example of a fact-finding role: ploratory questions what he or she observed. In
You are consulting to determine why the personnel another case, a consultant might help an adminis-
at a human service agency are exhibiting poor mo- trator learn how to have more effective meetings by
rale. You spend a great deal of time in the agency using agendas. In this instance the consultant assists
observing and interviewing personnel concerning the consultee in making an intervention designed to
the quality of work life. You put the data together give people more time to participate in meetings.
and interpret it for the head of the agency. Because consultants typically focus on structure
and content, they are often uncomfortable in the
Process Specialist. The least directive role of the process specialist role. And because the role of pro-
consultant is that of process specialist. When con- cess specialist frequently requires the consultant to
sultants take on the role of process expert, they work with more than one consultee, group process
focus more on the how than the what. Instead of skills are necessary. One common mistake consul-*
asking, “What’s going on?”, the process specialist tants make in the process specialist role is to assume
asks, “How are things going?” When a problem is they have permission to bring up interpersonal is-
bein { sues (Schein, 1988). Consultees should first ask if
on no feedback is wanted or raise questions concerning

,
interpersonal issues.
The following example illustrates the process
specialist role: You are a consultant called on to
proach to consultation with organizations, called help a team of middle-school teachers work “more
process consultation, was developed in the 1980s effectively.” You sit in on the group’s meetings
several times, get a sense for the group’s “process,”
by Edgar Schein. Process consultation has as its ma-
that is, how they do what they do, and then invite
jor goal the enhancement of the consultee’s under-
the group to examine their own functioning in a
standing of the process events that affect everyday
non-defensivemanner.
behavior. Two process roles seem to be emerging:
Clearly, consultants need to be able to move
the process observer role and the process facilitator role
1997). In the process ob- easily among the various roles described in this sec-
(Kormanski & Eschbach,
tion, or at least know their limitations to the degree
server role, the consultant provides periodic feed-
that they can make referrals when appropriate
concerning the group’s process, models
in deal- — (Schein, 1990c).
Jpsatess n-solving processes, assists the group
ing with communication issues, and facilitates the’
group process. There has been some discussion that
process consultation, although primarily a group INTERNAL AND EXTERNAL
consultation model, can be used with individual
CONSULTANTS
consultees and focus on the consultant—consultee
interaction as a source of data. The point is that
the process specialist works in such a manner that Consultants may or may not belong to the system
the consultee becomes a better and more indepen- in which consultation is to occur. An internal consul-
dent problem solver in the future. We will discuss fant is part of the organization in which consultation
process consultation again in Chapter-11. occurs. An external consultant consults within an or-
In one example of a process specialist role, a ganization towhich she or he is not permanently
employed on a temporary basis. The entre consul-
consultant might sit in on a school’s faculty meeting
and, at the end, ask the faculty questions to assist tation process remains the same regardless of the
locus of the consultant.
them in analyzing their interpersonal behavior
Some authors (e.g., Brown, Pryzwansky, & sultants are taking on many of the functions histori-
Schulte, 2001) recommend that the concepts ofin- cally reserved for external consultants (Caplan,
ternal and external consulting be viewed as ends ofa Caplan, & Erchul, 1994). There are, however, AG
continuum rather than as discrete entities. For exam- vantages and related disadvantages to being either
ple, an itinerant elementary school counselor may an internal or an external consultant (McLean,
serve three different schools. Depending on one’s 2006). External consultants seem to-be character-
viewpoint, the consultant can be seen as internal or ized by marginality; that is, they are only marginally
external. A staff member at the school system’s cen- admitted into the organization. They are likely to
tral office may note that, because the school coun- be objective, neutral, and comfortable with con-
selor is employed by the system that runs the three flict, ambiguity, and stress (Stroh & Johnson,
schools and because everyone involved in the con- 2006; Tobias, 1990). On the other hand, internal
sultation also belongs to the school system, the coun- consultants are affected by the hierarchy (Caplan &
selor functions as an internal consultant. But consider Caplan-Moskovich, 2004) and the politics of the
another point of view: Because the counselor 1s at a organization; that is, they “operate more by man-
given school only infrequently, he or she is not really date than by choice” (Block, 2000, p. 131).
a part of that school. Thus, to most of the school’s Many organizations with internal consultants
staft—those at the school every workday—the coun- hire external consultants with the expectation that
selor is seen as an outsider, an external consultant. the two will work as a team (Kelley, 1981). Such a
Therefore, whether the consultant is internal or ex- team approach can blend the objectivity, expertise,
ternal is determined to some degree by the percep- and “newness” of the external consultant with the
tions of the members of the organization served by knowledge of the organization, expertise, and con-
the consultation. Historically speaking, other authors tinuity provided by the internal consultant.
(e.g., Bell & Nadler, 1985) suggest that the internal— There has been an interesting twist in the liter-
external distinction receives too much attention; a ature on, internal consultants. In the past decade,
consultant is always external to the problem to be there has been a movement to suggest that collab-
resolved whether or not he or she is external or in- oration is preferred to consultation when delivered
ternal to the organization itself. by professionals who are internal to the system.
Case, Vandenberg, and Meredith (1990), in in- Because mental health or human resource specialists
vestigating managerial consultants, found that the are considered experts in their area, they can pro-
value orientations of internal consultants are less vide and receive assistance from their fellow colla-
likely than those of external consultants to reflect borators while also directly serving the client sys-
humanistic and democratic concerns, that external tem. A driving force for this shift in thinking is
consultants were more likely to suggest structural that in organizations such as schools there is a very
changes 1n organizations than their internal counter- limited amount of time to assist clients, and multi-
parts, and that internal consultants were more likely ple treatment options can help compensate for this
to conduct more rigorous program evaluations than potential barrier to success.
were external consultants. In extrapolating from this
limited finding, there is one possible message for in-
ternal human service consultants: Don’t get so caught CONSULTATION RESEARCH
up in the system that you lose your objectivity about
the necessity for change. As a practicing consultant, you will want to verify
It seems reasonable to suggest that effective that your practice is legitimate. One way to verify
consultants are effective whether or not they are this is through examining the empirical foundations
permanently attached to the system receiving con- of consultation (Henning-Stout, 1993). Research in
sultation (Stroh & Johnson, 2006). This contention consultation is only about four decades old and is
is further supported by the fact that internal con- therefore not yet very sophisticated. But there is a
srowing body of research supporting the efficacy of In reviewing the research on school consulta-
consultation. Research on consultation usually in- tion, which appears to be more or less representa-
volves one or more of the following areas: what tive of research in other areas of human service
consultants do (i.e., consultant practice), the inter- consultation, Gresham and Kendall (1987) noted
action between consultant and consultee (1.e., con- that a lack of precision in defining consultation
sultation process), and the effectiveness of interven- has led to a lack of precise research. Pryzwansky
tions (Froehle & Rominger, 1993). (2003) echoed this criticism. Gresham and Kendall
Armenakis and Burdg (1988) note four types of also noted that most research is descriptive and has
consultation research, numbered in terms of in- not considered environmental variables. The
creasing sophistication. First, there are experience- authors summarized the research in consultation in
based writings (e.g., case studies), typically written the following manner: “Most consultation research
by the consultant, that describe a given consultation can be described as limited in scope, univariate in
experience. Second, there is quasi-scientific re- nature, non-experimental, devoid of a strong theo-
search in which there is not adequate control over retical base, and unsophisticated in terms of research
the variable being assessed, as distinguished from the design and statistical treatment of data” (Gresham &
third type, scientific research, which requires ade- Kendall, 1987, pp. 313-314). Some of the more
quate control over the experimental conditions. important things these authors described that we
The fourth type of research is meta-analysis that know about consultation include the following:
attempts to tie together the results of several studies =» Most outcome research is conducted on
(Kratochwill & Stoiber, 2000a). behavioral consultation (see Bergan &
What do the results of the various types of Kratochwill, 1990; Hughes, 2000).
research suggest about consultation? Meade,
Hamilton, and Yuen (1982) pointed out long ago s The empirical research support base is strongest
the difficulties surrounding research in consultation. for behavioral consultation.
In summarizing the research to date, these authors » Dependent variables tend to include the fre-
suggested that outcome studies found consultation quency of consultation use by consultees and
to be effective (although they questioned the meth- changes in clients, consultees, or both as a result
odological soundness of most studies), that process of consultation.
studies were so limited that very few conclusions # Long-term follow-up is typically a part of
could be made, and that research on consultant
outcomes research.
characteristics was methodologically so poor that
# In process research, problem identification 1s
the whole area of research should be reconceptua-
the best predictor of problem solutions.
lized. They recommended that future research use
time-series designs in outcome studies, and that =» Perceived communication skills of consultants
consultation process studies use the case study by consultees is related to perceptions of con-
method and take multiple measures. sultant effectiveness.
After reviewing later research in organizational = Consultees dislike jargon.
consultation, Armenakis and Burdg (1988) con-
cluded that: (1) the very limited scientific research Ina later review, Gibson and Chard (1994) eval-
consultation outcomes using meta-
on consultation creates a condition in which meta- uated 1,643
analysis is not possible at this time, (2) organiza- analysis. These authors concluded that consultation
tional politics should be included as a research topic is at least moderately effective. Sheridan, Welch, and
in consultation, (3) there is a need for more research Orme (1996) reviewed consultation outcome re-
on consultation sutcess criteria, and (4) more research in educational settings from 1985 to 1995.
search is needed on how consultation strategies are They found that three-fourths of studies reported
selected. positive outcomes and that behavioral consultation
research studies were most prevalent. The authors Gresham and Noell (1993) recommend that fu-
point out advances in methodological aspects of re- ture consultation research should address “socially
search such as design and multiple measures. significant goals ... using socially acceptable inter-
Sheridan, Kratochwill, and Bergan (1996) vention methods that produce socially important,
found empirical support for change in both client reliable, and cost-beneficial changes in behavior”
system and consultee behaviors. These same authors (p. 269). Watson, Sterling, & McDade (1997) add
investigated the research on consultation processes that areas such as the effect of adherence to the integ-
and determined that successful behavioral consulta- rity of the consultation objectives need attention.
tion was characterized by variables that included a Kratochwill, Elliott, & Busse (1995) and
cooperative attitude, clearly defined roles, and ac- Kratochwill, Elliott, & Callan-Stoiber (2002) have
tive involvement by all parties. suggested that future research in consultation needs
How can research in consultation continue to ensure stricter data presentation, collection pro-
to evolve? According to Froehle and Romunger cedures, and more sophisticated designs. These
(1993), five topics need attention: (1) agreeing on a authors have also recommended that future research
definition of consultation, (2) encouraging method- expand the use of effect sizes to allow for single-
ological diversity in consultation research, (3) addres- case and within-study meta-analyses, thus allowing
sing multi- and cross-cultural issues in consultation for an examination of connections between training
research, (4) enhancing the connection between and treatment outcomes. Zins (2002) recommends
research and practice, and (5) training consultants in more consistency across studies in terms of out-
research (pp. 694-695). Others (see, e.g., Alpert & comes assessed, measurements used, and quality of
Tautique, -2002a;9 Gutkin .& Curtis. 1999: Love, implementation criteria. Gutkin (2002) suggests
2007; Meyers, 2002; Zins, 1995) point out the need that research that takes into account the multivari-
for research in the areas such as consultant training, ate contexts of conducting consultation is critical.
consulting with groups and in teams, consultation’s Hughes (2000) adds that outcome studies need to
effectiveness in providing preventative-oriented include follow-up evaluation.
services, and consultee resistance. Pryzwansky and There is very little research related to cross-
Noblhit (1990) suggest that case study approaches cultural consultation (Henning-Stout & Brown-
can be valuable assets in developing a knowledge Cheatham, 1999; Ingraham, 2000, 2003), and
base for consultation. what research exists on cross-cultural consultation
Dixon and Dixon (1993) add that consultation is in its infancy (Ramirez, Lepage, Kratochwill, &
research can be improved through expanding the Duffy, 1998). Empirical research addressing cultural
measures used to evaluate it and by defining its factors, however difficult it is to conduct, must be
“boundary” conditions. They suggest that consulta- performed (Ramirez et al., 1998). There is very
tion outcome research should measure changes in little research in this area, especially that related to
the consultant and the consultee; in the interactions Hispanics (Ramirez & Smith, 2007). To date, most
between the consultant, consultee, and client sys- of the research in this area is analogue research and
tem; and in the system in which consultation oc- qualitative case studies. Results suggest that the sen-
curs. Gutkin (1993) notes that consultation research sitivity of the consultant to racial issues is more im-
needs to move from defining the broad boundaries portant than the race of the consultant, and that
of consultation services to “qualitatively more re- consultants may want to specifically address racial
fined and sophisticated levels of research ... that issues in the consultation session. More sophisti-
will move us closer to answering questions such as cated research that identifies consultation methods
what forms of consultation are most effective with that are effective in multicultural contexts is sorely
which types of consultees having what kind of cli- needed (Ingraham, 2000; Ingraham & Meyers,
ents with which sort of problems under what sets of 2000b). As Ingraham (2000) notes: “Empirical re-
circumstances” (p. 241). search with real consultation sessions is needed to
investigate fully the influence of race, consultant consultation research examine which interventions
style, and consultee perceptions of consultant effec- provide evidenced-based outcomes and encourage
tiveness” (p. 322). This need holds for cultural vari- the use of multiple measures.
ables in addition to race. Researchers should also There has been very limited research on col-
consider investigating traditional consultation ap- laboration as a service. One study (Welch &
proaches and modifications with culturally diverse Tulbert, 2000) socially validates some of the aspects
consultees and client systems (Tarver Behring, of collaboration that have been espoused by practi-
Cabello, Kushida, & Murguia, 2000) such as parents tioners. Other research (see Meyers, Meyers, &
(Cox, 2005; Guli, 2005; Hoard & Shepard, 2005). Gelzheiser, 2001) stresses the importance of clarity
For example, does it take more time for the consul- of the roles of team members, shared decision mak-
tant to build rapport with consultees from certain ing, and the necessity of a school vision for collab-
cultural groups? Ingraham and Meyers (2000b) add oration to be optimally effective. But there are
that research is needed in the area ofculturally differ- major definitional issues surrounding terms like
ent communication styles in the consultation rela- “collaborative,” “collaboration,” and “collabora-
tionship. Meyers (2002), Ingraham (2003), and tor,” all of which great create major difficulties in
Ingraham and Meyers (2000b) have suggested that conducting pertinent research. Schulte and
qualitative research methodology may be particularly Osborne (2003) raise issues that need to be ad-
appropriate for research on multicultural consulta- dressed in research on collaboration such as: a)
tion in terms of clarifying relationships among vari- how should collaboration be defined; b) which de-
ables. The limited qualitative research to date is finitions of collaboration are linked to specific out-
promising (see, e.g., Goldstein & Harris, 2000; comes in consultation; and c) how, if at all, direct
Ingraham, 2003). service ties into definitions of consultation. Cox
Gresham and Lopez (1996), Meyers (2002), and (2005) points out that the research on parent col-
others have pointed out the necessity for consultation laboration is promising but that additional research
research to have practical applicability. For example, needs to be conducted.
Henning-Stout (1994) and Sandoval (2004) suggest A summative view of the research, however
research on the communication of expert consultants limited, suggests that consultation has efficacy even
as they relate to their impact on consultees. On the if consultation practice has far outpaced the body
other hand, Jones and Lungaro (2000) point out that of research on consultation (Dunson, Hughes, &
school-based behavioral consultation has been suc- Jackson, 1994; Erchul & Martens, 2002; Gutkin &
cessful in part due to detailed attention to social va- Curtis, 1999). Qualitative research efforts in consul-
lidity. Zins (2002) points out that consultation re- tation are just beginning (Athanasiou, Geil, Hazel, &
search needs to be more useful to practitioners and Copeland, 2002) and may increase along with the
that the adoption of a consistent terminology is im- use of these methods in counseling research (Berrios
portant for generalization and drawing conclusions. & Lucca, 2006), and they may particularly useful
As Watson and colleagues note: “[I|t behooves those when combined with quantitative approaches into
who do research ... to determine, experimentally, a hybrid model (Kratochwill & Stoiber, 2000b). On
what should be accomplished during the consulta- a disconcerting note, Hylander (2003) notes that
tion interaction to make it maximally effective for there has actually been a decline in research on con-
both the consultee and client” (1997, p. 472). sultation practice except in the area of behavioral
Kratochwill and Stoiber (2000b) recommend that consultation.
SUMMARY
The characteristics of effective consultants result Consultants take on a variety of roles during
from their desire to grow personally and profes- any given consultation, ranging from nondirective
sionally, to acquire knowledge in consultation and ones, such as process specialist, to directive ones,
human behavior, and to enhance their consulting such as advocate. The role a consultant takes is a
skills. Consultants need interpersonal and commu- result of his or her abilities, the consultee’s needs,
nication skills that flow from a genuine attitude and the nature of the problem.
based on respect, as well as skills in problem- The research on consultation is limited. Although
solving, working with groups and organizations, there is general support for the fact that consultation
dealing with cultural diversity, and maintaining eth- is an effective human service function, there is rela-
ical and professional behavior. tively little specific guidance for practitioners.
# Make a commitment to try to consistently # Develop each ofthe skills areas identified for
grow personally and professionally, increasingly effective consultants and collaborators.
learn about the knowledge of human behavior
# Become familiar with the empirical and quali-
and consultation, and develop the skills of
tative research on consultation and collabora-
consultation.
tion as means to guide your practice.
a Practice the various roles that consultants and
collaborators take on so that you can become
comfortable with them.
1. Which criteria indicate that you have an ade- 6. Why are the skills in working with cultural
quate personal and professional growth orien- diversity so critical?
tation as a consultant?
7. What are the basic differences in consultant and
tO The basic attitudes from which a consultant’s consultee behavior when a consultant changes
interpersonal and communication skills flow from a directive to a nondirective role?
are critical to effective consulting practice.
8. What are the factors that determine the role a
Why?
consultant will take on?
3. Why are interpersonal skills as important for 9. If you were a consultant starting a relationship
the consultant as communication skills?
with a consultee, what consultee characteristics
4. What are the most essential problem-solving would you consider especially crucial for suc-
skills for a consultant to possess? Why? cessful consultation?
5. With which of the consultant roles discussed in 10. If the research results on consultation are so
this chapter do you feel most comfortable? sketchy, how can consultants use them to en-
Why? hance their effectiveness?
Lippitt, G., and Lippitt, R. (1986). The consulting process in cross-cultural consultation in schools. School
action (2nd ed.). La Jolla, CA: University Associates. Psychology Review, 29, 426-428. This bibhography
This book is a classic in the consultation literature. presents some of the cutting-edge thinking in
Chapter 3, “Multiple Roles of the Consultant,” pre- multicultural consultation. It puts in one place a
sents a comprehensive approach to categorizing the list of important articles that will help you bet-
many roles that consultants can take. This article 1s a ter understand the nature of multicultural
classic about consultation roles. The authors discuss consultation.
each role and then speculate on the factors that influ- Erchul, W. P., & Sheridan, S. M. (Eds.). (2008).
ence when a given role will be taken on. Chapter 7, Handbook of research in school consultation: Empirical
“The Consultant’s Skills, Competencies, and foundationsfor the field. New York: Lawrence
Development,” contains a survey performed by the Erlbaum Associates/Taylor & Francis Group. This
authors on the necessary components of an effective book provides an up-to-date analysis of the current
consultant. These two chapters present a concise state of research in school consultation. The book
overview ofthe roles consultants can take on and the discusses related research perspectives and method-
skills and attitudes necessary to fulfill them effectively. ologies, findings and future research directions. This
Ingraham, C. L., & Meyers, J. (2000a). Annotated is an excellent resource if you are interested in
bibliography for the miniseries on multicultural and research in consultation.
PrAcRolt salt!
The Stages of Consultation

and Collaboration
N ow that you have an idea of what consultation and collaboration are, what
professionals do when they provide these services, and the skills they need,
let’s examine a generic model of consultation/collaboration. This straightforward
model provides a framework for performing these services and also allows for the
inclusion of the intricacies and the complexities of consultation and collabora-
tion. It represents what counselors, psychologists, college student personnel pro-
fessionals, social workers, human resource specialists and other human service
professionals need to know to effectively consult and collaborate. As you can
see in Figure II.1, consultation and collaboration follow a problem-solving for-
mat consisting of four stages: a relationship building process, the definition of the
problem, an implementation and evaluation of some plan, and a termination
stage. Due to the relatively few empirical studies performed on the processes of
consultation and collaboration, there are few evidence-based guidelines for effec-
tive practice. However, there is a significant amount of evidence in the literature
that indicated that a formal problem-solving approach to consultation and col-
laboration is effective (Meyers, 2002). Furthermore, please note that in every
aspect of the problem-solving endeavor, the way consultees and fellow colla-
borators perceive your communication is every bit as important as what you ac-
tually say. Let me remind you that I will not use the phrase “consultation and
collaboration” continuously throughout this and subsequent chapters; if there are
differences between the two services at any of the stages, I will use the individual
terms to differentiate.
Stage One of the generic model represents the starting up of the consultation
process. It is called entry because the consultant enters the organization and/or
42
PART Il THE STAGES OF CONSULTATION AND COLLABORATION 43
flect its primary focus on action and its secondary

emphasis on planning.
Stage One:
Stage Four winds down the process; it is the
Entry |
period of disengagement. Consultation is evaluated
and consultant involvement is reduced. Goodbyes
are said and leave is taken. The term “disengage-
Stage Two: ment” implies that the process of consultation goes
Diagnosis | through a gradual reduction in activity and is used
instead of “termination,” which implies a more
abrupt ending to the process.
Each ofthe four stages in the consultation pro-
Stage Three: cess consists of four phases. I have chosen the term
Implementation * “phase” because it implies process, whereas terms
like “step” imply more static events and fail to ac-
knowledge that consultation is a very human en-
deavor that goes through its own life cycle.
Stage Four: There is nothing magical in having four phases
Disengagement _
for each stage; they merely result from the way I
| cy Ra akbce Spr gies ae choose to view the consultation process. The impor-
The stages of consultation and
tant thing to remember at this point is that consulta-
FIGURE Ii.1
collaboration tion can be divided into certain stages and phases.
The stages (and the phases within them) can fre-
enters into relationships with consultees. In this quently overlap and interact with one another, de-
stage, relationships are built, the parameters of the pending on what happens during consultation.
problem are examined, and a contract 1s agreed Consultation is a flexible and dynamic process; it
upon with the organization or individual consultees. rarely proceeds in textbook fashion. For example,
This stage lays the foundation on which the remain- while a consultant and consultee are in the process
der of the consultation rests. of implementing a plan, a different aspect of the
Stage Two of this model is concerned with problem might emerge that would require returning
shedding light on the problem that was broadly ex- to the diagnosis stage. Furthermore, some experts
amined during entry. In this stage, the problem 1s consider the implementation stage to occur contn-
uously; that is, each of the consultant’s actions during
understood more clearly and deeply. The consultant
and consultee set goals based on this understanding the entire consultation process is viewed as an imple-
mentation. You should note that it is normal, in real-
and begin to think of ways to meet those goals. The
term “diagnosis” is used (as opposed to “problem
life consultation and collaboration, for there to be
definition”) because it implies an ongoing process. movement back and forth between the various
Stage Three involves taking action to solve the phases and stages (Allen & Graden, 2002; Curtis 62
Stollar, 2002). In addition, consideration of cultural
problem: a plan is ‘formulated, implemented, and
issues should take place throughout the stages and
evaluated. This stage is called implementation to re-
44 PART Il THE STAGES OF CONSULTATION AND COLLABORATION
phases (Ingraham, 2000, 2003, 2004; Miranda, 2002). system, relationships are built, a work site is ob-
Consultants require a perspective that facilitates their tained, the organization is studied, and contact
familiarity with the cultural frame of reference of the with the consultee Psychologically entering
begins.
consultee and client system’s culture (Ramirez et al., the system entails the ongoing process in which the
1998) while also attending to the “personal culture” of consultant gains acceptance as a temporary member
the parties involved (Egan, 2007). This generic model of the organization. This phase actually lasts the
describes the consultation process in a general enough duration of the consultation process, and it is a
manner to include the models we will be examining task that requires continual attention if consultation
later on in this text and provides a set of guidelines and is to be fully successful.
behaviors to follow irrespective of the particular model
you implement. It is designed to take consultees where
they are and can be adapted to their style of problem THE PHASES OF THE
management and cultural context. The model pro- DIAGNOSIS STAGE
vides direction and focus while allowing for the flexi-
bility necessary for effective consultation. A final point: Once the entry is accomplished, the consultation
Remember that the skills and attitudes noted in process proceeds to the diagnosis stage, which con-
Chapter 2 are essential for adequately implementing sists of the following phases:
the generic model.
information
gathering
®™
i
th en g
prob lem
defin
#
s
setting goal
THE PHASES OF THE
genera
=
= ti
possible rventions
inteng
ENTRY STAGE
When gathering information, the consultant and
Stage One, entry, consists of the following phases: consultee also attempt to increase the chances of
# exploring organizational needs understanding the problem by isolating factors that
precipitate it. Data can be gathered through a variety
=
contracting
of means, including surveys, interviews, observa-
tions, and examination of records. When defining
the problem, the consultant and consultee analyze
Exploring organizational needs refers to the pro- and interpret the data that have been gathered. It is
cess in which the consultant, consultee, and perhaps especially important for the consultant and consultee
other parties-at-interest discuss the concerns that to remain objective during this phase. A biased inter-
brought them together and then determine pretation of the data can lead to an erroneous de-
whether consultation should proceed. Contracting finition of the problem. Once the problem has
refers to the process of formalizing the agreement been defined to the satisfaction of the parties in-
that consultation should take place. Expectations volved, they set goals to overcome the problem.
for all parties involved are stated in the contract, The consultant has the responsibility to make sure
as are fees for services to be rendered and deadlines that any goal meets the criteria of effectiveness.
to be met. When a consultant physically enters the Once goals have been set, the consultant and
PARTIl THE STAGES OF CONSULTATION AND COLLABORATION 45
consultee move on to generating possible interventions stage (e.g., defining the problem) or on to the stage
that could resolve the problem. of disengagement.
THE PHASES OF THE THE PHASES OF THE
IMPLEMENTATION STAGE DISENGAGEMENT STAGE
Once a list of possible strategies has been generated, Stage Four, disengagement, consists of the follow-
the consultation process moves to Stage Three, im- ing phases:

plementation, which includes: = evaluating the consultation process
= choosing an intervention a planning postconsultation matters
« formulating plan
a s reducing involvement and following up
# implementing
the plan = terminating
» evaluating
the plan Evaluating the consultation process can range from
This stage begins with choosing an intervention or assessing consultee satisfaction with consultation to
group of interventions—activities the consultant measuring the impact of asystem-wide intervention
and consultee think have the best chance of effec- on the behavior of the members of an organization.
tively solving the problem. Using these interven- Evaluation must be a planned event so that consul-
tions, the consultant and consultee embark on _for- tant and consultee alike will know what will be eval-
mulating a plan that incorporates these interventions. uated, by whom, how, and when. We will see that
The pros and cons of a variety of possible plans are there is a trend toward the increased use of qualita
carefully scrutinized until a plan that is likely to tive measures of consultation effectiveness. Planning
succeed is chosen and tailored to the unique re- postconsultation matters involves deciding how the ef-
quirements of the client and/or the organization. fects of consultation are going to be maintained by
In collaboration, each party involved is assigned the consultee and/or the organization. This phase is
to, and responsible for, carrying out a part of the essential in increasing the probability that follow-
plan. The third phase 1s implementing the plan, and through occurs after the consultant's involvement
the consultant usually monitors the plan’s progress ends. Reducing involvement is the phase in which the
once it has been implemented. In collaboration, consultant creates conditions of decreasing contact
unlike consultation, the human service/mental with the consultee. This is also the time when
health professional takes responsibility for the men- more and more responsibility for the results of con-
tal health aspects of the case and is hence part of the sultation is taken on by the consultee. Follow-up is the
process in which the consultant monitors this transfer
implementation process. In collaboration, the par-
of responsibility so as to iron out any unforeseen
ties involved carry out their pieces of the plan and
problems. Terminating is the formal ending of the
provide ongoing assistance to one another as neces-
consultation process. It has professional aspects
sary. The final phase is evaluating the plan. Based on
pro- (e.g., collecting final fees) and a personal side (e.g.,
the results of the evaluation, the consultation
saying goodbye). Effective consultants successfully
cess moves either back to a previous phase of some
46 PART II THE STAGES OF CONSULTATION AND COLLABORATION
accomplish both the professional and personal sides of cating consultant competency. You may want to ex-
termination (Dougherty, Tack, Fullam, & Hammer, amine with your consultees the degree ofyour direc-
1996). tiveness and their reaction to it during your
supervised practice. For example, you may want to
gain feedback from consultees regarding your ques-
PUTTING THE GENERIC tioning style (Hughes & DeForest, 1993). In collab-
oration, you will often be viewed as the expert in a
MODEL INTO PRACTICE
certain area relative to the goals of helping the client
system. For example, a school counselor might be
There are three important points to make about
viewed as the most knowledgeable about a child’s
putting the generic model of consultation into
practice. First, consultation is a dynamic, interactive capacity for learning.
process that uses the various stages as needed
(Meyers & Yelich, 1989). Things rarely, if ever,
go in a textbook fashion. Equal attention should EXAMPLES
be paid both to what you are doing and to how
The following two case studies are designed to
you are doing those things.
show how the consultation and collaboration pro-
Second, it is very important to get supervised
cesses generally work. Although oversimplified,
practice in consultation. By “trying on” the model
they will provide concrete examples to which you
and putting it into practice, you can get a sense of
can continue to refer as you read and study the next
yourself as a consultant. The more experience you
five chapters. They represent idealized cases—for
get, the higher the probability that you will increase
consultation and collaboration, like other human
your effectiveness as a consultant.
service activities, rarely proceed so smoothly—but,
Third, the collective wisdom concerning con-
nonetheless, they provide a rough outline of how
sultation suggests that the generic model be imple-
mented in a collaborative manner whenever possible. the processes work.
You should be aware, however, that there is very
little empirical evidence to support this point of
view. Therefore, your own experience in each con- RESISTANCE
TO
sultation will assist you in determining what roles to CONSULTATION
take on. Some limited empirical evidence suggests
that consultants should be at least minimally in charge No matter how many precautions consultants take
of the consultation process (Witt, 1990a; Gutkin, to ease their physical and psychological entry into
1996). Consultees tend to view some degree of con- the system, some resistance to consultation is typical
sultant dominance in which they follow the consul- throughout the entire consultation — process.
tant’s leads as being positive (Erchul & Chewning, Although such resistance is normal, this lack of co-
1990). Erchul and Chewning (1990) intimate that operation with the process can present significant
consultants may be more in control of their consul- challenges to your consultation activities. Resistance
tation relationships than they realize and that this is the failure of a Consultee or organization to par-
control is positively perceived by consultees as indi- ticipate constructively in the consultation process
PART II THE STAGES OF CONSULTATION AND COLLABORATION 47
or ASE Il.1 Consultation
Assume that you are a school counselor who is going to include the loss of recess time when homework is not
act as a consultant. Your consultee is a schoolteacher turned in and the use of a parent-child contract for
and the client is his student. You meet with the getting the homework done. You have now completed
teacher, who discusses the student's behavior, particu- the diagnosis stage; you are ready to begin the imple-
larly his rarely turning in homework. You help the mentation stage.
teacher explore the problem and at the same time Weighing the pros and cons of each intervention,
build rapport with him. You both agree that working you and the teacher determine that the parent-child
on the homework problem is mutually agreeable, so contract is the best alternative. You then formulate a
you contract to meet three or four times to work on plan that consists of obtaining parental cooperation
that problem. You agree to observe the student in the and assisting in the formulation of a parent-child con-
teacher's classroom and continue to use effective tract for getting homework completed on the nights
communication skills and gain the teacher's acceptance the parents are not home. When the parents agree to
of you as a person he can trust. At this point you have the plan, you and the teacher assist them in carrying it
completed the entry stage. out. Strategies for appropriately reinforcing both the
You and the teacher now start to gather infor- child and parents are included. The parents carry out
mation on the student; together you examine the stu- the pian effectively; based on your evaluation, the goal
dent’s cumulative folder. The teacher keeps track of has been met. The third stage, implementation, has
when homework is not turned in and the conditions just been accomplished. Now you go on to the dis-
surrounding that behavior. Based on the data, you engagement stage.
note that the student does not turn in homework on In this final stage, you have the teacher rate his
Tuesdays and Fridays but does on the other school satisfaction with your efforts to assist him during each
days. An interview with the student's parents reveals of the previous three stages. You then lay the ground-
that they both attend school on Monday and Thursday work concerning the way he will carry on with the
nights and that the child is left with a babysitter. Based student after you cease consulting. You check in with
on this information you and the teacher redefine the the teacher every two weeks or so to see how things
problem as lack of parental supervision on Monday are going. A month or so after your last contact you
follow up to make sure that the homework is still be-
and Thursday nights. You and the consultee set the
ing turned in. Toward the end of the next grading pe-
goal of having the student turn in all homework every
other Tuesday and Friday for the first month, and every riod you again check in about the student's perfor-
mance. Because everything is proceeding well, you and
Tuesday and Friday thereafter. When generating pos- |
the teacher agree to terminate consultation.
sible strategies you come up with several ideas, which
Organizational Resistance
(Wickstrom & Witt, 1993). A related term, “reluc-
tance,” refers to the hesitancy of the consultee to When consultants enter organizations ready to ini-
engage in consultation. tiate change, they frequently encounter a healthy
Overcoming resistance involves accurately di- resistance (Fuqua et al., 1999; Block, 2000). This
is an important survival mechanism that protects
agnosing its source. A common mistake made by
organization from outside threats. However,
consultants is to assume that resistance is due to a
the
all organizations must adapt to change, and resis-
negative attitude on the part of the consultee
et al., 1995; O’Keefe & Medway, tance can impede the progress of this adaptation.
(Kratochwill
1996). Consultants will Although resistance to consultation received a sig-
1997: Watson & Robinson,
nificant amount of attention in the literature during
need to differentiate resistance from lack of skill on
the 1990s, relatively little has been written recently.
the part of consultees to carry out interventions.
CASE Il.2 Collaboration
Now consider the same case, only this time from the turned in and the use of a parent-child contract for
perspective of collaboration. Pay particular attention getting the homework done. You have now completed
to the italicized aspects of the case. Assume that you the diagnosis stage; you are ready to begin the imple-
are a school counselor who is going to act as a collab- mentation stage.
orator. Your fellow collaborator is a schoolteacher and Weighing the pros and cons of each intervention,
the client is a student. You meet with the teacher, who you and the teacher determine that the parent-child
discusses the student’s behavior, particularly his rarely contract is the best alternative. You then formulate a
turning in homework. You help the teacher explore plan that consists of obtaining parental cooperation
the problem and at the same time build rapport with and assisting in the formulation of a parent-child con-
him. You both agree that working on the homework tract for getting homework completed on the nights
problem is mutually agreeable, so you contract to meet the parents are not home. When the parents agree to
three or four times to work on that problem. You the plan, you and the teacher assist them in carrying it
agree to observe the student in the teacher's classroom out. Strategies for appropriately reinforcing both the
and continue to use effective communication skills and child and parents are included. You agree to counsel
gain the teacher's acceptance of you as a person he can the child concerning the issues related to the child's
trust. At this point you have completed the entry stage. lack of academic performance when the child is not
You and the teacher now start to gather infor- under parental supervision. The parents carry out the
mation on the student; together you examine the stu- plan effectively; based on your evaluation, tne goal has
dent's cumulative folder. The teacher keeps track of been met. /n evaluating your work with the student,
when homework is not turned in and the conditions you determine that the goals have been met. The third
surrounding that behavior. Based on the data, you stage, implementation, has just been accomplished.
both note that the student does not turn in homework Now you go on to the disengagement stage.
on Tuesdays and Fridays but does on the other school In this final stage, you and the teacher rate your
days. An interview with the student’s parents reveals satisfaction with your respective efforts to assist one
that they both attend school on Monday and Thursday another. ‘You then lay the groundwork concerning the
nights and that the child is left with a babysitter. Based way each of you will carry on with the student after
on this information you and the teacher redefine the you cease the collaboration process. You check in with
problem as lack of parental supervision on Monday each other every two weeks or so to see how things are
and Thursday nights. You and the teacher set the goal going. A month or so after your last contact you follow
of having the student turn in all homework every other up to make sure that the homework is still being
Tuesday and Friday for the first month, and every turned in. Toward the end of the next grading period,
Tuesday and Friday thereafter. When generating pos- you again check in about the student’s performance.
sible strategies you come up with several ideas, which Because everything is proceeding well, you and the
include the loss of recess time when homework is not teacher agree to terminate.
There are four sources of organizational resistance time, and effort. In fact, the very title “consultant”
to consultation (Parsons & Meyers, 1984): the desire can be threatening because it implies change.
to keep things the way they are, the view of the con- Because the organization’s perception of the consul-
sultant as an outsider, the rejection of anything new tant’s role early on in the consultation process is often
as non-normative (a “we-just-don’t-do-things-that- unclear, resistance can be preempted by providing
way-around-here”’ attitude), and the desire to a clear picture at the outset of what the consultant is
protect one’s own turf or vested interest (the “silo “ce
to accomplish (McLean, 2006). Obtaining support
mentality”). Resistance is common even in those from the leadership of the organization for consulta-
organizations that want to change and that support tion also diminishes resistance (Kratochwill, Elliott, &
consultation with appropriate degrees of money, Callan-Stoiber, 2002). French and Bell (1999) add
PART Il THE STAGES OF CONSULTATION AND COLLABORATION 49
that extensive and ongoing communication about the Dissonance occurs when apers concepts that
has on
expected changes from consultation, and engaging are either not in acco rd
with each other or illogical.
organizational members in planning how consultation For example, being a consultee and not liking it are
will be implemented, help to reduce resistance. dissonant concepts, and there is a strong likelihood
Nontraditional views of organizational resis- that consultee resistance will ensue. Dissonance 1s
tance assume that resistance is present only to the minimized when a consultee buys into the consulta-
degree that organizations are conceptualized in terms tion process. Ways to involve a consultee include
of power and conflict (Kress et al., 1998; Merron, keeping consultation a voluntary and peer re-
1993). In these cases, what is labeled “resistance” is lationship, showing how consultation can help but
regarded as simply the expression ofalternative views making no “guarantees,” and making sure that the
of organizational events and a consultant’s focusing consultee puts forth some effort in the consulta-
on what is wrong in the organization. tion process (Hughes, 1983). By involving the con-
sultee in these ways, the consultant creates a relation—
Consultee Resistance ship in which the consultee is more likely to
Whereas relatively little has been written about or- cooperate.
ganizational resistance to consultation, a great deal Hughes and Falk (1981) examined resistance to
has been written over the past few decades about
consultee resistance (Dougherty et al., 1991; Erchul
& Conoley, 1991; Hughes, 1983; Meyers & Yelich, that
a freed
1989; Randolph & Graun, 1988; Tingstrom et al., restoreit(Brehm, 1966; Hughes & Falk, 1981). One
1990). In any helping relationship, resistance 1s both implication for consultants is to avoid the overuse of
persuasion and recommendations, and instead pro-
unavoidable and potentially helpful (Blom-Hoffinan
& Rose, 2007; Otani, 1989). Consultants must man- vide consultees with choices whenever possible dur-
age resistance to maximize a positive consultation ing consultation. In this way, consultees are most
outcome (Blom-Hoffman & Rose, 2007). From a likely not to experience any infringement on their
behavioral viewpoint, resistance can arise from the
freedom. Dougherty et al. (1991) suggest that resis-
consultee’s aversion to the consultation outcome. tance can be due to a consultee’s misconception con-
Consultees may believe that the benefits of consul- cerning the nature of consultation, some dysfunction
tation are not worth the costs (e.g., it will take too
in the consultation relationship, fear related to the
much oftheir time) or that consultation will result in
discomfort of disclosing need, or cognitive distor-
tions that cause misunderstandings and lead to in-
some form of punishment (e.g., criticism by one’s
creased resistance. Kratochwill and Pittman (2002)
supervisor) (Piersel & Gutkin, 1983). Therefore, to
resistance, the consultant should ensure indicate that resistance may be related to the consul-
minimize
tee’s perception of the acceptability of the interven-
that the cost of participating in consultation is at least
tion. Jeltova & Fish (2005) note that consultants need
matched by the benefits.
to be knowledgeable about the content of the resis-
Cognitive dissonance theory can be used to an-
tance and the resistors.
sourof
alyze ce stee resistance (Hughes, 1983).
consul
50 PARTI] THE STAGES OF CONSULTATION AND COLLABORATION
Dealing Effectively with Resistance ity to comprehend and appreciate the consultee’s
views of events. Using referent power refers to con-
There are several things consultants can do to min-
sultant’s attempt to use a collaborative and coopera-
imize resistance:
tive style in approaching the consultee. Motivation
= Create a strong relationship to build trust and interviewing assists consultees in . dealing with
alleviate fear.
ambivalence-related resistance by allowing them to
# Demonstrate cultural competence and convince themselves that change is in order.
sensitivity.
# Collaborate whenever possible.
A Brief Example of Resistance to
s Create conditions so that a consultation has a
satisfying outcome and is worth the effort.
Consultation
# Allow the consultee as many choices as As you consult with a mental health practitioner
possible. about a client, you increasingly note that the con-
# Throughout the process, point out how consultee avoids direct eye contact with you as he dis-
sultation might be helpful. cusses his client. As you reflect on the consultation
# [Distribute the workload in consultation so that relationship, you note that you and the consultee are
the consultee does his or her share. locked into a “Yes, but .. .” kind ofinteraction in
= Give the consultee as much freedom as possible which you make suggestions regarding the case, and
in all aspects of the process. he explains how none of them could possibly work
® Be clear about the nature of consultation from with this client. You acknowledge the issue by not-
the outset. ing that you are getting frustrated with what is going
# Challenge any cognitive distortions with spe- on and that you imagine the consultee is, too. You
cific disputing examples. suggest both starting anew by focusing on what the
# Beas clear and specific as possible about what is consultee wants to have happen in the case and how
expected of the consultee. both of you can collaborate to achieve it.
#» Use examples to illustrate points.
= Try to minimize the new things a consultee has
to learn. PERSONALIZING THE
# Link interventions to the consultee’s explana- CONSULTATION AND
tion of the causes of the problem.
COLLABORATION PROCESS
# Ensure that the consultee has the skills neces-
sary to carry out the interventions.
Discussing consultation and collaboration in terms
Perhaps the best method of dealing with resis- of stages and phases leaves out the human side of
tance is to prevent its occurrence in the first place the process. As a consultant or collaborator, you are
through understanding and emphasizing referent your best intervention (Bellman, 1990). That is,
power (Wickstrom & Witt, 1993), viewing some who you are as a person can affect the outcome
resistance as normal (Egan, 2007), and applying mo- of consultation or collaboration as much as what
tivational interviewing (Blom-Hoffman & Rose, you do when you‘engage in these services. I devel-
2007). Understanding refers to the consultant’s abil- oped this idea after reading Gerard Egan’s book The
PART Il THE STAGES OF CONSULTATION AND COLLABORATION Dil
Skilled Helper (2007). Egan describes his counseling 10. Collaborate in putting together the best possible
model as a series of steps for “being with” clients. plan and considering the available resources.
To include this human side, here is how you can be 11. Asa consultant, be available to monitor the
there for the people with whom you’re working progress that is being made; as a collaborator,
fulfill your part of the plan.
throughout the phases of the consultation process:
12. Provide assistance and encouragement in
1. Listen well at the outset and take the time to evaluating the plan.
build rapport.
13. Ask for evaluations of yourself and your
NO Assist in formulating a contract that will make services.
explicit the expectations you have for each 14. Assist in planning what needs to be done re-
other. garding the consultation or collaboration after
3. Start the consultation/collaboration process you have left the scene.
on the consultee’s or collaborator’s turf as 15. Avoid dependence by the consultee or ’
soon as possible. fellow collaborator through a gradual reduc-
4. Proactively attempt to gain acceptance, not tion in your involvement and foster their
only by the consultee or fellow collaborator, independence through intermittent
but also by the organization in which the follow-ups.
service is being provided. Say goodbye professionally and personally
16.
5. Do your best to determine what information and let go of the relationship when that is in
should be gathered on the problem and how everyone’s best interest.
best to do it.
My main goal in this part of the book is to provide
6. Attempt to be unbiased as you assist in ana-
lyzing and interpreting the gathered data. you with an understanding for how to go about the
general process of conducting consultation and collab-
7. Ensure that the goals you and the consultee or
collaborator set are effective goals that have a oration. As you read the next several chapters, I also
good probability of being successfully hope that you will gain an appreciation of the complex-
accomplished. ity of the ethical, professional, and legal issues that sur-
8. Beas creative and sharp as you can be when it round the consultation/collaboration process. A final
comes to generating possible interventions. goal is for you to become aware of some of the prag-
9. Assist in examining the pros and cons of each matic issues involved in consulting, such as the influ-
possible intervention you and the consultee or ence of the organization in which consultation occurs.
collaborator consider.
Entry Stage
J ust like a good novel, the consultation process should have a beginning, mid-
dle, and an end. Frequently referred to as start-up activities, the entry stage can
consist of one telephone call or several exploratory meetings. Entry is the initial
contact the consultant has with the consultee.
consultation should occur (French & Bell, 1999). Throughout this stage, the
consultant and the organization contact person try to determine how advanta-
geous consultation can be. The consultant should bear in mind that the success
of the consultation depends in part on how well these start-up activities are ac-
complished. It is important to note that consultants will also have to “enter” ev-
ery relationship they form with consultees.
The purpose of this chapter is to explain this beginning, or entry, stage of
the consultation process. Entry, as both a distinct stage of consultation and a pro-
cess in which the consultant begins to create relationships within the consultee
organization, 1s complex and consists of four phases: exploring organizational
needs, contracting, physically entering the organization’s system, and psychologi-
cally entering the system.
Here are five questions to consider as you read this chapter:
1. In what ways is the entry stage a complex process?
2. Why 1s the entry stage both a critical and delicate stage of consultation?
3. How directive should a consultant be in guiding the course of consultation
during the entry stage?
4. “There is more to a contract than what is written on the paper.” What are
the implications of this for consultants?
on How can a consultant psychologically enter the consultation system effec-
tively and efficiently?
52
CHAPTER 3. ENTRY STAGE 53
INTRODUCTION through the creation of temporary membership in

an organization for a person who is to help that
To get a feel for the entry stage, consider the fol- system.
lowing situation:
Internal consultants (those permanently em-

Case Example
ployed by the organization in which they consult)
You are a professor of human services at a state also have to enter, because elements of each con-
university. A former student, now director of ad- sultation situation will be new to them every time.
vising at a nearby community college, telephones Figure 3.1 shows the four phases of the entry stage
and wants to come and talk with you about en- of consultation.
hancing the quality of his advising services. You set
up an appointment, which will take place in your
office.
During the appointment, you assist the advising PHASE ONE: EXPLORING
director in exploring the advising office’s specific
ORGANIZATIONAL NEEDS
needs in regard to enhancing the quality of advis-
ing. You ask the director to make up a wish list to
stimulate preliminary exploration. You ask what is
going well and what is not going so well. You ask
about the organizational environment in which ad-
It is not unusual for an
vising occurs, and you ask for the advisors’ views on without
organization to contact a consultant
the process of advising, its rewards, the level of ad-
ministrative support for advising, and the advising
director.
Based on this information, you agree to conduct
two sessions with all the advisors. The first session is a Exploring organizational needs
workshop on effective advising, and the second is a Contracting
troubleshooting meeting with the advisors to help Physically entering the system
them feel more heard by those who coordinate ad- Psychologically entering the system
vising services. You and the advising director sign a
contract to that effect. The week before the work-
shop, you visit the community college and all of the
workshop participants. You are supportive and ask Diagnosis |
them what things they would like to talk about. a te
Next you arrange for the room at the community
college in which the workshop 1s to occur. Then,
when you open the first session, you ask the partici-
pants what they want and what they do not want out ee Implementation
of the workshop.
Entryisthe general process by which the con-
——
sultant enters the system in which consultation is to

Disengagement
occur, Glidewell (1959), in a now classic article; —_

defines entry by an external consultant as the at-
FIGURE 3.1. The phases of the entry stage
tachment of a consultant to an existing social system
knowing the precise or even the appropriate reason There, the serious nature of the consultation rela-
why consultation is needed. In fact, tionship is reinforced because the meeting is not in
a social setting. The advantages of meeting in a
neutral site are that it gives the organization’s con-
Some authors (Conoley & ) tact personnel more of a sense of control and pro-
that an organization rarely uses refined techniques vides an informal setting that minimizes pressures to
to determine its need for a consultant, and fre- commit to a contract for consultation services.
quently the organization has misidentified its prob-
lem. Therefore, consultants should be cautious
about moving too quickly into planning imple- Determining whether Consultation
mentation steps during the beginning of the entry Should Take Place
process (Sperry, 2005).
Whether or not there is a firm grasp on what 1s The primary decision to be made during the pre-
needed in consultation, an organization usually liminary exploration of organizational needs _ is
contacts a consultant because it perceives it has a whether or not consultation should be undertaken.
concern that cannot be solved within the organiza- Over the years, six issues that relate to this decision
tion or because there is an unfilled gap within the have emerged (see Cherniss, 1993; Holtz & Zahn,
organization (Schein, 1988). In contrast, the process 2004; McLean, 2006; Stroh & Johnson, 2006):
can also begin when a consultant contacts an orga- 2 ‘dala teaSOisisiiie ree” the con-
nization and attempts to sell consultation services sultant and the consultee system (e.g., as regards
related to the typical concerns of organizations. value systems)
Before actual physical and psychological entry
into the organization occurs, the consultant must / an amount of resources the organization is
deal with certain preentry issues (Cherniss, 1993; willing to commit toward change (e.g., the
French & Bell, 1999), such as deciding whether amount of administrative sanctioning for con-
the consultant appears to be the nght person to sultees’ participation)
help the organization and determining the things # the appropri ; ie
to focus on during consultation. Other issues in- organization’s.chi istics, (e.g., the amount
clude dealing with possible disagreements on the of flexibility within the organization with re-
nature of the problem, as well as the ramifications gard to the changes consultation may involve)
of whose interests are being served by the consulta- nization perceive
tion (Cherniss, 1993; Sperry, 2005). The process of ne d tor change (e.g., the degree to which
considering these issues usually begins with an ex- prospective consultees see consultation as 1m-
ploratory meeting referred to as the first
contact. portant in meeting the organization’s goals)
First contact may be initiated by either party
and usually involves the organization’s contact per- =" mutual understanding of the expectations for
son, perhaps some parties-at-interest (stakeholders), .g., the consultant and consul-
and the consultant. Ideally those involved should be tees being able to agree on how consultation
knowledgeable about consultants and favorable to- should proceed and on desirable outcomes for
ward their use (French & Bell, 1999). all parties involved)
. 4reement on who constitutes the erste
S 1es—at—] S
(e.g., the consultant agrees to consult only with
advantage for meeting at the organization is that it the crisis intervention team in a mental health
allows the consultant on-site observations of the center regarding approaches in counseling their
organization and the ways its personnel interact. clients)
CHAPTER 3 ENTRY STAGE 55
In the 1980s, Bell and Nadler (1985) developed determining their respective roles, both consultant
four shared questions to determine whether or not and contact person need to remember that they
consultation is necessary and worthwhile: Why am represent their respective organizations as well as
I here? Who are you? What is likely to happen? themselves (Caplan & Caplan, 1993; Caplan,
What will be the result? The degree to which the G@aplan, & Erchul, 1994; Stroh & Johnson, 2006).
four questions are answered to the satisfaction of
both the consultant and the contact person eventu- What Is Likely to Happen?
ally determines the success of the preliminary ex-
The third question, “What is likely to happen?”’, 1s
ploration (Stroh & Johnson, 2006).
The answers to these questions constitute the really about means and ends.
uring which
What are the desired outcomes? (See Stroh &
Johnson, 2006.)
(Caplan & Caplan, 1993). Anoth of this
task is determining What Will Be the Result?
From the consultant’s perspective
>
“What will b Be
Gesfil@Mann, 1983; Strohn & Johnson, 2006). To

From the contact person’s perspective, the answer
determine this, the consultant conducts a “mini-
(McLean, depends on how much change the consultation
assessment” of the perceived problem
requires.
2006).
What Can Go Wrong?
Why Am | Here?
The initial exploration of the organization’s needs
The question “Why am I here?” is important to can go awry due to inadequacies in both the con-
contact person and consultant alike. From the consultant’s and the contact person’s behavior. As Ford
tact person’s perspective, this question concerns (1979) noted long ago, echoed by French and Bell
perceivedineed. From the consultant's perspective, (1999) and still holding today, a consultant can
the question involves assisting the consultee in jeopardize the consultation relationship during the
d asses-
for entry phase in several ways:
sing whether the consult ant is the right person
the job. fail to identify the real problem
promise too much
Who Are You? fail to specify consultant roles adequately
The question “Who are you?” concerns definin fail to recognize a lack of competence about
the roles taken on by the consultant, contact per- the problem
son, and others involved in consultation. Answering fail to adapt to the organization’s particular
this question entails identifying the roles and re- problems and concerns —
sponsibilities of the consultant and the contact per-
By bearing these potential pitfalls in mind and
by monitoring their own behavior accordingly,
son.
consultants can frequently save the consultation

process from difficulties. Consultees can also pre-
vent entry from proceeding smoothly. The
following are some of the many things a consultee consultant’s role in the consultation process, and
or contact person can do during the entry phase to defining the organization’s responsibility with re-
jeopardize the consultation relationship: gard to expectations about the consultant. Once
this has been adequately accomplished and it is de-
= fail to screen a prospective consultant properly termined that consultation should occur, the infor-
# neglectto clarify how the consultant intendsto mation gathered in this phase can be used in
operate within the system contracting.
= fail to clarify specific expectations of the con-
sultant’s role and behavior
« fail toidentify
the organization’s problem PHASE TWO: CONTRACTING
accurately
With a decision that consultation is to take place,
~ fail to explain to the consultant how the orga-
nization’s resource limitations might affect the the consultant and the consultee or contact person
potential consultation experience | begin to discuss and negotiate the terms of consul-
tation. This activity begins the phase of contractin
Consultants must be aware of these potential
pitfalls as they assist the organization’s contact per-
son in exploring the organization’s needs. Perhaps
the best way to prevent such pitfalls is by allotting (Riemleys 1993;
sufficient time to develop a mutual understanding, Remley & Herlihy, 2007) and is one method of
which leads to open communication and discus- obtaining informed consent (Rosenfield, 2002a).
sions that are as specific and detailed as possible.
Effective questioning by the consultant is particu-
larly important in avoiding these pitfalls. The Nature of Contracts
Every relationship is based on expectations, which,

A Brief Example of Exploring Organizational in the context of the consultation relationship, are
Needs. A mental health consultant is approached usually made explicit in formal contracts. Stroh and
by the members of a religious organization to help Johnson (2006) point out that the terms “proposal,”
them develop a program for enhancing the self- “letter of agreement,” and “contract” are often used
esteem of its youth group members. The consultant interchangeably. For our purposes, the term “con-
meets with three members of the organization’s tract” has a variety of meanings when used in the
governing board and the youth group leader. delivery of human services.
Together the group explores the possibilities of
what such a program might look like, the history
of the program’s idea, and the consultant’s compa-
rable experience. The consultant is satisfied that she
can assist, and the consultees believe that she can be
of assistance. The resources necessary for program (Holtz & Zahn, 2004; McLean, 2006;
development are available, and everyone agrees on Caplan et al., 1994; Sperry, 2005). In consultation
what is expected from the parties involved. The relationships, the contract is an agreement “spelling
consultant agrees to draw up and submit a proposal out the expectations and obligations of each party,
and contract. the frequency of meetings, the scheduling of ap-
In summary, preliminary exploration of the or- pointments and access to personnel in the consultee
ganization’s needs includes deciding who the con- system, the data to be collected, the provisions for
sultees and client system will be, determining the review and modification of the program, and the
amount and manner of payment of any fees in- A contract has both formal and psychological
volved” (Mann, 1983, p. 108). The contract reflects aspects. The formal aspect of acontract covers such
and clarifies the shared understanding between con- things as services to be rendered, type and amount
sultant and consultee in three critical areas: of payment, and the length of consultation (French
& Bell, 1999). The psychologica aspect ofl a con-
tract refers to what each party hopes to gain from
the relationship. The “psychological contract” 1s
In collaboration, contracting is often informal, based on interpersonal trust, which cannot be put
with the parties involved agreeing to take responsi- in writing, and it reflects acollaborative effort be-
bility for the aspects of the case related to their area of tween the consultant and the organization’s contact
expertise (Block, 2000). There is an increase in the person concerning what each expects from the con-
use of contracts even by internal consultants (Stroh & sultation process (Boss, 1993).
Johnson, 2006).The consultant should bear in mind,
however, that a detailed written contract has the The Formal Aspects of a Contract «
advantages of framing participants’ roles and pro- The formal aspects of contracting refer to the types of
viding a focus for evaluating consultation services. contracts used and their elements. There are several
Whatever form a contract takes, its particulars must types of contracts that can be used in consultation.
be clear. Some authors (e.g.,Wilcoxon, 1990) rec- For example, a contract may be a simple working
ommend a formal, written contract at all times as a
agreement or a written and detailed technical docu-
legal safeguard for the consultant. ment. Contracts can vary to the agency in which
The specificity of acontract depends upon how consultation is to occur. A school district might
precisely the problem has been defined. To the de- well have a boilerplate contract with type ofservice,
gree that the contract is structured and specific, the dates, fees, and legal/disclaimer information, while
consultant’s role will be relatively constant. To the state and federal agency contracts will have signifi-
degree that the contract is general and unstructured, cantly more detail. Internal consultants often use ver-
the consultant’s role may vary and the more likely it bal agreements. Consultants should be willing to help
is that the contract will be renegotiated during the the contact person choose the type of contract that
consultation process (French & Bell, 1999). Since the nature of the consultation dictates.
specificity can be an issue, it must be agreed upon
when the contract 1s aie drawn a It is in the
Elements of a Contract
To develop and maintain a good working relation-

osenfield, 2002a). ship between the consultant and the organization,
The stage of change in which the consultee’s certain key issues pertinent to the consultation
problem exists can be an important factor in develop- should be covered in the contract. A well-defined
ing the contract. There are typically four stages of contract will minimize the possibilities of role con-
change during which the consultee may seek help: flicts, dual role relationships, and resistance—all of
development stage, as a problem begins; the mainte-
the which can contaminate the consultation relationship.
nance stage, once a problem is established; the declining Consultation contracts typically cover the following
stage, when an existing problem begins to get worse; elements not byedRemley & Herlihy, 2007, p. 326):
and the crisis stage, when the consultee is in dire need Te Clearly specify the work to be completed by
immediate assistance. The consultant, through the
of the consultant.
use of judicious questioning, can determine the exist-
Describe in detail any work products expected
ing stage of change and create an appropriate contract
from the consultant.
(Kurpius, Fuqua, & Rozecki, 1993).
Mountain City School System
Mountain City, USA
Contract
This is a contract between the Mountain City School System, herein called the party of the first part, and L. G.
Shandi, herein referred to as the party of the second part. This contract is entered into on the sixth day of
February 2009 as follows:
The party of the second part agrees to serve as a consultant between March 1, 2009 and December 31, 2009,
by providing group case consultation regarding the students with whom the counselors and psychologists in the
school system are working. Specifically, the party of the second part agrees to provide group case consultation
services at the school system’s central office from 1:00 p.m. until 4:00 p.m. on the first and third Monday of each
month. The party of the second part further agrees to provide individual case consultation at any of the system’s
schools upon request at a mutually agreeable time. The party of the second part agrees to use Bernie Thompson,
Director of Psychological Services of the Mountain City School System, as the contact person for all matters
pertaining to this consultation, including the possible use of additional consultants or the addition of other
consultees.
The party of the first part agrees to pay the party of the second part a total of six thousand dollars ($6,006)
plus expenses for travel and materials paid in nine equal monthly payments for the group case consultation
sessions. In addition, the party of the first part will pay one hundred dollars plus travel and materials for each
individual case consultation session for up to fifty individual sessions during the length of the contract with
payment being on a monthly basis.
This contract is subject to renegotiation at any time and either party is free to terminate it with twenty-four
hours notice if either determines the consultation progress to be unsatisfactory. Signatures of appropriate parties
indicated agreement to the terms of the contract.
For the Mountain City School System
Party of the Second Part

Signature
Address
Date
FIGURE 3.2 A sample contract
Establish a time frame for the completion of Figure 3.2 is a sample contract between
the work. a school system and a mental health consultant
Establish lines of authority and the person to who is going to provide case consultation to
whom the consultant is responsible. school counselors and school psychologists re-
garding students with whom they are providing
Describe the compensation plan for the con-
services. This sample represents a relatively in-
sultant and the method of payment.
formal, simple contract that contains only those
Specify any special agreements or contingency elements pertinent to the nature of the
plans agreed upon by the parties. consultation.
The Psychological Aspects of a Case Example 2. An organization’s contact per-

son wanted to be reached by the consultant each
Contract
time he or she visited the organization. The contact
Contracting has psychological as well as formal as- person neither expressed this wish nor put it into
pects. the formal contract. When the consultant inno-
cently restricted communication with the contact
person, the contact person felt rejected and covertly
began efforts to sabotage the consultant’s activities.
ellman, 1990). The psychologi- The following is a summary of a case study
cal aspects of a contract refer to reported by Reed, Greer, McKay, and Knight
(1990) that further illustrates the importance of
(Boss, 1993). These expectations are not always di- the psychological aspects of the contract. The
rectly communicated, agreed upon, or written authors report that they conducted a consultancy
down; however, they are just as crucial to the con- of nine meetings over a six-month period for the
staff of a school for troubled students with the pur-
pose of reducing staff stress levels. Prior attempts to
reduce such stress were not successful, so the con-
sultants were called in by the school administrators.
However, the staff expected the consultants to pro-
(Schein, 1988). In effect, the consultant vide consultation regarding difficulties they were
must determine what psychological and business having with individual students. The authors point
needs are to be met through consultation. The psy- out that although the administrators’ expectations
chological contract needs to be based on mutual were covered, the nature of the consultation could
honesty, realism, and interpersonal sensitivity have been better clarified for the _ staff.
(Boss, 1993; Block, 2000). Harrison (2004) points Consequently, a psychological contract was formed
out that psychological contracts are likely to be with the administration but not with the staff. The
rooted in fundamental worldviews (p. 86). For ex- authors point out the need to ensure that all con-
ample, “The psychological contracts operating be- sultees are aware of and agree to the nature of the
tween different genders and racioethnic groups will consultation process.
almost always be significant factors in any interac- To avoid unfortunate occurrences like those
tions that occur during the consulting process” just described, consultants should be clear about
(Harrison, 2004, p. 96). Clearly, cultural compe- what is expected from both the organization and
tence includes ensuring that the psychological con- themselves.
tract excludes dimensions of bias and prejudice. The
(Rosenfield
psychological contract is also very important in col-
laboration because each of the parties involved has 2002a; Schein, 1988, 1999). Block (2000) suggests
some responsibility for directly helping the client a contracting meeting to both formalize the consul-
system. The following examples illustrate how psy- tation and to identify process issues that may occur
chological contracts can be broken: during the consultation process.
Case Example 1. A consultant hired by a human
hus, a consultant who will observe the
service agency to assist in program development
inner workings of an organization should clearly
expected an office but was not provided one. The
state that such observations will be made for the
consultant’s resulting resentment made it more dif-
purpose of understanding organizational dynamics,
ficult to focus. objectively on the tasks to be
not for gathering personal data about individuals.
accomplished.
In sunqmary, if the consultant has effectively is the ongoing process by which the consultant
completed the preliminary exploration of an orga- achieves increasing acceptance by the members of
nization’s needs, then the psychological aspects of the organization. Internal consultants have usually
contracting need less attention because mutual ex- already established the infrastructure for their work
pectations have already been verbally expressed and (McLean, 2006).
agreed upon. The consultant’s primary concern
with regard to the psychological aspects of contract-
ing is in involving the organization’s contact person ‘“Grganization: 'Should the consultant be assigned a
in mutual development of the formal contract. To private office, meet in designated meeting rooms,
the degree that this involvement happens, the or in the offices of other staff members? The reality
ground rules for the consultation process and mu- of organizational life is that having one’s own office
tual cooperation on future issues and problems will is a sign of status and prestige. By providing the
be established (Boss, 1993). Such involvement of consultant with a temporary office, the organization
the contact person, of course, requires the invest- makes a symbolic statement of strong support for
ment of more time at the outset of the entry stage. the consultant, one that sanctions and demonstrates
Consultants will want to remember that as consul- the administration’s willingness to allocate the orga-
tation proceeds, there may well be the need for nizational resources needed to support the consul-
renegotiating the contract (Caplan, 1993). tation process. Because site-based consultants and
collaborators are frequently internal to the organi-
A Brief Example of Contracting. The head ofa zation, they may have often already accomplished
group home for abused adolescents currently has the task of physical entry.
five male and five female clients. The head has con- Having an office and always being in it are two
cerns about physical contact between clients and different things. When beginning the physical entry
staff, and she contacts you to consult about this process, consultants should move about the work
matter. After an initial exploration of the organiza- areas to begin building relationships with members
tion’s needs, you and the head develop a contract of the organization. Consultees often feel most
that will guide your consultation. You first agree to comfortable when the consultant is willing to
interview each of the three staff members and the meet them on their own turf. Thus,
head independently and then observe them discuss-
ing this issue in the next two staff meetings. You
both agree that all information you gather will be A specified time schedule that makes the consul-
held confidential, you set a fee, and you put the tant’s comings and goings predictable is very useful
contract in writing. in successfully accomplishing physical entry.
The consultant should proceed in a deliberate,
cautious manner. Organizations are slow to change,
and the consultant would do well to realize that
PHASE THREE: PHYSICALLY
appropriate physical entry will enhance the organi-
ENTERING THE SYSTEM zational members’ acceptance so crucial to success-
ful psychological entry. ‘The consultant should +
Once a contract has been formalized, the consultant
is ready to physically enter the system. Physically
The consultant should remind the organiza-
tion’s contact person to inform the _ parties-
nization (Gallessich, 1982) at-interest of the consultant’s upcoming entry into
Physical the organization.
entry is different from psychological entry, which
CHAPTER 3 ENTRY STAGE 61
frequently internal to an organization, they fre-

quently have attained psychological entry.
(Boss, In gaining psychological acceptance in an orga-
1993). McLean (2006) suggests accomplishing this nization, the consultant should consider the two
communication by setting up a project manage- levels of operation in any organization.
ment system by which the consultant’s work can
be tracked and a status-reporting process for com- does (Schein, 1999 ); that is, how it makes major
municating with all stakeholders. Further, the work decisions.
setting in which consultation services are to be de-
livered should be common knowledge (Schein,
1988, 1999). Such advance notification prepares
the people involved for the consultant’s entry. learning and adapting to the organization’s norms,
Finally, an open discussion concerning confidenti- consultants can increase the probability of asuccess-
ality and its limits is important because it informs ful outcome.
both administrators and consultees of what they can Consultants who achieve psychological entry
reveal to the consultant, and it can avoid problems relatively quickly can be said to be “working
later on (Conoley & Conoley, 1992). smart.” Because they realize that organizations at-
tempt to maintain a state of equilibrium and stabil-
A Brief Example of Physically Entering the ity (Parsons, 1996), such consultants create the
System. Reread the preceding brief example of conditions in which only minimal stress is placed
contracting and assume you are the consultant in on the organizational personnel involved in_ the
that example. Since the length of your consultancy consultation.
is brief (three weeks or so), you realize that you do
not need an office at the site. Yet you will need a
place to conduct interviews with the staff and sug-
gest to the head that you use one of the staff offices When consultants try too hard to be like their
so that you will not become overly identified with own stereotype of an organization’s members, ad-
the administration of the home. You then ask the verse effects can occur. For example, Deitz and
head to discuss your coming at least a week in ad- Reese (1986) provided examples of how a mental
vance. At your first visit, you mingle with the staff health consultant tried to take on the jargon used
and clients and try to get a feel for the atmosphere by the members of a law enforcement agency.
that permeates the group home. Rather than being seen as “family” by the officers,
the consultant was seen as an oddball who would
never be trustworthy or deserving of respect.
PHASE FOUR: Clearly, psychological entry can be made more dif-
ficult if the consultant falls into the trap of not being
PSYCHOLOGICALLY perceived as genuine by appearing to take on the
ENTERING THE SYSTEM behaviors of consultees that are not part of his or
her everyday behavior.
In actual practice, physical and psychological entry
cannot be separated.
e consultant
should describe consultation interventions in con-
accomplishment of the first three crete and specific terms (McCarroll & Ursano,
a
2006), and changes in the organization’s structure
phases of entry can enhance the consultant’s accep-
that result from consultation should be minimized.
tance by the organization. Because collaborators are
Furthermore, the consultant will want to ensure

that consultees perceive that the consultant is able,
at the outset of consultation, to translate assistance al., 2005). Social influence does not diminish consul-
to meet the needs of the consultee. To effectively tee responsibility for dealing effectively with the cli-
psychologically enter, the consultant must be per- ent system (Egan, 2007), but rather can enhance it (
ceived by the consultee as appreciating the consul- Blom-Hoffman & Rose, 2007).
tee’s role demands and stressors (Kelly, 1993). Consultants are seen as attractive when the
people with whom they work perceive similarities
between themselves and the consultant. They can
Interpersonal Influence in
Consultation
o this end, consul-
Social/Interpersonal Influence. Psychological tants can accept and abide by the organization’s
acceptance can be accomplished through the use of routines, use the terminology common within it,
social influence or the popular and broader term and abide by its dress codes.
“social/interpersonal influence” (Strong, 1968). @ ts are
There has been increased attention paid to this area
in recent years, due in part to the fact that consultants
in any setting spend most oftheir time working with Consultants can create trustworthiness (Egan,
other adults even when the clients targeted for assis- 2007) by avoiding behaviors that imply ulterior
tance are children (Gutkin, 1997). The trick is for motives, using the power of social influence care-
consultants to impact the consultee while maintain- fully, promoting the best interest of the consultee or
ing a relationship among equals. Social influence the organization, and being realistic but optimistic
theory states that th about the ability of the consultee or organization to
handle the demands of consultation.
Expertness is the perceived possession of spe-
, consultation in the hu- cialized knowledge or skills to solve a problem
man service professions has been recognized as an (Short, Moore, & Williams, 1991). One method
interpersonal influence process (Erchul, Raven, & of enhancing perceived expertness is to cite one’s
Ray, 2001; Erchul, Raven, & Whichard, 2001; experiences relative to the situation at hand.
Noell et al., 2005). Blom-Hoffman and Rose One of the most valuable tools consultants
(2007) note the importance of “knowingly weaving have for obtaining acceptance is the effective use
social influence into consultation” (p. 152). For ex- of questioning. During entry,
ample, a consultant uses interpersonal influence such o obtain
as persuasion when directing the focus of the consul- some ene of how organization’s mem-
tation process onto the problem-solving process and bers perceive consultation) than if they rattle off
away from mere chitchat. In another example, a con- what they already know about the consultee or
sultant attempts to influence a consultee’s perception the organization (Caplan & Caplan, 1993).
of a given client. Interpersonal influence should not Consultants will not want to gain social influ-
be mistaken for controlling or manipulation, but ence at the expense of the consultee’s need for self-
rather 1s a tool to assist in problem solving and dealing responsibility (Egan, 2007). Consultants can be-
with the relational aspects of consultation (Erchul come too accepted within the system. Those who
et al., 2007; O’Keefe & Medway, 1997). For exam- become too accepted risk losing their objectivity
ple, and having members of the system blindly accept
what they say (Egan, 2007). On the other hand, if
consultees feel pushed to accept the consultant’s
point of view, they might well become resistant. deemed desirable by the consultant. In other words,
Ultimately, consultants’ social influ-

ence may e as critical as their having skills and
knowledge in determining the effectiveness of con-
sultation (Erchul & Raven, 1997; Erchul et al.,
2001; Martens, Kelly, & Diskin, 1996).
Models of Interpersonal Influence. Consultation

involves either direct or indirect attempts to influ-
ence change in consultees. Hence, I next explore
two models related to attitude change, the
Elaboration Likelihood Model (ELM) and French
~ lationship. Ways to make sure that the consultee has.
and Raven’s bases of social power model, and dis- the ability to think about the merits of the informa-
cuss their significance with regard to working with tion include minimizing distractions when informa-
consultees. You should note that an underlying as- tion is being considered, providing adequate time for
sumption of this discussion is that any attempt to processing the information, avoiding technical lan-
influence or change a consultee will be accom- guage, using written follow-ups to consultation ses-
plished in an ethical and professional manner. sions, and avoiding trying to consult during chance
The ELM offers a method to make sense ofthe encounters.
antecedents and consequences of attitude change. In addition to motivating and facilitating con-
Central to ELM is the idea that “attitude change sultee thought, it is important to create the condi-
can result from relatively thoughtful (central route) tions that will help the consultee think and feel
or non-thoughtful (peripheral route) processes” favorably about the consultant’s recommendations.
(Petty, Heesacker, & Hughes, 1997, p. 107): Two ways to accomplish this are to make the re-
Thoughtful processes include examining the under- commendations from the consultee’s perspective
lying assumptions of the consultant's information. (i.e., self-schemas) and to recommend an interven-
Non-thoughtful processes rely on the idea that tion that is congruent with the consultee’s thinking
the information makes the consultee pleased or about the problem. For example, a consultee with a
that the consultee simply acquiesces to consultant humanistic bent has the client’s problem explained
expertise (i.e., consultant-knows-best type of think- from a humanistic perspective by the consultant.
ing). Non-thoughtful processes do not challenge As noted in Erchul and Raven (1997), French
the consultee to put any kind of rigor into thinking and Raven (1959) developed a typology that con-
about what the consultant is saying. As you might tains
guess, thoughtful attitude change is more likely to hese bases, accompanied by examples,
be permanent than that which is non-thoughtful. include:
The essence of this model is that consultants
have a better chance of interpersonally influencing 2 read consultee is fearful of confronta-
consultees when consultees have the motivation tion by the consultant (“If Idon’t follow
and the ability to think about the benefits of the through with the plan, I will get in trouble.”)
data provided by the consultant and its underlying
2 “reward-—a consultee views praise from the
assumptions. On the other hand, if consultees are
they will consultant as rewarding (‘‘It feels good to be
less involved, it is highly unlikely that
validated by the consultant.”)
change their attitudes and behavior in a way
1 legitimate+-. consultee views the consultant’s how serious the topic is and that hopefully a child
attempt to help as appropriate to the consul- or two can be saved from being victimized as a
tant’s role (“It’s right for the consultant to try result of the workshop. You are friendly, profes-
to help me with this; it’s part of the job.”) sional, and genuine.
=e (pe Athe consultant is viewed as being more
expert in the consultee’s opinion (“I should
follow this recommendation. After all, the MULTICULTURAL ASPECTS
consultant knows more than I do.”)
RELATED TO ENTRY
=» =FefereHE
he consultant is viewed by the
consultee as being similar (“Since we are all in Consultants and collaborators will want to initiate
this together, the least I can do is my part.”’) the relationships by using “dynamic sizing,” which
8 -informational—the methods of persuasion by is the ability to take into account cultural character-
the consultant are viewed by the consultee as istics without stereotyping; and “culture-specific
relevant (“I think I can really use these ideas to expertise,” which is specific knowledge of the cul-
help my client.”) tural groups with whom they work (Castillo et al.,
2000; Sue, 1998).
As you can note, each of the bases of power
can be of use to consultants in their attempts to help
their consultees. In addition, these bases of power 2007). Culturally different consultees may perceive
can be used by all parties involved in collaboration, consultants in terms of interpersonal orientation
where the influence is more reciprocal than in con- (the ability to positively socially influence others)
sultation. Whatever the basis of power that is used and instrumental orientation (the ability to be per-
in social influence, the method by which the power ceived a§ competent) (Gibbs, 1980). For example,
is exerted is critical to the success of the influence an African American consultee may be primarily
(Erchul & Raven, 1997). Consultants and colla- concerned about the interpersonal orientation of a
borators will want to reflect upon available power white consultant, whereas a white consultee may be
bases and their mode of implementing in order to more interested in determining whether or not the
have maximum influence on their consultees. consultant can be of assistance (.e., instrumentally
Recent research (Erchul, Raven, & Whichard, competent) (Gibbs, 1980). Clearly, consultants and
2001) suggests that consultants prefer using infor- collaborators will want to be knowledgeable about
mational, expert, and referent power _ bases, culturally different groups (Castillo et al., 2000) and
which are considered “soft.” Ruley-Tillman and take that knowledge into consideration as they ac-
Chafouleas (2003) discuss the process consultants complish the entry stage. For example, consultants
go through to implement social influence on will want to bear in mind that the amount ofinfor-
consultees. mation communicated by words versus by context
varies among cultures, and it is likely that minority
A Brief Example of Psychologically Entering consultees will make a commitment to the consul-
the System. As a consultant you are preparing to tation process based upon their perception of the
conduct a workshop for teachers in an elementary consultant’s ability to relate and the consultant’s fa-
school on indicators of child abuse. Before you muiliarity with the meanings of specific nonverbal
conduct the workshop, you visit several of the tea- behaviors across cultures (Ortiz & Flanagan, 2002).
chers’ rooms, introduce yourself, start to learn Some consultees or collaborators from differing
names, and begin building relationships. In your cultural backgrounds may view the consultant as
conversations you note that you were once a the expert. Consequently, consultants will have
schoolteacher and a school counselor. You mention to determine whether they wish to enter the
relationship in this context or aim for a more non- awareness is particularly influential on outcomes
hierarchical, collaborative relationship. during the entry phase (Duncan, 1995).
Clearly, communication and relationship build-
ing are essential to culturally skilled consultants, and
how they use these skills will to a large extent deter-
mine the success of consultation (Jackson & Hayes, A FINAL NOTE ON ENTRY
1993; Ramirez et al., 1998). One method consul-
tants and collaborators can use to determine their Part of your work as a consultant may involve the
suitability to work with consultees or fellow colla- work-related concerns ofindividual consultees. For
borators is to determine their level of comfort in example, you might consult with counselors in a
dealing with any cultural or ethnic issues related to community human service agency about their cli-
the problem being dealt with (Ingraham, 2003, ents, with teachers concerning students about
whom they have concerns, or with parents about,
issues regarding raising children. If you are going to
Cultural be working with individual consultees within an
a
r
CASE 3.1 Entry for School Consultants
| ES ea I BA ew ee ee
Maurice is a school-based consultant in a large, urban volved stay on track with the project. He agrees to de-
elementary school and frequently consults with many velop a contract for approval and submits one that
staff members, including the school’s four administra- describes the general goals related to the program's
tors. The administrators ask Maurice to assist them in development, what roles he and the administrators will
developing a dropout prevention program. Although take on, a time frame, and a brief evaluation design
Maurice is internal to the school, he realizes that he is for assessing the quality of the work accomplished
external to the problem and must go through the en- through consultation.
try stage very carefully. In a brief meeting Maurice and the administrators
In a first meeting with the administrators, Maurice review and agree to the contract, as well as make sure
and the group explore the possibilities of his being a everyone involved has the same set of expectations. To
consultant for the program. Maurice wants to make enhance physical and psychological entry, Maurice
sure that he can be of assistance as well as ensure that suggests a location for program development meet-
the administrators see him as someone who can help. ings, makes sure that he follows protocol in gaining
Together the group explores the underlying values access to the administrators, and acknowledges the
concerning counseling that will guide the development fact that just because he is a consultant to the group
of the program, how the program will be staffed, the does not make him an administrator or more impor-
kinds of resources that will be provided, and the flexi- tant than any other staff member at the school.
bility available for fine-tuning the program. Maurice
Commentary
asks the administrators why they are interested in the
This case illustrates the importance of the maxim: You
program in the first place and what they think it will
do for the school. He then interacts with the group always have to enter. Even though Maurice was an in-
ternal consultant, he recognized that he was external
concerning what they view his role to be in helping
to the problem and the consequent importance of ap-
develop the program and, correspondingly, their own
propriately entering. Notice that Maurice clarified his
roles. Finally, the group discusses the limits of
role very carefully and put things in writing. Even
Maurice’s involvement given his other duties in the
school. though he was functioning as an internal consultant,
Based on this exploration, all agree that Maurice
Maurice did not fall into the trap of making the con-
sultation process so casual that it would be difficult to
should be a consultant for the program's development.
keep it on task and remain in a problem-solving mode.
Maurice suggests that a formal, written contract, al-
though internal to the school, will help the parties in-
—
organization, you will have to “enter” with each and Caplan (1993). On the other hand, you have
one, that is, explore their perceived needs that led the potential to strongly affect consultees in their
to their requests for consultation. thinking (Granda, 1992)—you must successfully
complete the entry stage not only with the organi-
zation, but with each consultee as well. You may
have to orient the consultee to the consultation/
collaboration process, engage them in a professional
vidence suggests that. relationship, and understand the nature of the orga-
how well you can establish relationships with con- nization in which consultation occurs (Gutkin &
sultees is related to consultation success (Hughes & Gartis; 1999; Lamey, 2003):
DeForest, 1993). There is also strong support for The limited research on entry with individual
the importance of a strong relationship from writers — consultees suggests that the consultant’s knowledge
in the area of consultation theory such as Caplan is not as important to consultees as are the
CASE 3.2. Entry for Community Consultants
Marie, a mental health consultant operating out of a Marie contacts Kristine soon thereafter and clari-
mental health satellite center, is contacted by Kristine, fies the few issues that were raised in the meeting with
the director of a human resource development de- the staff. Kristine mentions that the local municipal
partment of a local municipal government, to engage government has a form contract that is to be used by
in some “train-the-trainer” consultation. She is inter- all departments when they hire consultants and that
ested in having her human resource development staff there was some flexibility in it for writing in items
trained in consultation skills. During their first contact, specific to a given consultation. Marie and Kristine
Marie thoroughly explores what Kristine would like to agree to add a statement about the consuitant’s roles
accomplish in the training, shares her own related and the responsibilities of the director of the
professional experiences as well as her values regard- department.
ing consultation in general and training in particular, Stopping by the human resource development
and asks Kristine about her views of training and office the day before the training sessions are to start,
consultants. Marie makes a point of interacting with each of the
They discuss the human resource development participants and, with a couple of the participants,
department, its staff and mission, and how it is per- looks over the room in which the training is to be
ceived by the rest of the organization. They also discuss conducted. She provides a schedule for the training to
the practical use of the consultation training to the the staff members as well as a couple of handouts on
department's staff and the resources that the depart- consulting ideas for human resource development
ment is willing to put into training. At the end of their specialists.
discussion, both Marie and Kristine are positive about
the prospect of working together. Before she agrees to Commentary
become a consultant, Marie asks if she could have a It is of particular importance, as this case illustrates, for
brief meeting with the human resource development consultants to enter with each consultee as they enter
department's five staff members to inform them about the system. Marie wisely held a brief meeting with the
the proposed consultation. consultees prior to beginning her training sessions with
Marie meets with the staff for an hour, during them. Notice how she also made personal contact with
which she gets to know the members in a leisurely each of them on the day before the training. By taking
fashion, briefly describes the proposed training and her the time to create relationships with consultees, con-
own related professional experiences, and allows time sultants not only build trust and minimize resistance,
for questions and discussion. At the end of the meet- but they also quickly move the consultation relation-
ing, there is a consensus among group members that ship to a partnership that allows for effective
they are favorable about the training. collaboration.
relationship-building activities of the consultant ing consultant you may well put a high priority on
(Martens, Lewandowski, & Houk, 1989). There is establishing solid working relationships with your
additional attention being paid to the consultees’ consultees. In doing so, consultants will want to
cognitive responses to the help they are receiving be aware that consultees may want a balance of
(Uhlemann, Lee, & Martin, 1994). In other words, direction and collaboration (Buysse, Schulte,
consultees’ perceptions about what is happening in Pierce, & Terry, 1994) and prefer some leadership
the consultation relationship can be as important as from the consultant in determining the content of
what is actually happening. Therefore, as a practic- consultation (Gutkin, 1996).
SUMMARY
The entry process in consultation is a critical stage. designed contract makes the expectations of every-+
When successfully completed, it increases the prob- one involved explicit and prevents misunderstand-
ability that the entire consultation process will turn ings regarding consultation later in the process.
out successfully. The success of the entry process Effective physical entry makes consultants less in-
relies heavily on the consultant’s skills and how trusive as they join in the organization’s activities.
well these skills are used to accomplish the tasks By taking the time necessary for building relation-
of the entry stage. The most critical skills in the ships and gaining acceptance, consultants can be-
entry stage relate to exploring problems, contract- come insiders and accomplish the difficult phase
ing, relating, and communicating. By effectively ac- of psychological entry.
complishing the stage of entry, consultants not only The research on the entry stage is quite limited.
set the stage for successful consultation, but they There is some evidence that consultees prefer a
also minimize possible resistance from organizations blend of facility and expertise in consultants and
and individual consultees. that the readiness for change (and a consultee’s abil-
Consultants should avoid the temptation to go ity to bring it about) are more likely to lead to a
quickly through the entry stage to get on with successful consultation experience than will factors
problem-solving activities. By effectively exploring like consultee interest in the subject of the consul-
the organization’s needs, the consultant can help it tation (Armenakis & Burdg, 1988).
determine its priorities for consultation. A well-
=» Remember the maxim: “You always have to = Make a deliberate effort to psychologically
enter.” enter the system and create a relationship with
each consultee, even if you are internal to the
=» A contract is one of the best ways of docu- setting in which consultation and collaboration
menting expectations.
occur.
= Consider resistance to be a normal part of the
consultation and collaboration process.
®
What do you think is meant by the phrase 6. How can the power attributed to the consul-
“You always have to enter?” tant due to expertise or trustworthiness be
ine) Why is it important for the consultant to obtain useful in ameliorating resistance?
sanctions for performing consultation from the What are the key points consultants should
organization’s upper echelon? consider in assessing their performance during
~)
Recall a situation in which an outsider entered the entry phase?
your classroom. What were your immediate How would you as a consultant go about ac-
reactions? Relate your feelings to how mem- complishing psychological entry? That is, how
bers of an organization must feel when they would you go about the task of building ac-
encounter a consultant for the first time. cepting relationships with staff with whom you
What characteristics would you look for in an had no previous contact?
organization or a consultee before you would How would you go about the task ofphysically
agree to consultation? entering into consultation with an
On Under what circumstances can resistance in organization?
consultation be seen as normal? LOR Under what circumstances do you think con-
sultants should use formal contracts?
If you are interested in reading in more depth and classic and well worth reading. Glidewell was one of
detail about the entry stage of consultation, here are the first authors to promote the idea of the consul-
some useful selected readings: tant as a person who temporarily attaches to a social
system; he does an excellent job of pointing out that
Marks, E. S. (1995). Entry strategies for school consultation. the process of entry can be accelerated or retarded
New York: Guilford. This text is dedicated to the by the perceptions of the members of the organi-
nuts and bolts of helping consultants open the doors zation in which consultation is to occur.
to effective consultation. The author emphasizes Cherniss, C. (1993). Preentry issues revisited. In R.T.
entry in school consultation, but consultants and Golembiewski (Ed.), Handbook of organizational con-
collaborators in any setting will find useful sultation (pp. 113-118). New York: Marcel Dekker.
information.
This is an excellent review of preentry issues. Two
Glidewell, J. C. (1959). The entry problem in consulta- particular aspects of this article are dealing with
tion. Journal of Social Issues, 15(2), 51-59. Don’t let conflict during preentry and choosing a primary
the date on this article fool you. This article is a focus.
Diagnosis Stage
T he nature of the diagnosis stage depends on the type of consultation being

performed. But just as some kind of diagnosis, either formal or informal, is
made in counseling and psychotherapy, so too is one made in consultation or
collaboration. A mental health consultant working with a therapist may assist in
diagnosing a client’s problem and in prescribing a treatment plan. A behavioral
consultant may examine the antecedents and consequences of students’ selected
classroom conduct and assist a teacher in implementing behavioral strategies to
change that conduct. An organizational consultant may help an organization im-
prove its efficiency by focusing on an individual, a group, a subsystem, or the
organization as a whole. The process of diagnosis remains the same for all con-
sultation, although the types of data gathered will depend on the type of consul-
tation being performed.
Gutkin & Curtis, 1999), andj
(French & Bell, 1999).
The preceding chapter discussed the entry process, 1n which the consultant
engages in a preliminary exploration of organizational needs, formulates a con-
tract, and physically and psychologically enters the system. The stage following
entry is called the diagnosis stage and has four phases: gathering information ¢
(which answers the question “What information do we need to find out where
n “Where are we?”),
we are?”),/defining the problem (which answers the questio
Setting goals: (which answers the question “Where do we want to be?”), and
(which answers the question “What are some
things to do that might help us get theres”):
Figure 4.1 shows how diagnosis, data gathering, and intervention relate to one
the successful
another. The consultant’s relationship with the consultee is critical to
pertinent
completion of this stage. Unless the consultant is able to obtain accurate,
69
Awareness of problem
Data feedback
by organization
Decision to act Diagnosis

on problem
ab
Consultant contacted Intervention
Preliminary exploration
Data collection
of problem
are
:
Initial data gathering Data feedback
a
.
ee
Tentative diagnosis Decisions
Further data gathering Problem-solving steps
FIGURE 4.1 The interrelationships among diagnosis, data gathering, and intervention
(French, 1972)
information and assist consultees in translating this How does a consultant determine who should
data into a list of functional and viable interventions, gather the data needed to define the problem?
then it is likely that the wrong problem will be What factors should be considered in setting
solved. As you read this chapter, consider these goals?
questions: How can a consultant assist a consultee in de-
1. How does a consultant determine where to veloping a set of possible interventions?
collect information within the organization? In what ways is diagnosis an ongoing event?
CHAPTER 4 DIAGNOSIS STAGE 71
INTRODUCTION diagnosis is the “meaning or interpretation that 1s

derived from assessment information when it 1s inter-
Assume for the moment that you are the consultant preted through the use of a diagnostic classification
described in the following example: system” (Hohenshil, 1996, p. 65). It identifies
“strengths, opportunities, and problem areas”
(French & Bell, 1999, p. 105). Diagnosis may pertain
A Case of Diagnosis broadly to the present state ofasystem, including the
You are a human service professional in private prac- many positive forces giving rise to desirable out-
tice with a caseload of clients, and you perform con- comes, or may be narrower in the sense of focusing
sultation with other therapists and human service on the dysfunctional forces that are producing unde-
organizations. The director of acounty social service sirable outcomes, or may focus on changes in the state
agency requests that you assist in resolving some of of the system over time (Harrison & Shi 1909).
the agency’s problems. You have successfully com-
pleted the entry stage and therefore have a rough idea
of what the agency’s problems are. You have a con- w the consultant approaches the diagnostic
tract, have gotten to know the staff, and are set up in stage depends on the purpose of consultation, the
the office ofa part-time staff member. The director complexity of the problem, and the time available
is concerned about the morale within the agency: (Harrison & Shirom, 1999). For example, Tichy
people work behind closed doors, put-downs of cli- (1983) listed three types of organizational diagnoses
ents are frequently heard, backlogs of paperwork are based on complexity that are still valuable today:
large, and little camaraderie is apparent.
When consulting with the director, you agree to
design and conduct a survey about what it is like to
work in the agency. You agree to interview a ran-
dom number ofthe staff about their personal views of
their professional work site, and, based on the results
of this information, you assist the director in deter-
mining what’s the matter. You divide the problem
into three smaller problems: morale, high caseloads,
and little administrative support and encouragement.
You then assist the director in setting some goals to
ameliorate these problems. You break these down
further into more specific subgoals (e.g., more oral
for the nature ofthe client system
and written praise and support from the director for
jobs well done). Once goals have been set, you and affects diagnosis.
the director come up with a variety of intervention
he more complex the diagnostic
alternatives for meeting the set goals. As this example
illustrates, consultants are sometimes asked to assist in stage, the greater the need to use several methods to
determining the nature of aproblem prior to making collect data from a larger group of people.
of con- What French, Bell, and Zawacki (1978) noted
some form of intervention. Thus, this stage
sultation—in which the consultant performs this as- long ago still holds true today: Every consultant
sessment in the roles of information seeker and de- brings at least three theories to the diagnostic pro-
tective—is called the, diagnosis stage. cess. The first, descriptive and analytical in nature,
is the theory by which the consultant attempts to
understand the client system in terms of the behav-
. From another perspective, ior and events surrounding them. In this view, for
example, behaviors might be considered rather The diagnosis stage, like the entry stage, 1s very
more critical than attitudes in understanding events. complex. It involves the four interrelated phases
A second theory, one of change, consists of the depicted in Figure 4.2: gathering information, de-
consultant’s views of how events change and influ- fining the problem, setting goals, and generating
ence one another. For example, one view of this possible interventions.
theory might state that structure, not people, deter-
mines change. Finally, consultants have diagnostic
theories, which consist of a set of notions to deter-
PHASE ONE: GATHERING
mine what is dysfunctional or wrong (Sandoval,
2003). One example is the viewpoint that a prob- INFORMATION
lem must be a long-standing one in order to be
severe. Another is a view based on the positive psy- The Nature of Information Acquisition
chology movement that focused on what is going
Consultants will want to remember that even
right and related solutions pred Pra though the information gathered is critical, the
method of gathering information and how that in-
SRF t01-n:hi, 1996; Kamphaus,
formation is used is also important (French & Bell,
eynolds, & Imperato-McCammon, 1999). The
1999). An accurate diagnosis requires accurate in-
kind of information used for diagnosis depends on
formation (Gregory, Armenakis, Moates, Albritton
a given consultation model’s view of what must be
& Harris, 2007). The terms “data” and “informa-
examined.
tion” are used interchangeably in this discussion.
Although data gathering does not cease during the
consultation process, there is a formal time for the
nsultants’ theories
process of gathering information.
of description-analysis, change, and dysfunction sig-
nificantly affect which domains are examined and
Some idea of the problem is obtained during the
how a diagnosis is made. By being aware of their
own theories, consultants can use them to accom-
plish accurate, effective diagnoses and avoid being
unwittingly victimized by them during the diagnos-
tic stage. As an example, let’s consider a behavioral
approach to change called functional behavioral assess-
ment (FBA), often referred to as the “ABCs” of Stage ve hy
behavior. In this process the consultant and/or con- Tot Gathering information
sultee gather data regarding the conditions (also Diagnosis Defining the problem
called contingencies) that control a specific behav- Setting goals
ior. Generating possible interventions
nual
|mplementatio
(Crone, Hawken & Bergstrom, 2007; Denton et

al., 2003; Lee & Jamison, 2003). A little later in
Disengagement
the chapter, Figure 4.3 illustrates a form used in
functional behavioral assessment. For a detailed dis-
cussion of FBA consult Watson & Steege (2003). FIGURE 4.2 The phases of the diagnosis stage
preliminary exploration of organizational needs. within the agency communicate with one
The results of the preliminary exploration are, in another.)
part, determined by the model of consultation to a
be used, for each model has its own view of human
behavior, of what is necessary for change, and of
what constitutes the client system. These factors in (Example: A consultant acts as an observer at
turn will determine the types of methods used to a crisis intervention team’s staff meeting to
gather data. determine who talks to whom about what.)
Still, the consultant must assign some parameters
“ his kind of information tends
to the task of consultation before diagnosis (Gregory
to be subjective and have emotional aspects to it.
et al., 2007; Kratochwill, Sheridan, Carlson, &
Interpretive data
asecki. 1999).
‘relate to One another. (Example: A consultant

(Gutkin & Curtis, 1999). For
gathers information about how school counse-
lors perceive the support given them by the
example, in school-based consultation, client system
teachers in their school.)
+ Consultee-lent stem reationsip datThs
behavior is often examined in terms of child’s daily
routine at school and home. Depending on the
model of consultation in use, the consultant can dynamics between the consultee and the client
draw fromseveral data sources: genetic data, current system constitute this type of data, including
descriptive data, process data, interpretive data,
consultee—client system relationship data, and client
system behavior data (Bergan & Kratochwill, 1990; (Example: A consultant watches a videotape of
Caplan & Caplan, 1993). a consultee providing therapy to a client to
help the consultee work more effectively with
« Genetic data: Thistype ofdataincludes easily | the client.)
Client system behavior data: This e of in-

ganization’s role and mission statement) and formation a ee ee)
(e.g., reports and
memos). (Example: A consultant might read
the role and mission statement of a human
service agency and decide to determine the . (Example: A school
degree to which the agency’s members are psychologist consulting with a school counselor
aware of it.) administers an individual intelligence test to the
some ef-
= Guinée descriptive data:/Asits name implies, counselor’s client in order to suggest
fective helping strategies.)
this type of information
he organization’s
A great number of data sources are available to
physical layout, and its command and salary
structures, are all descriptive information. consultants, depending on the nature of consulta-
(Example: A human service agency asks for a
tion. For example, consultants working with con-
sultees whose client system is an organization may
consultant’s help with its internal communica-
want to examine genetic data (e.g., forms for writ-
tion problems. The consultant examines the
agency’s organizational structure as a prelude to
ing up client reports from past years), current de-
scriptive data (e.g., current forms for writing up
determining how superiors and subordinates
client reports), process data (e.g., how the decision than the ones identified in the preliminary explora-
to use a given form for writing client reports was tion. In addition, scanning can prevent an a priori
made), or interpretive data (e.g., the results of a determination of the problem’s nature and can
survey, that reveal how staff feel about the current counteract the consultant’s professional and personal
form used to write up client reports). Consultants biases.
working with consultees who have individual clients Hypothetically, a consultant could scan the en-
tend to rely on data from consultee—client system tire domain: consultee, client system, and environ-
relationships and behavior for purposes of classi- ment; in practice, however, scanning must be cost
fication (Kamphaus, Reynolds, & Imperato effective. Therefore, consultants typically use their
McCammon, 1999). Whatever the type of data be- theories of description analysis, change, and dys-
ing gathered, it must be precise and meaningful. function to scan these systems.
Imprecise data can intensify existing problems due
to misdirected interventions (Stroh & Johnson,
2006). Data should also be selective, relevant, under-
standable (Golembiewski, 1993a), and adequately . Once the entire context of the problem
defined (Kratochwill et al., 1999). Further, consul- has been scanned and the results of the scanning
tants will want to assure that their consultees engage interpreted, the consultant and consultee are ready
in culturally sensitive diagnostic practices in order not to focus on more specific data.
to misdiagnosis or use unnecessary diagnoses with
their client systems (see Hays, 2001 and White
Kress et al., 2005). For example, in culturally sensitive Methods for Gathering Information
assessment, the consultant focuses on the strengths Data gathering can be done by the consultant, the
of the client’s system as well as its social supports. In consultee, or both. Some authors (e.g., Noell &
addition, culturally sensitive assessment gathers data Witt, 1998) recommend a hybrid data collection
from multiple sources and encourages the assessor strategy that involves both the consultant and the
to be knowledgeable and experienced with the cul- consultee. The information used in consultation is
tures of the consultee and the client system (Hays, obtained by either unobtrusive or obtrusive data-
2001). If information gathering is well done at this gathering devices. Unobtrusive devices would dis-
stage, the method chosen may well be helpful in close historical data (e.g., memos), external data
the evaluation process (McLean, 2006). (e.g., interviews with former clients of the organi-
zation), and observational data (e.g., observing a
meeting in action) (Bell & Nadler, 1985).
Scanning
Using the presenting problem as a starting point, it is
a good idea for the consultant to scan the context in
which the problem is thought to occur. Scanning is
Examples of this type of data gathering include

questionnaires, surveys, and interviews. Because
(Gallessich, 1982; McLean, 2006). Scanning pre- these activities directly assess the organization
vents a premature focus on the problem’s more ob- through its members and may imply impending
vious major elements to the exclusion of other changes within the organization, they can be threat-
pertinent factors. Scanning procedures can provide ening and elicit resistance. Regardless of the method
data for determining the validity of the problem, for of data gathering used, the consultant can minimize
identifying forces supporting or inhibiting effective resistance by ensuring that all appropriate personnel
change, and for detecting problems that are deeper are informed ofthe data’s anticipated uses.
Data can be soft, such as subordinates’ impres- secondary data because the information in them has
sions of the organization’s leadership, or hard, such already bee d.
as statistical data on the number of clients who
perceive that the organization has helped them in
allessich
(1982) was among the first to note that a variety
(Parsons & Meyers, 1984). For example, concern- of documents supply the consultant with data for
ing the morale of an entire organization, it 1s best to use in making a diagnosis: job descriptions, agency
gather general information first (such as a survey of policies and manuals of operating procedures, his-
a selected sample about the level of morale) and torical records, annual reports, budgets, audits, per-
more specific information later (such as views con- sonnel statistics, orientation procedures, promotion
cerning specific causes of the quality of morale). policies, program descriptions, grant proposals, cli-
Instruments and procedures used to gather data ent demographic profiles, surveys of client use of
should, whenever possible, be designed to take services, public information brochures, logs and ap>
into consideration the uniqueness of the consulta- pointment calendars, and case records.
tion situation.
(Stroh &
Johnson, 2006). A consultant working with a ther-
apist experiencing difficulty with a case requires
different information than would a consultant Reviewing relevant documents is a data-gathering
technique that is frequently underused — by
working with an organization suffering from poor
morale. Nonetheless, the © most common consultants.
information-gathering methods used in consulta- Examining records as an information-gathering
tion include examining documents and _ records; technique has several strengths, including the use of
giving questionnaires, surveys, and interviews; and existing information, cost efficiency, the wealth of
observation. There are some very specific models relevant material, the provision of a historical con-
used. For example, there is a functional behavior text, and the data’s credibility with members of the
assessment model used in school consultation organization (McLean, 2006). In addition, records
which can be used to gather information about are typically free from response bias and are nonre-
antecedents, behaviors, and consequences in order
active. Furthermore, the development of discourse
to design interventions (Gresham, Watson, & analysis has created a methodology for interpreting
records (MacNealy, 1999).
Skinner, 2001).
The use of documents as an information-
Consultants and con- gathering device also has weaknesses, among which
Documents and Records.
someti mes errone ously assume that they have are potential inaccuracy and incompleteness, limited
sultees
all of the data needed to make a diagnosis. availability, difficulties in data analysis, long times
to collect
ations generat e a wealth of inform ation for review, and the possibility of increasing resis-
All organiz
some form of records , includi ng numeri cal tance among consultees and the organization as a
and keep 2006).
(Harris on & whole (Fuqua & Newman, 1983; McLean,
data and written commun icatio ns
1999). This inform ation is often referre d to Records frequently can have little relation to reali
Shirom,
In addition,
as secondary data (MeLean, 2006). Use of records is
often considered unobtrusive because their examina-
tion does not interrupt the organization’s normal
flow of work. Records are frequently referred to as
Questionnaires and Surveys. does not interact with the respondent in a personal
way—which can cause indifference toward the
questionnaire on the part of the respondent. They
hey can be extremely useful lack adaptability; that is, they are prestructured. If
(Stroh & Johnson, 2006) and contribute to under- some questions are inappropriate for some respon-
standing the behavior of individuals and organiza- dents, nothing can be done about it. They can also
tions and reveal possible targets for change be difficult to interpret; different respondents may
(Westaby, 2006). interpret the same question differently. The items
on a given survey make not be tapping the most
pertinent information (Westaby, 2006). Further,
surveys and questionnaires can suffer from response
bias, in which the respondent answers all items in a
set way rather than each item on its own merit.
Questionnaires can produce canned results and
gathering process} For example, a school counselor consultants frequently use them when direct human
mught adapt a questionnaire used in a mental health communication, such as interviews, 1S more
center for use in a school setting. When a question- appropriate.
naire 1s custom made, it is developed by the consul-
tant, perhaps with the assistance of the consultee, Interviews.
for a specific purpose. Custom-made questionnaires
require a substantial amount of time to construct troh & Johnson,
and often lack high levels of validity and reliability. 2006). Such a technique, the interview, is another
The type of questionnaire or survey a consultant commonly used form of data gathering (Busse &
chooses depends on the precise nature of the infor- Beaver, 2000; Kratochwill et al., 1999). Interviews
mation needed to make an adequate diagnosis. allow increasing understanding of the client system
and facilitate selection of an intervention (Beaver &
Busse, 2000). Even though interviews are used in all
phases of the diagnostic stage, the nature of the
several advantages of using surveys and question- interviewing process will depend on the type of
naires as data-gathering techniques. model from which the consultant operates, the is-
sues the interviews are to explore, and the consul-
tant’s earlier Prana. vein & mend faa
Questionnaires and surveys are probably the most

powerful data-gathering tools for yielding maxi-
mum information in the most efficient manner
(French & Bell, 1999; McLean, 2006). They can
be used to gather data for defining a problem, to The interviewing process can be formal or in-
provide clues about which data gathering tech- formal, as can its setting, which can affect the type
niques (e.g,, interviews) should next be used, or of information shared by the interviewee. Both
to work in conjunction with interviews of asample groups and individuals can be interviewed, though
of the respondents. interviewees are less likely to distort data in a group
Questionnaires and surveys also have disadvan- interview and are also less likely to share their true
tages. They are non-empathic—the instrument views and feelings (Greiner & Metzger, 1983). The
process by which interviews take place is usually dated. Two additional potential disadvantages of in-
determined by such factors as cost and the data- terviews are the inaccessibility of interviewees and
gathering potential of the interviewing style. the perceived threat that what interviewees say could
Different types of interviews produce different somehow later be used against them. The reasons for
types of responses from different people (Egan, interviewing and the uses made ofthe interview data
1985). There are three common types ofinterviews: should be made known to all parties-at-interest prior
unstructured, structured and open ended, and to the onset of the interviewing process.
structured and fixed response.
Observation.
tis used
to gather objective features of behavior (Gresham
et al., 2001; Skinner, Dittmer, & Howell, 2000).
a type of interview is considered There are two types of observation: naturalistic and
more flexible than procedures such as surveys and Saas direct (Hintze, Volpe, & Shapiro, 2002).
checklists. The behavioral interview discussed in
Chapter 10 is of this type.
They allow for standardization and tend to have a

his most obvious way
high level of reliability (Beaver & Busse, 2000).
to collect information puts the consultant in direct
Interviews have several advantages*(Busse &
contact with the people, activities, and/or environ-
Beaver, 2000; Kratochwill et al., 1999). Dhey"are!
ment about which information is being collected
the interviewing process can be modified
(Rosenfield & Gravois, 1996). Observation is widely
depending on the course of the interview. For ex-
used to gather data, particularly in schools (Hintze,
ample, if an interviewee provides an ambiguous re-
Volpe, & Shapiro, 2002). Consultants must make
sponse, the consultant can ask for clarification or an
example of what the interviewee means choices about what, when, and how much to ob-
serve; such choices lend observations structure that
can range from a strictly defined to a general frame-
Kratochwill et al., 1999). work. The consultant’s basic question regarding ob-
interviews allow the consultant to ex- servation is, “How can the observation be structured
Furthermore,
press empathy and understanding to the inter- so that meaningful and useful data can be collected?”
viewee, and as a result, the interview process can The point is that direct observation “allows an out-
side observer to record data on the behavior ofinter-
est within the environment where the behavior is of
Interviews also have theirdisadvantages"They concern” (Skinner et al., 2000, p. 22). The three
types of observation—structured, semistructured,
are one of the most costly forms of data gathering
both time and expense (McLean, 2006). and unstructured—differ in the degree to which ob-
in terms of
servers watch and record the observations.
The interviewee’s responses can be affected by the
consultant’s biases to the degree that these biases dic-
tate the types of questions asked. Interviewee bias For exam-
can also affect the data obtained because the consul- (FBA) uses several
ple, functional behavioral analysis
tant can record not ‘only the interviewee’s percep- such as observing
of the consultee’s types of structured observations,
tions, but also the observations
specific behaviors between the times they start and
behavior (Beaver & Busse, 2000). Consequently,
stop, or their occurrence during specified time
the results of interviews should be carefully vali-
interval (Watson & Steege, 2003). Semistructured In summary, each data-collection method has
its advantages and disadvantages.
igure 4.3 illustrates a form Consultants should ensure that the

used in a structured observation. information gathered is as valid and accurate as pos-
Observation has several advantages. It provides sible and have an agreement with the consultee as
data on behavior rather than on reports of behavior to how to integrate the data from multiple sources
and (Macmann et al., 1996).
an also be
one of th A Brief Example of Gathering Information. A
technology can allow for electronic data entry dur- counseling psychologist has contracted to assist a
ing the observation process. Observational data preschool program in determining how parents
have game icevalid}. that is, such data have view its strengths and weaknesses. As the psycholo-
concrete referents to back them up, whereas inter- gist meets with the program director to develop a
views and questionnaire data can be accused of be- plan, they decide to gather survey and interview
ing overly subjective. Further, this type of data 1s data from a random sample of half the parents
als whereas questionnaires generally sam- (one-fourth of the selected group will be inter-
ple respondents’ past perceptions. Finally, observa- viewed, the other three-quarters will be surveyed).
tion, like interviewing, The consultant The consultant agrees to develop a structured inter-
can adjust what is to be observed as the situation view and develop a survey that is compatible with
demands. For example, consultants can use obser- the interview. The consultee suggests that the con-
vation to identify and prioritize target behaviors sultant be responsible for conducting the interviews
and indicate effective interventions (Skinner et al., while the consultee takes care of getting the surveys
2000). sent out and the results collated.
Observation is not without its liabilities as a
data-collection method (Gresham et al., 2001;
McLean, 2006). Observation only gives informa-
tion at one point in time. Like interviewing, obser- PHASE TWO: DEFINING
vation is expensive. The coding and interpretation THE PROBLEM
that must be applied to observational data is subject
to observer bias, and the less structured the obser- After the data has been collected, it must be analyzed.
vation, the more likely observer bias will enter into The importance of defining the problem cannot be
the process. As is the case with questionnaires, sam- overemphasized (Gutkin & Curtis, 1999; Upah &
pling is also an issue in observation. Observations Tilly, 2002).
require sampling with regard to people, time, space,
and activities, and such intensive sampling can be regory et al., 2007;
costly in time and money. Finally, observation Kratochwill, Elliott, & Callan-Stoiber, 2002) and has
the potential liability of ffect. long been linked to eventual success in consultation
(Bergan & Tombari, 1976). Furthermore, an accu-
For example, counselors be- rate definition of the problem determines what be-
ing observed by a consultant may be more em- haviors are associated with the problem (Upah &
pathic than usual with clients simply because they Tilly, 2002).
are under observation. Therefore, training in obser- To define a problem the consultant and the
vation 1s important (Kratochwill et al., 1999). consultee should have a systematic, deliberate, and
Form to Report Functional Relations

over Several Days and Time Periods
Day, Date, & Time (Class Period):

Location (Classroom):
TEASING
Defined as negative comments to others about something they have done, how they look,
or a threat.
Setting Events/Antecedents
Activity when teasing occurred:
Others nearby: a
Activity before present activity:

Any other events before that seemed relevant:
Consequences
Actions of teacher:
Actions of peers:
Any other consequences:
NONTEASING
about eternal activities or
Peer-directed comments that are positive or neutral. Comments
(e.g., about the assignment)
events (e.g., sports, class), compliments, statements offact
not about the peer.
Setting Events/Antecedents
Activity when nonteasing occurred:
Others nearby:
Activity before present activity:
Any other events before that seemed relevant:
Consequences
Actions of teacher:
Actions of peers:
Other: who
FIGURE 4.3 Observations for functional assessment

Pacific Grove, CA: Brooks/Cole.
modification in applied settings (6th ed.).
SOURCE: From Kazdin, A. E. (2002). Behavior
By permission of publisher.
predetermined plan for analyzing the data. This and the consultee should prioritize them in terms of
avoids “slippery slopes” and the possibility of unin- importance (Zins & Erchul, 2002). Furthermore
tended consequences. For example, from a behav-
ioral perspective, the difference or ‘ “gap” between
what the client system is expected to do and its actual During the significant amount of time spent on
performance is determined (Tilly, 2002). The con- analyzing and interpreting data, the consultant and
sultant and consultee may engage in functional be- consultee determine how a broad range of factors
havioral analysis (Watson & Steege, 2003) (see affects the problem: how it develops over time,
Chapter 10) and examine the relationships among how past events are causing the present problem,
antecedents, behavior and consequences. As another or how future ex tions are related (Allen &
example, consultants can use “discrepancy analysis” Graden, 2002).
(French & Bell, 1999) to determine differences be-
tween the current and desired situations. In addition, Consultants
cultural sensitivity needs to be shown and technician- have long been encouraged to frame their problem
like diagnostic procedures avoided (Diller, 2007; statements in language that is acceptable to the
Smart & Smart, 1997). When involved in the details consultee (Dustin & Ehly, 1984). To this end,
of gathering information, it is easy to forget that the Osterweil (1987) suggests generating several alter-
purpose ofthe collecting is to shed light on the prob- native definitions of the problem from which the
lem (Heppner, Kivighan, & Wampold, 1999). Thus, consultant and consultee can choose using three
the consultant and consultee should consider work- criteria:
ing together as a team to analyze a situation and
choose the proper strategies that are likely to lead to a (FeasOnAbility4 the degree to which the defini-
the accomplishment of desired goals (Armstrong & tion seems logical to both consultant and
Wheatley, 1990). In addition, there is some evidence consultee
to suggest that consultants who openly model the
" -workabilitythe degree to which the defini-
problem-solving process as they go through it create
tion seems practical and leads to new directions
a road map that enhances consultee understanding
of action
and use of the process (Zins, 1993),
Data analysis is made up of aconceptual model Motivation—*the degree to which the consultee
and a technical component (Nadler, 1977). will be willing to take action on the defined
problem
In addition, ignoring cultural variables in the prob-

lem identification stage could lead to misidentifica-
tion of the problem (Miranda, 2002). Rushing
Analysis of the data may suggest new hypotheses
straight to problem solving prior to adequately de-
concerning the problem that require collection of
fining the problem is a common pitfall (Allen &
additional data and subsequent analysis.
Graden, 2002).
As the consultant and consultee examine the
data, a more complex conceptualization ofthe prob- A Brief Example of Defining the Problem. A
lem often occurs. There is some evidence that defin- school administrator asks a school counselor for assis-
ing the problem is not as easy as the literature cas tance in determining which programs the school’s
(Conoley, Conoley, & Gumm, 1992). counseling department should implement. The
counselor interviews a select group of administrators,
teachers, parents, and students about the types of
. The analysis of the data may suggest programs suitable for counseling department spon-
more than one problem, in which case the consultant sorship. Based on these interviews, the department
uses four surveys designed for a random sample of egg. & Tilly, 2002). From an-
each group: administrators, parents, teachers, and other perspecti ve, a goal sets the stage for closing
students. the gap between “where we are” and “where we
The counselor and administrator agree to con- want to be” (French & Bell, 1999).
ceptualize the data analysis based on the common
themes that emerge from each of the four surveys.
The Process of Setting Goals
In addition, they agree to look for any program sug- Goal setting is the central point of the diagnostic
gestions that are unique to any given set of respon- process (Egan, 2006, 2007). Because choosing goals
ders. They ask themselves the following questions: Is establishes what specific ends are to be accomplished,
there a consensus among the groups concerning the goal setting should not be rushed (Allen & Graden,
programs the counseling department should sponsor? 2002). If it is, inappropriate or poorly refined goals
What program suggestions are unique to each group? may be chosen.
What are the implications of this information for
planning programs? Survey items are tallied and their
relative ranks determined for each ofthe four groups. If the problem is
A given program would be seriously considered if it is
complex, the goal of resolving the problem will likely
ranked in the top four in importance by two or more
be complex, too (Egan, 1985).
groups. The remainder ofthe data, though not given The first step in goal setting is to determine the
possible goals related to the problem. Once goal
priority for the development of a particular program,
possibilities have been determined, the consultant
is to be taken into account as the counseling depart-
ment reviews its entire set of activities. and consultee engage in the following goal-setting
Ingeneral, defining theproblem requires the steps (Locke & Latham, 1984, 2002):
consultant and consultee to interpret the analyzed Specify the task or objective.
Ger Sa iE RA TPES
tual scheme and then determine the data’s meanings Specify how the task or objective will be
Feeley estbeth measured.
nln
Specify the target or standard to be reached.
Specify the time span involved.
lem has been defined to the mutual satisfaction o Prioritize possible goals.
consultant and consultee, the consultant facilitates a
commitment from the consultee to act on it.
Rate goals with respect to difficulty and
importance.
Determine coordination requirements.
PHASE THREE: Based on these goal-setting steps, the consul-

tant and consultee choose the most appropmiate
SETTING GOALS evaluated and adjusted in light
goal, which is then
of the characteristics of effective goals.
Characteristics of Effective Goals

aarp Consultants need to be experts in goal
setting because it is likely that their consultees Sir
not be (Egan, 1985). Goal setting focuses whicon h
the iden- . In the context
actions willeffectivelysolve or amelio rate
Stollar , 2002). of consultation, success is a complex goal that can
tified problem or problems (Curtis &
a behavioral perspective, be broken down into subgoals: success in each
From
phase of each stage of consultation.
82 PART II THE STAGES OF CONSULTATIO ND COLLABORATION
For the goal-setting process to be successful for effective implementation of the plan. The con-
sultant and consultee should try to anticipate and
bey & Tilly, 2002). Such specificity facil- eliminate any obstacles to the successful accomplish-
ee selecting appropriate interventions to solve ment ofa goal.
ceee oa and evaluating those ee aed Goals reflect the values of the people attempting
to accomplish them, and they should conform to the
values of the consultant, consultee, client system, and
If, for exam- the organization.
ple, a consultant and a consultee determine that the
goal is improved morale, it would be insufficient ye rrarco; consultants may also need
until they specified what they aican by morale to reflect on their own values so that they do not
and improved. inadvertently impose them on their consultees dur-
1 Bs ae ei somes ing this phase of the diagnostic process.
erably by measurement. They should be stated in The consultant and consultee should determine
terms of outcomes. Consultants and consultees who else needs to be informed about goals. Clear
must determine what should be measured, how it communication about goals to parties-at-interest 1s
should be measured, and when measurement should essential to receiving the cooperation crucial to the
take place. accomplishment of the goals, especially when the
Measures of accomplished goals will affect many of the organi-
quantity include volume and rate, whereas measures zation’s members. In summary, goals are useful in
of quality include accuracy and novelty (Egan, that they:
1985). Cost-eftectiveness—whether the expense in
meeting a goal was worth the benefits derived from help
to focus attention and action
accomplishing it—should also be taken into consid- # assistin mobilizing energy and effort
eration.
_ providean incentive to determine strategies to
_
achieve them
they are considered to be worth the effort required
to ac paae them. _ promote persistence when they are clear and
specific (Egan, 2007, p. 250)
tic: resources, control, and obstacles’ (Egan, 1985).
a consultantRe and therare
consultee
wamust determine A Brief Example of Setting Goals. A social
the adequacy of available resources for accomplish- worker is consulting with the principal of a rural
ing the goal. Thus, a mental health consultant whose school on how to increase involvement with com-
consultee is a teacher may have to determine munity agencies. In setting goals to accomplish this,
whether the school has the resources needed to the consultant engages the administrator in both
help the teacher’s student who suffers from an emo- brainstorming and scenario writing. They brain-
tional disturbance. The consultant should ensure that storm on the types of organizations that could be-
the consultee has some control over whether or not come more involved with the school and write
the goal is met, and the consultant and consultee scenarios depicting the nature of the involvement
must determine if the goal is adequate. for each agency. Based on examining goal possibil-
Obstacles to the accomplishment of any goal ities, the consultant and consultee determine that
must be expected. For example, even though a they will contact seven agencies within the next
consultant and consultee may have chosen as a goal two months and sell them on the idea of becoming
the accomplishment ofatreatment plan for the con- more involved with the school. Together they as-
sultee’s client, the client may not be willing to sess the feasibility of the goal, and the social worker
attend the number of counseling sessions required agrees to coordinate attempts to accomplish it.
PHASE FOUR: GENERATING Consultants can assist their consultees in gener-

ating possible interventions by using prompts (sti-
POSSIBLE INTERVENTIONS
muli or reminders) that stimulate the consultee’s
creativity. These prompts include (Egan, 2006, 2007):
Once the consultant and consultee have chosen an
acceptable goal, they are ready to enter the last
phase of the diagnosis stage—generating possible , such as resource people or role
interventions, sometimes referred to as “strategies,” models (e.g., a program evaluator for a newly
to accomplish the goal. Effective interventions are implemented program)
essential to consultation and collaboration (Upah &
a
Tilly, 2002).
e.g., an off-campus location
Like goal setting, generating possible interven-
tions is a critical step in the diagnostic stage. Whereas for a faculty retreat)
the goal suggests what the consultant and consultee
want to accomplish, interventions are things they computer technology
can do to accomplish that goal. for a proposed corporate reorganization)
= ni
orgathat za
could ti
sponso on
r or the|
assists
Evidence-based practice refers to the use ofinterven- -consultee in some way (e.g. a private charitable
tions that have scientific evidence related to their foundation to provide funding for a pilot
effectiveness. In consultation, interventions are the program)
actions or activities that, when put together in a sys-
tematic manner, make up a plan to achieve a goal. .g., a stress management pro-
It would be a mistake for the consultant to
gram for teachers at a school)
assume that because consultees know what goals
they want to accomplish, they also know all of
the ways to go about accomplishing them.
iwi erate lah

consultee being the counselor for a client about
. Developing a whom a goal has been set)
broad array of interventions to choose from 1s re-
lated to consultee willingness to implement the se-
lected intervention (Gresh am & Lopez, 1996). At
(Curtis & Stollar, 2002; Zins
the same time,
& Erchul, 2002). Such a technique assists the con-
(Allen & Graden, 2002). Evidence-based interven- sultant and consultee in going beyond the usual
tions refer to those that are supported by research consideration of only one or two intervention
(Auster et al., 2006). For example, some alternatives. Whenever a consultee’s work-related
evidence
consultees may be used to employing interventions problem has some unknown factors and some un-
certainty about the best way to solve it, it is appro-
with which they are familiar even though there is
priate to take the time necessary to generate and
no empirical evidence or observed consistency that
analyze a list of alternative interventions (Curtis &
suggest that the interventions are effective. Consultants
the Stollar, 2002). By following the rules of brainstorm-
can encourage effective practices by monitoring
and providi ng assistan ce to ing, consultants can increase the probability that
implementation process
consultees will generate an adequate list of possible
consultees as needed to ensure treatment integrity.
interventions. The rules of brainstorming include “What things such as CD-ROMs and booklets
the following (Egan, 2006, 2007): might be available for you to use?”
Suspend judgments on strategies as they are » “Are any organizations that work with inter-
being generated. national students available to be of help?”
= Generate as many interventions as possible. # “Do you know of any companies who have
prepackaged programs for test anxiety or for
# Use piggybacking: use one idea to stimulate
helping international students get acclimatized
others.
to American schools?”
= Creativity and novelty are at a premium when
a “What professional abilities do you have that
generating a list of possible interventions.
you can use directly with the student?”
Once the consultee understands the ground
rules, the consultant and consultee brainstorm for
an agreed-upon period (e.g., five minutes). The MULTICULTURAL ASPECTS
consultant and consultee should write down or re-
cord interventions as they come to mind. After the RELATED TO DIAGNOSIS
brainstorming period, the consultant and consultee
reconsider and clarify each item to complete this list Multicultural influences can impact the diagnosis
of possible interventions. stage (Jackson & Hayes, 1993; Quintana et al.,
If the consultee is unfamiliar with the brainstorm- 2000)
ing process, the consultant should provide some prac- ‘to maximize the conditions for success {(Iamirez
tice sessions first. For example, the consultant and et al., 1998). For example, a consultee’s or fellow
consultee could brainstorm ways people could stay collaborator’s view of the methods used for data
dry after being caught out in the rain. Brainstorming gathering may be influenced by cultural variables
does not replace the sound professional judgment of sucheeds cotitext) (Ortiz. 62 Elanacana 2002:
either the consultant or the consultee. Rather, it is Sheridan, 2000). Consultees or fellow collaborators
sumply a technique to enhance the quantity and quality from high-context cultures may prefer interviewing
of inputs into the decision-making process. or observational methods, whereas those from low-
Consultants should be aware that brainstorming is context cultures may prefer methods such as read-
very demanding intellectually, because one must con- ing documents or conducting surveys.
sider the future, examine complex situations, recall Consultees of different cultural backgrounds
previous experiences, and use creativity. may prefer a fluid definition of the problem, while
others prefer a concrete and detailed process of de-
A Brief Example of Generating Possible Inter- fining the problem so that the major cause is clearly
ventions. A consulting school psychologist and a defined (Ramirez ct al., 1998: 2000).
high school counselor agree that their goal is to
alleviate the test anxiety of an international student. or example,
To bring to mind possible interventions, the school whereas one collaborator may view a whole family
psychologist asks the school counselor questions, as the focal point of the goals, another collaborator
including the following: may believe a particular member of the family should
be the focus. Therefore, consultants need to ensure
# “Who do you think can assist you in your
work with this student?” that goals and problems are defined with cultural
context and sensitivity. Cultural differences can play
# “What do you think is the best setting for a part in determining what kinds of data are gathered
working with the student?” and what interventions are generated. Consultees or
fellow collaborators influenced by high cultural con- that might be successful (Ortiz, 2006; Ortiz &
text may want to avoid interventions that that they see Miranda, 2002; Sheridan, 2000). In addition, collect-
as time bound, perceive to be overly structured, or ing information about a culturally different chent may
view as exclusively dealing with authority figures. necessitate multiple sources and contexts (Castillo
Furthermore, the cultural aspects of the cent system et al., 2000; Ortiz, 2006).
are a variable in determining the types of interventions
SUMMARY
Diagnosis is a critical stage in consultation. Indeed, be rushed; consultants should encourage their con-
if the wrong problem is defined, then the wrong sultees to remain patient and avoid the tendency to
problem is solved. During this stage, the consultant define the problem hastily. ¢
and consultee collaborate in gathering information This stage of consultation requires that the con-
by various means, in defining a problem from that sultant and consultee gather the appropriate infor-
information, in setting a goal to resolve the prob- mation necessary for defining the problem. To do
lem, and then in generating some possible interven- this effectively, the consultant and consultee need
tions to accomplish the goal. Diagnosis should not to know both what information they seek and the
CASE 4.1 Diagnosis for School Consultants
increase the frequency of socially acceptable classroom

Geri is a school-based consultant who is working with a
behaviors by 25 percent over a 3-month period. Geri
teacher concerning a child who has difficulty remain-
ing in his classroom seat. During the diagnosis stage, and the teacher begin to brainstorm possible inter-
ventions, but they don’t evaluate any of the items at
Geri and the teacher decide that Geri should observe
this time. They come up with interventions such as a
the child in the classroom on at least three different
change in the child’s seat, a teacher contract with the
occasions and conduct an informal interview with him.
child, a teacher face-to-face talk with the child, a par-
During the observation, Geri is to observe the social
ent conference that includes the child, a student assis-
conditions that surround the child’s getting out of his
tant program, and a realignment of the entire struc-
seat as well as the antecedents and consequences of
the ture of the classroom.
this behavior. In the interview, Geri is to inform
child that the teacher is concerned about his behavior.
and Commentary
The teacher has asked Geri to talk to him about it
his Diagnosing the problem is a very important element in
about his feelings toward the class, the teacher,
the consultation process. It is very easy for consultants
studies, and his own behavior.
interviews the and consultees to pay lip service to diagnostic proce-
Geri conducts the observations,
r dures in organizations such as schools when there are
child, and then meets again with the teacher. Togethe
numerous time constraints. Look at it this way: Would
they determine that the child's behavior is most likely
for you prefer physicians to perform cursory examinations
due to the attention he receives from his buddies
(that is, data-gathering procedures) on you? Certainly,
disturbing the class. Geri and the teacher discuss what
basis of you wouldn't because they might well be missing sig-
is reasonable behavior for the child, and on the
nificant information related to your well-being. So too
that discussion, they set a reasonable goal for the child the
r by in consultation, it is better to ensure that you and
to decrease his inappropriate out-of-seat behavio
second consultee have adequate data so that you have a
50 percent the first month and 75 percent the
to higher probability of accurately defining the problem.
month. They decide on a second goal—for the child
=
methods by which they are going to gather it. Once the problem has been defined to the sat-
Because each method of data gathering has its ad- isfaction of the parties involved, goal setting is initi-
vantages and disadvantages, the consultant and con- ated. Goal setting, like all phases of diagnosis,
sultee must carefully weigh the pros and cons of should be collaborative to enhance the likelihood
each. Furthermore, they need to analyze the data that the consultee will obtain an effective set of
using some valid method that is consistent with the diagnostic skills for future use.
goal of consultation. Both quantitative and qualita- After setting goals, the consultant and consultee
tive methods can be used in defining the problem. generate a list of possible interventions. This is one
CASE 4.2 Diagnosis for Community Consultants‘
Martin, a community consultant, was asked by a local cation program, develop a task force to promote and
hospital to assist in the development of a community plan the program, develop targets for the programs
AIDS prevention program. Martin’s consultees are a within the community, and develop short- and long-
community health practitioner, a hospital-community term plans that demonstrate sensitivity to the social
relations coordinator, and a physician with a strong and cultural contexts of AIDS/HIV.
interest in the prospective program. The following are some of the series of possible
At one of their first meetings, Martin brought up interventions they felt would help in meeting their
the idea that a lot of information needed to be gathered goals: involve possible target group members in the
to get a focus on how the program might look. He noted development of the program; ask target group mem-
that it would be valuable to determine the success of bers to be part of the task force; include culturally
several existing AIDS and HIV education programs. The relevant content and media in publicizing the need
group reached a consensus that it would be foolish to try for the program; use community recognition to re-
developing a program without proper study. ward members who assist in the development of
Their first task was to find out about as many of the the program; and maintain the use of Martin as
existing programs as possible. Through Martin’s facili- a consultant for developing short- and long-term
tation, the group would review the literature, make calls plans.
to existing programs, and visit a few programs that were
close to the community. The physician agreed to call Commentary
several programs, Martin and the hospital/community External scanning can be one of the most effective di-
relations coordinator agreed to review the literature at agnostic procedures consultants, consultees, and colla-
a local university library, and the entire group agreed to borators employ. In your work as a consultant or col-
make site visits to three existing programs. laborator, scanning will prevent you from working in a
As they reviewed all of the gathered information, vacuum and from reinventing the wheel. The use of
one theme became quite evident: Many AIDS and HIV goal setting by writing desired scenarios can be an in-
education programs were unsuccessful due to poor teresting process for the consultant and consultee to
planning and lack of community involvement. Martin engage in. Such scenarios provide a rich narrative that
then helped the group define the problem in terms of is often lacking from traditional goal setting state-
the question, “What is the best type of AIDS preven- ments. Putting goals in priority order enables the con-
tion program for this community?” Once the problem sultant and consultee to remain aware of the most
was defined, Martin and the group developed and important tasks at hand while providing them with a
prioritized a set of goals. In developing the goals by map to guide their efforts. Clearly, diagnosis involves
writing a scenario of what a quality program might more than figuring out what's the matter.
look like, they realized that a quality program might
be beyond the scope of the hospital’s resources. 1. The idea for this case study came from the articles in the section enti-
tled, “Special Feature: AIDS and HIV,” Journal of Counseling and
The prioritized goals were to start a publicity
Development, 71(3): 1993, pp. 259-309.
campaign to promote the need for an AIDS/HIV edu-
of the more creative phases of diagnosis, and it 1s effectiveness of different approaches to diagnosis.
also one of the most difficult because consultees The research on providing consultees with feedback
may experience conflict and uncertainty about hav- regarding the result of the data-gathering stage indi-
ing so many possible courses of action, especially if cates that feedback is necessary and desired by con-
the majority of them appear to be equally effective sultees, and the response to such feedback is affected
in reaching a desired goal (Ashford & Cummings, by how it is presented (Armenakis & Burdg, 1988).
1983). Therefore, the consultant may need to assist There is some evidence that enhancing the
the consultee in selecting some of the better alter- problem-solving techniques of consultees improves
performance during consultation (Zins,
natives. There is some evidence that such direction consultee
by the consultant is not a detriment to the consul- 1993). To this end, Zins (1993) suggests that con-
tation process (Houk & Lewandowski, 1996). sultees be trained directly in problem-solving and
Ultimately, the major goal of the consultant during intervention techniques, that consultants provide
this phase is to assist the consultee in developing an overt modeling of the problem-solving process for
adequate number of possible interventions. consultees, and that potential consultees receive di-
The research on diagnosis is sparse. There 1s rect training in problem solving prior to receiving
some evidence about the frequency with which di- consultation services as part of preservice training.
agnostic models are used, but none on the relative
=» Remember that diagnosis can be an ongoing = Use scanning as a tool to give direction to your
choice of interventions.
process and that numerous aspects of the
problem may change as time goes on. s Involve consultees and fellow collaborators as
= Define the problem and related goals as spe- much as possible in the data-gathering process.
cifically as you can. Avoid the temptation to bypass the phase of
generating possible interventions.
5. How can you best teach consultees to enhance

1. What do you envision as the most difficult
their skills in diagnosis?
phase of diagnosis for you to function in? Why?
6. Which methods of gathering information
2. Which 10 skills are most needed by consultants
would you be most likely to use? Why?
to increase the chances that the diagnosis stage
will be successful? 7 Once the data have been collected, how does a
consultant go about assisting a consultee in
3. Consider your answer to the previous question:
defining a problem?
in which of these skills do you think most of
your consultees will be deficient? Why? 8. Of the characteristics of effective goals men-
tioned in this chapter, which do you think are
4. What is the most practical way to-scan a pre-
the most difficult to meet?
senting problem? How would you determine
what to scan? 9. How would you assist a consultee in generating
a list of several possible interventions?
10. You have now read about the entry and diag- the diagnosis stage build on a successfully
nosis stages of consultation. In what ways does completed entry stage?
Hohenshil, H. (1996). Editorial: Role of assessment and perspective on the role of assessment and diagnosis.
diagnosis in counseling. Journal of Counseling and Although it focuses on a counseling context, you will
Development, 75, 64-67. Although published over a find a wealth of information to employ in consulta-
decade ago, this article presents a concise and valuable tion and collaboration.
Implementation Stage
Q he consultant often
functions as a resource person and trainer during this stage. The various
pro-
models of consultation (Chapters 9-11) conceptualize the implementation
health consul-
cess differently and use different types of interventions. A mental
is due to the
tant might carefully determine whether the problem in consultation
A behavioral
consultee or to the client before identifying possible interventions.
effective with
consultant might determine which types of reinforcement are most
those types of rein-
a given client and then choose an intervention that includes
time determining
forcements. An organizational consultant might spend a lot of
selecting an inter-
the level of the organization at which to intervene and then
consultation in use,
vention appropriate to that level. Regardless of the model of
however, the process of implementation remains the same.
which is com-
This chapter covers the implementation stage of consultation,
ting a plan, implement-
posed of four phases: choosing an intervention, formula
ing the plan, and evaluating the plan.
ns to consider:
As you read through this chapter, here are some questio
ng the most appropriate
1. How does a consultant assist a consultee in choosi
genera ted at the end of the diagnosis stage?
interventions from among those
interventions?
NO What are the pros and cons of the various types of
chosen plan to the organi-
3. How do the consultant and consultee tailor the
zation in which it is to be implemented?
plan?
What is the consultant’s role in implementing the
the degree to which the
How can the consultant and consultee determine
plan was successful?
89
INTRODUCTION ask “How did we do?” As was the case in the entry
and diagnosis stages, the implementation stage is crit-
Consider for a moment the following: ical in the consultation process: Imagine the difficul-
ties that would be encountered if an inappropriate
plan were chosen for a given problem. The consul-
A Case of Implementation tant and consultee would come up with the wrong
A staff development coordinator in a human service solution for the right problem. Or if a proper plan
organization has been working with a consultant on was chosen but the wrong interventions were used,
some of the organization’s concerns about improv- the consultant and consultee might have the nght
ing the quality of its work environment. The co- solution put together in the wrong way.
ordinator’s immediate superior calls the coordina- In the implementation stage, the client or client
tor in and asks what progress has been made with system is now ready for some form of direct assis-
the consultant. The coordinator indicates that the tance from the consultee or indirect service from
problem has been identified, explored, and ana- the consultant. The consultant must make sure
lyzed. Furthermore, several prospective interven- that the consultee formulates an appropriate plan
tions have been identified. The supervisor then and correctly implements it; evaluating the plan 1s
asks what the next steps will be. The staff develop- one ofthe consultant’s highest priorities. Consider a
ment coordinator replies that a plan will be formu- situation in which the nght plan, the mght strate-
lated and the logistics of implementing it worked gies, and correct implementation are combined, but
out. The plan will then be put into action and the consultant and consultee have failed to design
evaluated. The supervisor then asks for a time frame an appropriate evaluation of the plan. In this situa-
within which all of this will occur. tion, the consultant and consultee have no way of
This sequence of events is quite common in accurately determining the degree to which the
consultation. Often, people within the organization plan actually worked.
in which consultation is occurring have relatively
little idea about how complex and time consuming
effective consultation is. The staff development co-
ordinator was in essence telling the supervisor that
consultation had progressed to the implementation
stage. She and the consultant were ready to choose
among the several possible interventions they had
devised, formulate a plan, tailor it to the organiza- Diagnosis
tion’s needs, put it into action, and then evaluate
the degree to which it works. Clearly, good plan-
ning is essential to successful consultation, yet it is Stage Three:
very easy to neglect. Because every plan has its ad- ‘ Choosing an intervention
Implementation
vantages, disadvantages, and possible glitches, there Formulating a plan
is no one best plan, but rather one that has the Implementing the plan
highest probability of succeeding. Evaluating the plan
Figure 5.1 illustrates the phases of the implemen-
tation stage. In choosing an intervention, the consul-
tant and consultee answer the question, “What are
|Disengagement
we going to do?” In formulating a plan, they answer
the question, “How are we going to do it?” They
actively try to solve the problem in the phase of im-
FIGURE 5.1 The phases of the implementation
plementing the plan, and in evaluating the plan they stage
CHAPTER 5 IMPLEMENTATION STAGE 91
The consultant may need to train the consultee One way to accomplish this is to make sure that
in the interventions implemented during this stage; all of the interventions under consideration have
for example, a mental health consultant might need research to back their efficacy, that is, they are
to train the consultee, a school counselor, in a specific evidence-based (Barnett, Vander Heyden, & Witt,
procedure for assisting a child with school phobia. 2007; Gibbs, 2003; Hoard & Shepard, 2005). Other
As in other stages in the consultation process, con- ways involve addressing the social factors that bear
sultants take a collaborative approach whenever pos- upon the problem (Farmer, 2000), considering the
sible and avoid doing anything for consultees that costs and benefits of the intervention (Topping &
they can do for themselves. In addition, the consultant Ehly, 2001), and developing an intervention that
typically relies on the consultee for information about readily fits into the consultee’s other responsibilities
the culture of the consultee’s organization and the (Allen & Graden, 2002; Noell & Witt, 1998). In ad-
exact role ofthe consultee relative to the client system dition, consultants should remember that knowing
(Erchul & Schulte, 1993). about a wide range of potential interventions is not
The implementation stage is important to the enough. As Elliott and Busse (1993) note, consultants
consultee because it represents some action on the must also be “sensitive to the skills and perceptions of
problem that prompted the request for assistance in their consultees and be able to clearly communicate
the first place. In this stage, the consultee either treatment procedures so that they are implemented
makes some intervention with a client system or with integrity” (p. 194).
benefits directly from some intervention by the Although proposed over three decades ago by
consultant, who assumes that the experience will Janis and Mann (1977), one effective procedure
give the consultee useful skills for handling similar the consultant can still use in helping a consultee
work-related concerns in the future. choose among possible interventions is based upon
their decision counseling. Although developed for
use in counseling and psychotherapy, this procedure
is useful for ensuring that the consultee goes through
the process of choosing an intervention in an appro-
PHASE ONE: CHOOSING priate manner. The process of decision consultation,
which is based on effective decision making, consists
AN INTERVENTION
of eight questions consultants can ask consultees.
The following questions are adaptations of those
One of the most formidable challenges is to identify
developed by Janis and Mann (1977, p. SWAN
effective interventions prior to their implementa-
& Shernoff, 2004; Noell et al.,
tion (Kratochwill = To what degree has the consultee developed a
2000). Since consultees may have a large number wide range of alternative interventions?
of interventions available to them, they may expe-
» To what degree has the consultee considered
rience conflict because all of the interventions look
the objectives and related values of the possible
good. The selection of interventions needs to be
those interventions (Levinson, interventions?
linked to assessing
2002). Furthermore, consultees may prefer inter- = To what degree has the consultee weighed the
ventions that they are familiar with, they think potential negative consequences, risks, and
are easy to implement, are the most practical potential payoffs of each intervention?
per-
(Martens & Ardoin, 2002), and for which they = To what degree has the consultee searched
and
ceive that they have the necessary knowledge for new information relative to each
skills (Egan, 2007). Theref ore intervention?
To what degree has the consultee processed

the consultant’s comments about potential
positive and negative factors related to the ities with behavioral routines in the consultee’s
interventions? work setting (Noell & Witt, 1998). Therefore, the
consultant should address these considerations when
= To what degree has the consultee made a final
developing a rationale for an intervention. In addi-
determination of the interventions’ potential
tion, in selecting an intervention, theconsultant
positive and negative consequences, as well as
and consultee should examine the following ques-
the driving and inhibiting forces that affect
tions (Gutkin & Curtis, 1999):
their implementation?
=» Do webelieve that the intervention
will really
= To what degree does the consultee have the
work?
capacity to successfully execute the chosen
intervention? =
Can the consulteeimplementwith high levels
of treatment integrity?
s Which interventions have been set aside for use
# Does the consultee see it as part of his or her
in contingency plans?
duties to carry out theintervention?
By engaging the consultee in the pursuit of » Is the intervention in line with the consultee’s
answers to these questions, the consultant can help perception of what needs to be done?
the consultee make a reasonably effective choice of
~ Does theintervention fitrelatively easily with
interventions and can ascertain not only the degree to
the consultee’s routine?
which the implementation appears satisfactory to the
consultee, but also whether any adaptation of the Being able to explain a wide variety of interven-
intervention b the consultee will negatively affect tions from several different perspectives is a very de-
its impact. sirable skill for consultants (Conoley et al., 1991), and
it helps to avoid considering a limited number of
interventions due to bias or favored interventions.
Decision consultation also helps facilitate the use of
Graden, 2002). In addition, the process involved in more idiosyncratic, innovative, research-oriented
this kind of assistance can rub off on the consultee, interventions (Barnett & Lentz, 1993).
who can then be more effective in choosing inter-
ventions for similar problems in the future. irst, the consultee and
consultant must process a tremendous amount of
information in selecting the intervention (Wheeler
& Janis, 1980). Second, it is difficult to predict realis-
esearch suggests that consultees do not tically the specific outcomes ofvarious interventions
always follow through on the intervention they are due to the possibility of unforeseen events and po-
supposed to implement. Later in this chapter, tential human error (Lentz, Allen, & Erhardt, 1996).
you will read about the concept of treatment integ- In order to facilitate discussion about the possible
rity and the way to enhance consultee commitment impacts ofgiven interventions, the consultant should
to interventions. Whether consultees will accept therefore consider having the consultee keep a con-
an intervention appears to be a function of their sistent, detailed set of notes concerning alternative
perception of the fit between the problem and interventions.
the intervention, their beliefs about the interven-
tion (e.g., humaneness), the level of difficulty in
implementing it (Erchul & Chewning, 1990), the
quality of the consultant-consultee relationship 2007). The process of supporting the intervention
(Conoley, Conoley, Ivey, & Scheel, 1991), the should also be taken into consideration. In other
consultee’s values (Egan, 2007), and its compatibil- words, the technical components need to be blended
together with an ecological understanding of the the efficacy of EBIs, and establishing guidelines for
problem setting (Lentz et al., 1996). There are the implementation and evaluation of EBIs by prac-
some additional guidelines that can assist consultants titioners (Kratochwill & Shernoff, 2004). EBI is not
and
consulteesinchoosingan adequate intervention without controversy. For a pertinent discussion, see
(Gutkin & Curtis, 1999; Zins & Erchul, 2002): Egan (2007).
s Try to use positive interventions first.

Types of Interventions
# Avoid complex and intrusive interventions.
You are hungry, so you decide to go to a restaurant
» If the consulteeis to learn a new skill, incor- that offers a smorgasbord. As you walk through the
porat e daily routines as much as possible.
itinto smorgasbord, you have a difficult time selecting
= ionsthe least
that require
Promote intervent from among the offerings because they all look so
amount
of time. good. You decide to choose one item that 1s rep-
# =In addition to empirical research on the inter- resentative of each of the four food groups. So you s
choose one meat, one dairy product, one cereal

n,on the consultee variables dis-
rely
ventio
cussed previously. — product, and one green vegetable—and then you
proceed to enjoy your meal. You have, in effect,
The issue of empirically supported interventions just classified all of your possible food choices into
(ESI), also often referred to as evidence-based interven- four categories and then chosen from each of them.
tions (EBI) (Cox, 2005; Gibbs, 2003; Gul, 2005), has By categorizing your options, you made your deci-
come to the forefront in the consultation/ collabora- sion about what to eat much easier.
consultants and consultees have a
tion literature, particularly in school-based consulta- Indeed,
2000; smorgasbord of interventions available to them.
tion (Graden, 2004; Stoiber & Kratochwill,
Wilkinson, 2005). School reforms—such as those Therefore,
dictated by the No Child Left Behind Act, develop-
ments in the field of special education, and gap
In dealing with a problem situation, an intervention
between research and practice—have all stressed
the importance of evidenced-based activities can be a single task, a series of related tasks, or a
(Kratochwill & Shernoff, 2004; Merrell et al., series of unrelated tasks organized around a com-
2006). These developments have risen, not without mon theme. One or more unique interventions can
implementation issues (Kratochwill & Shernoff, be put together systematically into a plan that is
2004), from the idea that scientific inquiry should tailored to the identified problem.
guide practice. For community consultants, our na-
tion’s health care delivery system and its focus on
oparbeuasenties Such expertise allows the
accountability has led to an emphasis on evidenced-
consultant flexibility in combining programs to
based interventions. Depending on the consultee’s
skill level related to implementing the intervention, meet the goals of consultation. Do you know about
the carpenter who could only use a hammer? He
the consultant should be prepared to provide indirect
saw every problem as a nail to be hit. Consultants
training (e.g., didactic instruction) or direct training
(e.g.,S-> modeling) (Sterling-Turner et al., 2002). The
who do not have knowledge of and skill in many
types of interventions tend to conceptualize solu-
tions in terms of what they know how to do instead
his practice, of course, puts of what is really needed.
A useful device for obtaining a broad perspec-
the consultant in the expert mode. The major strate-
tive on interventions is a classification system.
gies for introducing EBI include developing a
practice-research network, promoting research on
94 PART il THE STAGES OF CONSULTATION AND COLLABORATION
ties can be caused by a variety of variables, including

‘ing discussion. The target group is usually the client student behavior (Noell, 2002; Noell & Witt,
system. A classification scheme developed by French 1998). In some cases, students don’t have the aca-
and Bell (1999) includes the following targets: indi- demic skills to learn. In others, students have the
viduals, dyads/triads, teams and groups, intergroup appropriate academic skills but still don’t learn
relations, and the total organization. Though de- adequately, thus suggesting a disabili
veloped for interventions in organizational consul- inadequate learning environment.
tation, this scheme can easily make up a generic
classification system useful to all consultants.
(Elliott, Busse, & Shapiro 1999; Kampwirth, 2006).

Individual Interventions Among the academic interventions with strong
empirical support are school-home notes (e.g.,
Because individual interventions can also be de- daily report cards); providing students with con-
signed to assist the organization as a whole by im- structive feedback on their performance, training
proving the functioning of selected individual students in self-management techniques, peer tu-
members, individual interventions can apply in a toring, and cooperative learning (Elliott et al.,
variety of consultation settings. The previous chap- 1999); as well as other instructional principles
ter discussed ways to determine when individual such as pacing (Kratochwill, Elliott, & Callan-
interventions are appropriate. Fuqua and Newman Stoiber, 2002).
(1985) suggest that consultants
Behavioral Interventions. Consultants have a
broad array of interventions available to assist con-
_tervention. In effect, all individual consultation sultees inchanging the behavior of the client system.
interventions attempt to However, detailed discussion of behavioral inter-
ventions is beyond the scope of this text. From a
school-based perspective, problem behavior can re-
sult from lack of knowledge or skills, the fact that
the problem behavior is more rewarding than non-
problem behavior, and that problem behavior is a
way to avoid the demands of things like school
Caplan & Caplan, 1993). work (Martens & Ardoin, 2002).
In school-based con- or example, a student can be reinforced

sultation, individual interventions are typically ei- with praise from a teacher for engaging in a new
ther academic or behavioral. These interventions behavior (Martens & Ardoin, 2002). Kampwirth
are often used in prereferral intervention programs (2006) lists commonly used behavior-related inter-
before considering eligibility for special programs ventions 1n schools:
(McDougal, Clonan, & Martens, 2000).
" — general preventative techniques (e.g., classroom
rules)
Academic Interventions. For many school-
based consultants, student academic problems are " contingency management and contracting
the most common source for consultation (Bramlett * non-contingency interventions (e.g., modeling
et al., 2002; Jitendra et al., 2007). Academic difficul- appropriate behavior)
# social skills training terms of the conflict’s resolution or management.

The consultant is interested in improving the con-
= conferencing
ditions and the manner in which the conflicting
parties manage the conflict.
Consultee-Centered Case
Consultation Interventions for Groups and Teams
This intervention is one approach to the mental Organizations make extensive use of teams and
health consultation model and is given in-depth groups (French & Bell, 1999), and consultants are
coverage in Chapter 9. This approach suggests that frequently called on to make interventions to en-
the problem in consultation resides in the consultee
hance the effectiveness of an intact group or team.
(e.g., lack of skill). Consultee-centered consultation
is given renewed attention in the consultation liter-
most common group or team intervention 1s the
ature (Caplan & Caplan-Moskovich, 2004; Knotek
& Sandoval, 2003).
education/training approach, which is covered ex-
tensively in Chapter 11. Other interventions are
described here.
Dyadic and Triadic Interventions
Team Building.
Sometimes consultants are called on to make inter- There is
ventions that are most effective with groups of two
increasing attention being paid to developing leader-
(dyads) or groups of three (triads).
ship teams through team building (Rawlings, 2000),
particularly in the area of cross-cultural team building
which includes cross-cultural training (McLean,
Some of
useful with indi- 2006). Team building is the process by which a
the types of interventions that are
of dyads team’s individuals attempt to improve the group’s
viduals can be used to increase effectiveness
functioning through analyzing and evaluatin their
and triads. Furthermore, many of the interventions interactions (French & Bell, 1999).
typically aimed at large groups, such as team build-
ing, are appropriate for use with these small groups.
Conflict, common in te that the consultant is not a member ofthe
Third-Party Peacemaking.
team with which he or she is working.
most organizations, usually stems from parties’ different
During team building the consultant acts as a
perspectives on the same events. Consultants will fre-
anda collabor
facili tat orThe consultant typically
ator.
quently be called upon to deal with conflict manage-
(French & Bell, 1999; McLean, 2006). interviews each team member individually, examin-
ment
ing the strengths and weaknesses of the team. The
strengths and weaknesses are grou ed and presented
to the team for prioritization.
(peacemaking (Golembiewski & Rauschenberg, 1993),
an intervention unique to dyads and triads, which is
used to resolve interpersonal conflict.
Special attention is paid to how the
-
such as those developed team’s various members use power.
n
by Fisher, Ury, and Patton (1991) or Walto Technique. The nominal
consul - Nominal Group
(1987). The term “third party” refers to the
ive in group technique (NGT) was originally developed
tant, who presumably is skilled and object
by Delbecq, Van de Ven, and Gustafson (1975) in the issue, whereas quality improvement teams tend to
mid-1970s. The NGT isa group problem-solving) be more permanent and focus on issues related to
process designed specifically for engendering the emerging issues of quality.
members’ involvement and creativity. Its purpose is
to involve groups in determining solutions to issues Work Teams. Work teams are “small groups of
and problems. interdependent individuals who share responsibility
The NGT is based on two assumptions: that all | for outcomes for their organizations” (Sundstrom,
group members need only the proper encourage-! DeMeuse, & Futrell, 1990, p. 120). “Consultants
ment to induce them to express their ideas, and that | can make use of work teams in meeting the goals’
the exchange of ideas and group decision making of consultation, usually by taking on the role of
contribute to greater acceptance of decisions by | facilitating an environment in which the team can |
the individuals involved.yThe NGT is a structured function éffectively (Conyne et al., 1997; Kovach,
problem-solving meeting with a “one-person-one- 1998). There are four basic applications of work
vote” orientation; superiors and subordinates all eroups: advice and involvement, production and
have equal status in the NGT. The technique yields service, projects and development, and action and
a large quantity of high-quality, specific ideas and negotiation.
encourages independent thinking by participants. Teams whose purpose is advice and involvement
The process is highly motivating, and participants pastel have a short group life, are not extensively
experience the satisfaction of task accomplishment, as , linked to other units in the organization, and provide a
well as the social reinforcement of having worked ef- ' proposals"andyrecommiendations (Sundstrom et al.,
fectively together’ The consultant acts asa facilitator of 1990). For example, a consultant facilitates a group
the problem solving process, as well as a taskmaster of therapists in determining ways to provide more
who ensures that the steps of the NGT process are timely services to clients while at the same time cut-
completed (Sandland & Dougherty, 1985). ting down the length of time allocated to staffing.
Production and service groups are teams that —
Quality Circles. Quality circles are small * may have a brief or extended group lite, relate their
problem-solving groups (French & Bell, 1999) whose # work to what other units in the organization are
members are typically from the same work area. The doing, typically repeat their processes, and provide
groups meet for one to two hours per week to discuss C6drdinated services’ (Sundstrom et al., 1990);
concerns, investigate the sources of those concerns, Consultants assist groups such as these by using
make recommendations, and take authorized correc- group dynamics principles and processes to enhance
tive action. A primary purpose of these circles is to communication and productivity (Conyne et al.,
enhance product quality. The sharing of information 1997), as well as explaining the advantages of team
is essential in quality circles (Kovach, 1998). versus individual work (French & Bell, 1999). For
According to one of the early writers in this area example, a school counselor works with an in-
(Dewar, 1980), the objective of quality circles is to dividualized education program (IEP) team to pro-
improve work quality, productivity, and motivation. vide the best service to a student with behavior
The consultant’s primary role with regard to! disorders.
quality circles is educating and training potential! Teams that handle projects and development
members and administrators in the ways quality cir-' usually have a brief group life, are made up of in-
cles work.}\Consultants may want to recommend that dividuals from a variety of specialties, and generally
quality circle participants are highly rewarded be- produce a report a8 théir output.! For example, a
cause of the stress ofparticipation (Jennings, 1988). consultant assists a community task force charged
The quality circle concept has expanded to include with developing an AIDS awareness program.
quality improvement teams. The primary difference Action and negotiation teams often engage in,
is that quality circles tend to focus on one task or the same brief event many times, have specialists as
group) are involved. As in intergroup team building,

Sundstrom et al., the consultant acts as the process’s facilitator, enforcer
1990). For example, a group of consultants provides of norms, and coordinator. As an example, a consul-
training in mediation skills for a group of school tant might lead while a group of school counselors
counselors and psychologists. (host team) receives feedback from select groups of
administrators and staff on their perceptions of the
counseling department’s programs.
Interventions for Use between
Groups
Interventions for the Entire
Human service organizations are made up of several Organization
groups that interact with and affect one another.
One group frequently experiences tension or con- Interventions that attempt to enhance an entire or-
flict with one or more other groups within the ganization’s effectiveness are called organizational
same organization. interventions. Many interventions used primarily
at the organizational level can also be used as inter-
Two or more interde- group and team interventions.
pendent groups are put together as a single unit and
engage in joint activities (French & Bell, 1999).
The two major types of intergroup interven-
tions—team building and organizational mirroring The most common organizational interventions in-
—work because the group interactions are structured clude total quality management, survey feedback/
to maintain control (French & Bell, 1999). All infor- action research, parallel learning structures, and stra-
mation is shared between groups: there are no secrets, tegic planning.
and the
(French & Bell, 1999). Total Quality Management. Total quality man-
agement (TQM) is a combination of many of the
Intergroup Team Building. ‘Intergroup team4 interventions discussed in this chapter. Also called
“total quality improvement,” this model, along
with its offshoot, Six Sigma
(French & Sie reper & Strang,

2006; McLean, . Major concepts include “cus-
Bell, 1999). The accomplishment of these tasks
can lead to more harmonious functioning within tomer focus, reduction of variability, continuous 1m-
and between the groups. provement and employee participation” (David &
Strang, 2006, p. 216).
Organizational Mirroring. When the increased
tf For
effectiveness of three or more groups is desired, in-
example, a school-based consultant might work with
cluding reducing conflict (McLean, 2006), organiza-
tional mirroring is frequently used (French & Be a group of teachers on implementing total quality
concepts into their classroom instruction.
Survey Feedback/Action Research. Survey

o keep the number ofpar- feedback/action research owes much ofits develop-
ment to the social psychologist Kurt Lewin (1945,
ticipants manageable, representatives of each of the
groups (rather than the entire membership of each
1951).
98 PARTII THE STAGES OF CONSULTATION AND COLLABORATION
organization as possible, is long term by nature, and

(through surveys and/or interviews), takes into consideration the needs and security of the
people involved in the planning (Fuqua & Kurpius,
(French & Bell, 1999). The 1993). The process typically involves goal develop-
problem is diagnosed and action steps are planned ment, environmental analysis, strategy development,
during the workshop meetings. One underlying as- strategy evaluation, strategy implementation, and
sumption of this approach is that whatever discre- strategic control (French & Bell, 1999). It often em-
pancies are noted from interpreting the data will ploys SWOT (strengths, weaknesses, opportunities,
create the motivation to change things (French & threats) (McLean, 2006).
Bell, 1999). Another underlying assumption is that
ongoing feedback is necessary to keep the organiza- h as how to engage in in-
tion on course in terms ofits role and mission. Survey ternal and external scanning
feedback/action research takes on a cyclical ap-
proach: research, data collection, feedback, planning,
action, and evaluation (McLean, 2006). Depending trategic
on the outcome of evaluation, the process may be planning has been increasingly used in educational
repeated. settings (Knoff, 2002).
Because choosing an intervention varies some-
Parallel Learning Structures. One common or- what in consultation and collaboration, I use the
ganizational intervention consultants can recommend same scenario to provide examples below of choos-
is the parallel learning structure (also called a collateral ing an intervention in each.
organization)—a small unit within the existing organi-
zation. A Brief Example of Choosing an Intervention
in Consultation. Ellen, the head of acommunity
“Tatger Organization) This license to create its own agency serving developmentally disabled adults, has
norms allows the collateral organization the freedom been consulting with Lisa, a mental health worker
necessary to attack problems that are difficult for t specializing in consulting to management. Ellen 1s
larger organization to solve. feeling all of the pressures associated with being
placed in charge ofan important program. The diag-
nosis has pointed to Ellen’s deficiency in manage-
Parallel structures allow for the determination of ment training. Lisa and Ellen discuss the large array
the type of change needed, and this determination then of interventions that could be made in this situation
becomes the vehicle for leading the change initiative and select several interventions that seem likely to be
(French & Bell, 1999). The consultant acts as a resource successful. Lisa leads Ellen through the decision con-
person to administrators and to the members of the sultation by asking her eight questions related to her
collateral organization itself. However, the consultant concern about the lack of management skills. Based
does not meet formally with the collateral group ex- on outcomes to these questions and a determination
cept on an as-needed basis. of Ellen’s beliefs about the possible interventions, Lisa
and Ellen choose a general intervention, shadow
Strategic Planning. Strategic planning is a consultation, in which Lisa will follow Ellen at
forward-looking visionary intervention process that work for three days. Lisa will then provide feedback
helps organizations deal better with the future (Fuqua on possible management skills Ellen may want to
& Kurpius, 1993; Kormanski & Eschbach, 1997). It pursue as part of her professional development plan.
emphasizes process over product, separates vision
from the steps to accomplish that vision, sees change A Brief Example of Choosing an Intervention in
as a positive force, involves as many people in the Collaboration. Ellen, the head of a community
agency serving developmentally disabled adults, has plans and then choose the plan that appears to have
been collaborating with Lisa, a mental health the highest probability of succeeding.
worker in the agency specializing in consulting to Good plans shape successful consultation out-
management. Ellen is feeling all of the pressures comes. When formulating a plan, the consultant and
associated with being placed in charge of an impor- consultee should consider the what (objectives), the
tant program. Lisa is concerned that she needs to be where (locale of the implementation), the when (time
more effective in her work of providing more ef- frame), the how (methods, procedures, sequence), and
fective services to the management of the agency. the who (who is responsible for which elements)
The diagnosis has pointed to Ellen’s deficiency in (Upah & Tilly, 2002). In doing so, the consultant
management training and Lisa’s lack of a systematic and consultee can plan more effectively.
plan for assisting management. Lisa and Ellen dis- Plan formulation is a complex activity that
cuss the large array of interventions that could be requires time to accomplish adequately.
made in this situation and select several interven-
tions that seem likely to be successful. Together,
Lisa and Ellen engage in decision consultation by
asking and answering the eight questions related to
their concerns. Based on outcomes to these ques- “Of the plan. Each step is scrutinized again and ad-
tions and a determination of their beliefs about the justed as necessary.
possible interventions, Lisa and Ellen choose a gen-
eral intervention, shadow consultation, in which Lisa
will follow Ellen at work for three days. Lisa will then Consultants and consultees should adhere to
provide feedback on possible management skills several principles of formulating plans (Egan,
Ellen may want to pursue as part of her professional 1985). Plans should be clearly linked to the estab-
development plan. They also choose a focus-group lished goals; a connection must exist between what
approach through which Lisa will determine more the consultant and consultee want to accomplish
effective approaches for her providing her services. and how they are going to accomplish it. A variety
Ellen, who has expertise in conducting focus groups, of plans to accomplish set goals should be con-
agrees to help monitor Lisa’s progress. structed and examined. Brainstorming is a helpful
procedure for generating lans.
PHASE TWO: FORMULATING Steps in plans should be viewed as subgoals,

A PLAN and measures should be taken to see that the sub-
goals meet the criteria of effective goals.
Once the consultant and consultee have been able
Finally, plans should be
to decide on one or more interventions that have a
high probability of helping meet their goal, they examined in terms oftheir feasibility as contingency
begin formulating a plan plans. It is a good practice to have a “Plan B.”
Once plans have been formulated, the consul-
tant and consultee choose a plan. One common
gan, 2007). It is critical in this planning way of choosing the best
phase that the consultant emphasize the collabora- goal (Egan,
tive nature of consultation to ensure that the con- inhibit
1951). Restraining forces
sultee has a ready-made commitment to the plan
2007; Lewin,
movement toward a plan’s successful implementa-
(Erchul & Chewning, 1990). It is usually best for the
tion, and driving forces support the plan’s successful
consultant and consultee to formulate a few possible
outcome. Force-field analysis helps consultees gain

perspective on possible plans’ pitfalls and strong
points, and such awareness allows consultees to e consultant checks out the ac-
adapt plans to the specific settings in which clients ceptability of the treatment by helping the consul-
are being served. tee make a judgment of the appropriateness and
likely effectiveness of the selected intervention
(Dunson et al., 1994). High treatment acceptability
For each plan, the major restraining and driving indicates a high level of willingness to proceed with
forces, identified by brainstorming, are listed and ex- the intervention in the situation at hand, making it
amined in detail. Depending on the plan, one or more likely that the consultee will both stick with
more restraining and driving forces over which the intervention and implement it appropriately
the consultee has some control are identified for (Kratochwill & Stoiber, 2000a). Furthermore, the
modification. consultant helps the consultee integrate the consul-
tant’s input regarding the plans and makes a final
check of each plan’s potential positive and negative
They look at the relative weights of consequences. The plan builds upon the natural in-
the restraining and driving forces, and those plans teraction between the consultee and the client sys-
whose restraining forces outweigh their driving tem and the realities of the environment in which
forces are discarded. the plan is to be carried out (Lentz et al., 1996).
Specific adaptations of the plan to the unique needs

of the client or client system are worked out. Finally, the consultant assesses the consultee’s ca-
In addition to using techniques such as force- pacity to carry out plans and develop contingencies
field analysis, the consultant and consultee can work successfully.
together to create a checklist to avoid the following
pitfalls, which frequently contribute to the failure of A Brief Example of Plan Formulation in
plans (Egan, 2007): Consultation. A school counselor is consulting
with a school principal about the most appropriate
= trying to accomplish too much
type of in-school suspension program. They de-
# formulating too large a plan velop three possible plans for operating the pro-
# ~overanalyzing the plan, which causes disinterest gram: a punitive approach, a “time-out” approach,
and resistance and a counseling approach. The pros and cons of
each approach are weighed, and the consultant
# under-analyzing the plan and failing to antici-
pate pertinent problems makes sure that the administrator possesses adequate
knowledge of the basis for each plan. The consul-
# failing to consider the plan’s system-wide tant’s input into the various plans is clarified and a
impact force-field analysis is applied to each. Together they
= inadequately defining the plan’s desired decide that the in-school suspension plan with a
outcomes counseling focus is the best plan; the “time-out”
# failing to consider the human-side factors approach is chosen as a contingency.
As a final safeguard, the consultant and consultee A Brief Example of Plan Formulation in
may want to “walk through” the process one time to Collaboration. A school counselor and a school
see who 1s affected in what ways by the plan. principal are collaborating about the most appropri-
ate type of in-school suspension program. They de-
velop three possible plans for operating the program:
a punitive approach, a “timeout” approach, and a The consultant can increase the probability of
counseling approach. The pros and cons of each ap- successful plan implementation by proyidi
proach are weighed, and the school counselor makes tical and tactical assistance.
sure that the administrator possesses adequate knowl-
edge of the basis for each plan. The administrator
ensures that the school counselor is aware of how Egan, 2007), possibly on short notice.
to deal with the organizational dynamics of program Therefore, consultants should consider maintaining
implementation. A force-field analysis is applied to contact with consultees during the implementation
each possibility. Together they decide that the in- phase.
school suspension plan with a counseling focus 1s Consultant availability can be a critical factor in
the best plan; the “time-out” approach is chosen as the success of an intervention because of the reli-
a contingency. They agree to implement the pro- ance on the consultee (who may not be as well
gram by each taking on a variety of the trained as the consultant) to carry out the interven-
responsibilities.
illy, 2002). Careful monitor ng by the con-

PHASE THREE:
sultant will help to ensure that the consultee has or
IMPLEMENTING THE PLAN acquires the skills necessary for reflective implemen-
tation. It will also provide the contact necessary to
Now that the consultee and consultant or colla- prohibit consultees who think they have the neces-
borators have narrowed the possibilities and formu- sary skills from implementing a procedure which, in
lated a plan, they are ready for action. The plan reality, they lack the ability to implement (Caplan
designed in the previou et al.# 1994).
eration, and the Because the consultant and consultee made
plans jointly, it is reasonable to assume that the con-
sultee may welcome contact with the consultant
Although putting a plan into action seems quite during implementation (Conoley & Conoley,
straightforward on the surface, it is actually a very 1992). Such contact can be in the form of technical
complex process; planning needs to involve strate- assistance (for example, plan revision) or emotional
gies for effective implementation (Ervin & Erhardt, and cognitive support (for example, encouraging
2000; Riley-Tilman & Chafouleas, 2003). This the consultee to take risks). For example, the con-
phase dictates that consensus needs to be reached sultant may engage in the functional outcome anal-
on items such as the roles taken and the timing of ysis (FOA) in order to evaluate or monitor inter-
any monitoring by the consultant (Kratochwill, ventions (Noell & Gresham, 1993) or assist with a
2002). For example, the response to intervention initiative (Barnett et als
Elliott, & Callan-Stoiber,
consultant and consultee should engage in role
analysis (Golembiewski, 1993b) to ascertain who 1s
sult, y will provide the nec-
responsible for the tasks involved while recognizing
essary suppo to one another during the
that each brings unique skills to the problem-
solving process (Lentz et al., 1996). Furthermore, implementation.
the consultant should reassure the consultee that
events sometimes get in the way of the plan’s im-
plementation and that most often this is due to fac- ergan & Kratochwill,
tors in the complex real-life environment in which
1990). Such contact allows consultants to gather
all interventions must eventually be made.
data from the consultee concerning the effective- cient intensity (Riley-Tillman & Chafouleas, 2003).
ness of the intervention; this data can range from If the intervention is a program, for example, then
a description of the consultee’s and client’s behavior many issues can arise in the implementation (Larsen
during the intervention to measurements of & Sandal, 2007). In recent years, there has been a
changes in the client. A note of caution: during significant amount of research conducted on treat-
the implementation phase the consultant must ex- ment integrity (see Sterling-Turner et al., 2001).
ercise care to prevent excessive dependency in some One reason for the lack of implementing interven-
consultees who may inadvertently rely too heavily tions as designed is the cost incurred by the consul-
on the consultant’s expertise (French & Bell, 1999). tees during the phase of implementation (Noell &
For example, a school counselor consulting with a Gresham, 1993). There are two types of costs in
teacher might judiciously use questions to stimulate implementing interventions: objective (e.g., time)
the teacher to take more responsibility for imple- and subjective (e.g., inconvenience). So too, there
menting the plan. In collaboration, the monitoring are two types of benefits: objective (e.g., a change
is typically accomplished through team meeting in in the client system’s behavior) and subjective (e.g.,
which team members report on their progress and a sense of accomplishment).
receive input from the others.
There are some principles of effective imple- To help reduce this
mentation that I have extracted from the work of cost, consultants can train and coach consultees to
Egan (2007) with counseling clients, and I have use interventions (Noell & Witt, 1998; Watson &
applied them to consultation and collaboration: Robinson, 1996) and follow up with performance-
based feedback on intervention implementation
® = develop a strong commitment to specific in- (Noell et al., 2005; Riley-Tillman & Chafouleas,
terventions to accomplish goals 2003). Assessing intervention costs allows consul-
= ensure that consultees don’t jump on the first tants to help consultees determine the conditions
implementation they brainstorm under which interventions are implemented and
= assist consultees who are subject to inertia maintained with minimal adverse by-products so
that the benefits outweigh the costs (Gresham &
™ engage in force-field analysis
Noell, 1993).
»identify benefits for persisting with the One method of assessing the cost-benefit ratio
intervention for interventions is functional outcome analysis
(Gresham & Noell, 1993).
Treatment Integrity
Consultees may not carry out a carefully Methods for assessing treatment integrity have
designed plan effectively (Ervin & Erhardt, 2000; received recent attention. Interviews, observation
Kratochwill & Stoiber, 2000a; Noell et al., 2005; of implementation, training in the intervention,
Wilkinson, 2006) and, in fact, many don’t. An im- and use ofscripted intervention plans can assess treat-
properly implemented intervention, even though it ment integrity (Upah & Tilly, 2002). Treatment
has empirical su consultation integrity is likely enhanced by choosing high pro-
process. bability interventions and promoting correct im-
plementation (Telzrow & Beebe, 2002). High
(Lentz et al., 1996; Wilkinson, 2006). For example, probability interventions are those that focus on
effectively implemented interventions are used with key behaviors, are empirically su
the proper frequency, consistently, and with suffi- acceptable to the consultee.
There is some evidence that consultees find interven-

tions based on functional assessment as more accept-
(Raley-Tillman & Chapfouleas, 2003). Promotion of able than those that are not (Jones & Lungaro, 2000).
correct implementation of interventions involves On the other hand, some authors suggest there 1s
things such as treatment manuals and guided prac- little empirical support for the idea that treatment
tice in monitoring of the implementation (Martens acceptability is related to the effectiveness of the
& Ardoin, 2002), as well performance feedback dur- intervention (Watson et al., 1997). Questionnaires
ing follow-up (Noell et al., 2005) and the addition of are typically used to assess treatment acceptability.
a treatment-monitoring interview to the consulta- More recently, focus groups and other qualitative
tion process (Wilkinson, 2006). measures have been used (Finn & Sladeczek, 2001).
For an interesting study regarding treatment accept-
ability, consult Cowan and Sheridan (2003).
entz et.al.) 1996),
It involves the social significance of goals, the social
acceptability of the procedures, and the social im- Consultees
portance of effects (Gresham & Lopez, 1996). are more likely to follow through with plans
Consultees are more likely to follow through on when they view the intervention as making signifi-
an intervention if they see the goals of consultation cant differences in the life of the client system.
as socially significant and worth the cost of meeting
the m. A Brief Example of Implementing the Plan in
Consultation. Mary, a school counselor, is con-
sulting Louise, a third-grade teacher, in helping a
student diagnosed as having test-taking anxiety.
The plan they have devised together involves a cog-
consultees view the intervention and the plan to nitive behavioral approach that focuses on the child’s
implement it as acceptable, then they are more “self-talk.” The teacher instructs the child in a varia-
likely to be willing to self-monitor or be monitored tion of stress inoculation training. As the child is ap-
by the consultant (Erhardt, Barnett, Lentz, Stollar, plying this strategy during an exam, he starts saying
& Reifin, 1996). They are also more likely to pro- aloud the coping phrases that were to be said silently
ceed with the implementation as planned and in- to himself, Mary, who had been monitoring Louise’s
crease the likelihood of accomplishing treatment implementation of the plan, assists Louise in revising
integrity (Kratochwill & Stoiber, 2000a; Noell the procedures for instructing the child in stress inoc-
et al., 2005; Truscott, Cosgrove, Meyers, & Eidle- ulation training procedures. At the same time, Mary
Barkman, 2000). When dealing with large numbers is quite cautious in avoiding the creation of any de-
pendency on her by Louise.
of people in organizational consultation, consultants
will want to assure
A Brief Example of Implementing the Plan in
Collaboration. Mary, a school counselor, and
Louise, a third-grade teacher, are collaborating to-
ruscott et al., 2000). Not all in- gether to help a student diagnosed as having test-
terventions developed by the consultant and con- taking anxiety. The plan they have devised together
involves a cognitive behavioral approach that focuses
sultee are viewed as equally acceptable. Acceptable
on the child’s “self-talk.” The teacher instructs the
interventions are usually simple, time effective, and
child in a variation of stress inoculation training. As
free of jargon; they also tend to deal with a severe
the child is applying this strategy during an exam, he
situation and involve something that the consultee
starts saying aloud the coping phrases that were to be
is knowledgeable about (Gresham & Lopez, 1996).
said silently to himself. Mary provides individual consultee choose to develop alternative plans and
counseling to the child in terms of stress management strategies.
procedures the child can use. Mary, who had been
monitoring Louise’s implementation ofthe plan, as-
sists Louise in revising the procedures for instructing Questions to answer in-
the child in stress inoculation training procedures. clude: “To what degree was the plan successfully 1m-
At the same time, Louise assists Mary in understand- plemented?”, “What are the next steps that need to
ing the various strategies that might help Mary’s work be taken?”, and “How can the glitches that occurred
with this particular child. be eliminated?” If the plan did not meet its goals, the
evaluation may shed some light on reasons why. In
this case, the consultant and consultee can revisit the
problem and determine the subsequent phases that
PHASE FOUR: EVALUATING
need to be repeated in the problem-solving process.
THE PLAN Evaluation of the plan is frequently considered
to be out of the realm ofexpertise of the typical con-
sultant and consultee. However, consultants are in-
= In this phase, the question is: “To ae creasingly being held accountable for the ali of
degree were our goals met?” Evaluating the plan is their services.
a part of a larger evaluation effort that assesses the
effectiveness of the entire consultation process. As it nfortunately,
relates to the lan implementation, there are an inadequate number of well-researched
methods to measure the costs and benefits, either
objective or subjective, of interventions (Barnett &
s (Upah & Tilly, 2002). Both Lentz, 1993; Barnett et al., 2007).
the plan itself and how it was carried out need to be Outcomes can be measured in terms of what
evaluated (MacMann et al., 1996). If the evaluation happened to the client or client system as a result of
suggests that the plan has been successfully imple- some plan. The consultant and consultee have a
mented to an appropriate degree, the consultation variety of instruments and Se available for
proceeds to the disengagement phase. this purpose, but basically there are ways
evaluate a plan’s outcome: aduadhlees en at-
tainment measures, standardized outcome assess-
such ment devices, and consumer satisfaction surveys.
as defining the problem)
Evaluation of the plan within consultation fre-
quently involves two processes: implementation
evaluation and outcome evaluation.
nderson, Frieden, > &
Murphy, 1977, p. 293).
One example is concrete goal setting used with
Upah & goal-oriented progress notes. Ideally the consultant
Tilly, 2002). You will remember in the discussion of and consultee have already performed concrete goal
the third phase of this stage—the actual implemen- setting during the diagnosis stage of consultation.
tation of the plan—that we discussed such items as Plan evaluation then becomes a simple procedure
tactics, unforeseen glitches that might occur, and of determining the degree to which each goal was
treatment integrity. Implementation evaluation re- accomplished. For example, if the plan called for
views these items in case the consultant and the the client to reduce the number ofcigarettes smoked
from 20 to 6a day, then it is relatively easy to monitor sonal counseling to the program’s teenage partici-
the degree to which this goal is being met. pants. Their efforts over several sessions have given
Measurement of individualized goal attainment birth to a personal counseling program. They are
is often accomplished through goal attainment scal- now at the stage of evaluating its implementation.
me, (GAS), (lback et: al.,- 1999; Sladeczek, et .al., Because they conducted ongoing evaluations of the
2001). In this technique the dimensions representing program, Yvonne and Ashley have a sense of its
desired changes in client behavior are scaled (e.g., success. The goal attainment measures they devel-
from 1 = minimally attained to 5 = totally attained), oped for each ofthe program’s 20 participants show
expected levels of attainment are set, and scores are that the average participant benefited from the pro-
determined at the end of the plan’s implementation. gram to a level of 4.1 on a 5-point scale. On a
As Sladeczek and others note: GAS involves “the standardized problem checklist, the students also re-
selection of the target behavior . . . an objective de- ported fewer concerns after counseling. Student
scription of the desired intervention outcome, and opinion surveys showed that they preferred group
the development of three to five descriptions of the counseling over individual counseling, although the
target behavior . . . that increasingly approximate the latter was also beneficial.
desired outcome” (2001, p. 46). These authors note
that GAS is individualized, personalized, inexpen-
sive, and non-intrusive.
MULTICULTURAL ASPECTS
RELATED TO
‘sealesar eypIGlvusedinconsuatong For expe.

if aconsultee assessed a client’s career maturity on a
IMPLEMENTATION
standardized instrument and later retested the client

on the same measure, the client’s progress toward the
For example, interventions g on the use of
goal of increased career maturity could be ascertained
by the differences between the scores. groups may be preferred, and the time required for
implementing an intervention may not be highly
valued by some cultural groups. There is some evi-
dence that cultural variables may not play an im-
These data, typically gathered portant part in the level of intervention acceptabil-
(Naumann, Gutkin, & Sandoval, 1996).
through an intervie w or questionnaire, are quite ity
ve and of questio nable validity if used as Nonetheless,
subjecti
the only indicato r of the plan’s success.
For a more in-depth and step-by-step discus-
the & Hayes,
sion of evaluation methods in consultation, see
the Consultation (Ingraham, 2000, 2003), as these might well affect
section entitled “Evaluating
Process” in Chapter 6. how the intervention is perceived and implemen-
ted. In cases such as these, even collaborators will
of Evaluating the Plan. want to make sure that the team doesn’t attempt to
A Brief Example
projects consultant, 1s work- divvy out the responsibility for various aspects to
Yvonne, a community
head of an Upward Bound individuals, but rather they will want to keep
ing with Ashley, the
the implementation of per- more of a team approach to implementation.
program, concerning
CASE 5.1 Implementation for School Consultants
Barbara, a human service professional working in a other regular faculty meeting dedicated to the total
large urban secondary school, is consulting with quality management idea and have open discussions
Shirley, who is the school’s chief administrator. Both about it.
have spent time in the business world prior to entering Shirley put the plan into action and frequently
education and are familiar with “total quality man- used Barbara as a resource. She bounced ideas off
agement” programs. Shirley is very interested in im- Barbara concerning ways to approach certain resistant
plementing quality management concepts throughout department heads. After the plan was implemented,
the school. At this point in the consultation, they are Shirley conducted an anonymous survey of the staff’s
ready to choose from several goals and a long list of views of the program and how they had been ap-
possible interventions to get the program into place. proached about it. The survey's results were very posi-
To obtain the support of the entire staff, Barbara tive, and Barbara and Shirley took the next step to-
and Shirley have thought of numerous ways to help ward implementing the program.
them freely buy into learning and utilizing total quality
management concepts. Ideas ranged from having the Commentary
district superintendent make an announcement that Decision consultation is an excellent method for se-
the school would implement the program to having a lecting an intervention given the context in which it is
series of departmental meetings led by heads in which to be implemented. This case shows how, through de-
teachers and staff could freely discuss the proposal. cision consultation, the history of prior programs in the
To develop school-wide ownership of the pro- school affected what intervention was selected and
gram, Barbara and Shirley tested each intervention how that intervention was implemented. Note also the
using decision consultation questions to assess how the importance of consultants “staying online” while tne
intervention would fit the environment of the school, consultee implements the intervention.
the kinds of resources and personnel necessary to do When a plan is being formulated, differences in
an adequate implementation, and the glitches that opinion about the importance or necessity of a time
might occur if the intervention was put into place. frame for the plan’s implementation can exist. In ad-
They decided that a grassroots approach to get- dition, people with some cultural backgrounds will
ting the program accepted is probably the best plan prefer collaboration to consultation based on their
since the school district had a history of imposing new views of interdependence.
programs on schools without their input. How they In terms of evaluation of the plan, input from
attempted to get the program accepted, therefore, consultees or fellow collaborators is critical so that the
was the most important step. First they decided that perspectives of different cultures are considered.
Shirley would hold a schoolwide faculty meeting to People from high-context cultures, for example, may
present the program as a possibility along with her approach evaluation of the plan in a quite different
personal recommendation as chief administrator. manner, relying more on a constructivist model. For
However, she would also make it clear that she was not example, efficiency—a must in a plan in a traditional
going to force the program on the school. She would low-context culture—may not be of particular interest
discuss her rationale for wanting the program, what it to a person from a high-context culture. Similarly,
would do for the school, and also what it would cost in whether the plan was executed in a timely fashion may
terms of staff behavior. not be nearly as relevant as the social impact the plan
Department heads would then be taken on a one- will have. Even the preferred model of evaluation itself
day retreat during which the program would be dis- may be framed in a social-consensus, constructivist
cussed and debated. The heads would then use regu- model rather than the traditional positivist, empirical
larly scheduled departmental meetings to discuss and model so frequently employed in consultation and
debate the program with staff. Shirley would hold an- collaboration.
CASE 5.2 Implementation for Community Consultants
SS
Roy is a mental health consultant who has been work- In deciding to be tactful yet honest with Zachary,
ing with Robbie, a counselor for a residential summer Robbie invites him to become involved in counseling.
program for academically gifted students at a small Robbie hopes to get Zachary excited about their proj-
state university. Robbie is working on his master’s de- ect in which Zachary can design his own methods for
gree in counseling at the university. During their sec- relating more effectively to his peers.
ond session, Roy and Robbie have gotten to the point As they conduct a brief force-field analysis on the
of generating several possible interventions for help- plan, the only loose end that emerges is the possible
ing Zachary, one of the program's students. rejection of Zachary by his peers in spite of any con-
Zachary has been having a series of interpersonal structive changes he might make. Roy helps Robbie
conflicts with many of the other academically gifted choose an initial target group of Zachary’s peers for
students in the program. It appears that he offends his him to try his new skills with first. The target group will
peers by playing the game “Who's most gifted?” be students with whom Zachary has had no known
During their third session, Roy helps Robbie select an conflicts. After success with these students, Robbie
intervention to help Zachary. Through use of decision could help Zachary target those students with whom
consultation, they choose individual counseling with he has had some difficulties. Robbie then implements
Zachary as the best approach. Robbie has the counsel- the plan with Zachary. Robbie consults with Roy over
ing skills, and he and Zachary have a good working the next two weeks about behavioral rehearsal proce-
relationship already established. Robbie's beliefs about dures and methods of giving specific feedback. As the
individual counseling seem congruent with making it summer program ended, Robbie notices Zachary being
the method used, and Zachary’s needs for some skills in more positive about his peers and less in need of being
dealing with his peers would be accomplished by this the best at everything. Zachary’s peers seem to make
method. Robbie realizes that Zachary would probably less of a big deal about Zachary to the degree that
benefit most from being in a counseling group with his Zachary made less of a big deal about himself. They
accept him as one of them.
peers but strongly believes that Zachary is not ready to
be in such a group. Robbie designates the group as a
Commentary
possible contingency plan in case the individual
counseling relationship falls through. The development of a contingency plan is an impor-
In formulating a plan, Roy and Robbie decide that tant part of the planning process. Without a contin-
gency plan, consultees are left in a “sink-or-swim”
both supportive and behavioral approaches are
needed to help Zachary. A supportive approach would predicament if the primary plan falls through. Force-
field analysis teases out possible glitches in a plan and
help him to not feel singled out or considered sick in
enables the consultant and consultee to better align
some way, while the behavioral approach could help
the plan with its goals. Force-field analysis procedures
him quickly learn some interpersonal skills to enjoy and
enabled Robbie and Roy to refine their plan to ac-
benefit from the summer program. Roy and Robbie
commodate Zachary’s situation. Notice also the impor-
determine that the best things to use for evaluating
tance of Robbie’s staying in touch with Roy during
the success of counseling will be the self-report of
Roy’s work with Zachary in terms of behavioral
Zachary as well as Robbie’s observations of Zachary and
rehearsal.
his peers during the next three weeks of the program.
ea s
es Sree pater eee
SUMMARY
A vast number of interventions are available for

The implementation stage of consultation consists
use in plans. Interventions can be categorized in a
of choosing an intervention, formulating a plan,
variety of ways, but classification by target level is
implementing the plan, and evaluating it. In this
the most common. Although interventions usually
stage, the consultant provides the consultee with
focus on improving the efficiency of the consultees’
practical assistance to meet the goals set to help
workplace by increasing the effectiveness of the
the client or client system.
targeted level, they may be effective at more than mentation are more willing to take responsibility
one level. for the planning process, as opposed to those who
As a consultant, your role in interventions can feel their efforts may have no impact (Armenakis &
range from that offacilitator to that of trainer/edu- Burdg, 1988). Research on the implementation
cator. Make sure that you have the expertise in a stage in organizational consultation suggests that
variety of interventions and keep abreast of the bur- getting a change institutionalized asa result of im-
geoning number of interventions available to you. plementation is related to several factors, including
Once the appropriate intervention or interven- commitment of the individuals involved and con-
tions are chosen, consultants help consultees formu- tinued sanctioning by high-level administrators
late and choose an appropriate plan. During plan (Armenakis & Burdg, 1988).
implementation, the consultant provides the con- A final note on the implementation stage:
sultee with tactical assistance and also monitors his Many consultants report that they do not engage
or her procedures. After the plan has been imple- in evaluation of the plan; when they do, consultee
mented, evaluation is performed to assess the degree verbal reports about the client system are more
to which it was effective in realizing its goals. Then about the source of the evaluation rather than ob-
the consultant and consultee determine whether servations of actual client system behavior (Bramlett
consultation should continue. If the plan is consid- et al., 2002). Evaluation of the plan also creates a
ered to have worked satisfactorily, consultation mechanism for feedback to researchers on the ap-
moves to its next stage—disengagement. As in en- plication of empirically supported interventions
try and diagnosis, the research on the implementa- (Stoiber & Kratochwill, 2000a). It is important to
tion stage is quite limited. Research on developing remember that evaluation is essential to determine
a plan suggests that consultees who feel that they the effects of consultation and that it should be in-
can have a positive impact regarding plan imple- tegral to your practice.
.
# Ensure that consultees and fellow collaborators # Have a monitoring mechanism in place
have the skills and an accepting attitude toward that will examine the progress the plan is
the interventions being considered. making.
# Have a plan that is the result of the input of all # Avoid the temptation to disregard evaluation of
stakeholders. the plan. :
1. What is unique about the consultant’s behavior 4. Which ofthe interventions for individuals have
during the implementation stage? the most danger of turning from consultation
ie) How would you as a consultant help a con- into counseling or psychotherapy? Why?
sultee choose an appropriate intervention? 5. Which of the interventions described in this
3. Look over the interventions discussed in this chapter could be most effectively implemented
chapter. How many of them could be used at by a group of consultants rather than by one
more than one level? alone? Why?
What are some ways in which consultants can What are the basic differences between plan
learn new interventions? evaluation and evaluation of the process of
Under what circumstances would you monitor consultation?
a consultee’s implementation ofa plan? 10. What should the consultant and consultee do if
What kinds of tactical assistance might the evaluation of the plan indicates that little
most consultees require during plan success in meeting the plan’s goal was
achieved?
implementation?
French, W. L., and Bell, C. H.,Jr. (1999). Organization a wealth of information for school-based consultants
s organization
development: Behavior science interventionfor on academic interventions. It provides a
improvement (6th ed.). Englewood Cliffs, NJ: performance-based model for understanding aca-
Prentice-Hall. This book provides an interesting and demic intervention. The chapter also surveys various
practical overview ofvarious interventions available academic interventions aimed at remediating aca-
demic performance problems.
to consultants. Ofparticular interest is the authors’
discussion of the various ways in which interventions Telzrow, C. F., & Beebe, J. J. (2002). Best practices in
can be categorized. This book has become a classic for facilitating intervention adherence and integrity. In
many who work as organizational consultants. This A. Thomas and J. Grimes (Eds.), Best practices in
book has a tremendous amount ofinformation that school psychology (4th ed., pp. 503-515). Bethesda,
consultants in any setting will find invaluable. MD: National Association of School Psychologists.
This chapter presents a comprehensive view of
Blliote SN. Busse, RL. & Shapiro, ES. (1999).
Intervention techniques for academic performance treatment integrity with a focus on practical ways to
problems. In C. R. Reynolds and T. B. Gutkin ensure the appropriate implementation of interven-
(Eds.)The, handbook of school psychology (3rd ed., pp. tions. Consultants will find a substantial number of
practical ideas.
664-685). New York: Wiley. This chapter contains
Disengagement Stage
|f the entry stage is characterized by the question “Hello, what would you like to
change?”, then the disengagement stage is characterized by the question “What
do we need to take care of before we say goodbye?” In effect, the disengagement
stage winds down what was started up in the entry stage. Disengagement refers to
the ending of the consultation or collaboration relationship.
The purpose of this chapter is to discuss and explore the disengagement
stage, during which the consultant and consultee evaluate the consultation pro-
cess, make plans for integrating the effects of consultation into the system after
the consultant leaves, go through a period of reduced contact, make provisions
for follow-up, and terminate the consultation process itself. Figure 6.1 illustrates
the phases of disengagement.
Once the consultant and consultee have evaluated the plan, they must decide |
whether to continue or discontinue consultation. The length and complexity of
the consultation or collaboration process can complicate this decision (Dougherty
et al., 1996). The decision to continue most often results from an evaluation that
indicates the goal was not met satisfactorily (Brack, Jones, Smith, White, & Brack,
1993). The consultant and consultee usually return to the end of the diagnostic
stage and generate other possible interventions; occasionally, they may need to re-
define the problem. In some other cases, continued consultation may be needed
because the consultee or organization has an additional work-related concern
about which consultation is desired. In these cases, the consultation process typi-
cally reverts to the entry phase of exploring organizational needs.
Consider the following situation: You are a consultant who for two years has
been working with a human service organization for an average of four hours a
week. You have worked with several individual consultees, have done a lot of
team building and organizational-level interventions, and have had your own
110
CHAPTER 6 DISENGAGEMENT STAGE 111
Implementation
Stage Four:
Evaluating the consultation process
Disengagement
Planning postconsultation matters
Reducing involvement and following up
Terminating FIGURE 6.1. The phases of the
disengagement stage
office space and clerical assistance. Leaving would not zation have on what the consultant should do
during the disengagement stage?
be as simple as packing your briefcase and walking out
the door. What would you need to accomplish be-
fore you left? To whom would you say goodbye? A Case of a Botched Disengagement
How would you help the system plan to maintain Consider the following scenario in which dis-
the benefits of consultation after you have gone? engagement is poorly done:
How would you evaluate the process of consultation? You have worked very closely with a certain
consultee who has assisted as your co-leader in
What arrangements for follow-up would you make?
many of the interventions you have made.
Without any warning, you announce to him that
after two years of working together, today is your
INTRODUCTION last day on the job and you wish him the best of
luck in the future. He leaves the room upset and
As you are reading the chapter, here are some ques- slams the door. As you track him down and discuss
tions to consider: the situation, you find out that he has grown close
1. When does the process of disengagement really to you over the two years and now resents being
begin? treated so impersonally; your decision to tell him
that you were leaving for good at the end of the
2. What issues need to be taken into consider-
day caused the resentment. He feels that you should
ation during postconsultation planning?
have said earlier that you were going to terminate
3. What are the basic differences between evalu- the relationship.
ating the process of consultation and evaluating Consultants and collaborators can minimize pro-
the plan in the implementation stage? blems during disengagement by accurately timing
4. How would you arrange for follow-up with a its initiation, properly developing postconsultation/
consultee organization? collaboration planning, gradually reducing involve-
5. What effect does the length of time the con- ment, and by planning a formal time to terminate
(Dougherty et al., 1996).
sultant has spent with the consultee or organi-
PHASE ONE: EVALUATING form the practical evaluations required in consulta-

tion. Whereas merely going through the motions of
THE CONSULTATION PROCESS evaluation is professionally inexcusable, a simple yet
credible evaluation can be very informative (Caplan
The Role of Evaluation
& Caplan, 1993). Consultants need to be aware that
As it relates to consultation, evaluation might be, at the opposite extreme, they can spend so much of
fin ematic collection of information | their time evaluating the consultation process that
pita outcomes, piecensaitalion i its human side can get lost in the volume ofinforma-
tion collected and interpreted. Basically, they need
to identify what to measure and find a way to col-
lect appropriate data in an evaluation (Gibbons &
understand if the at i EGreuliadon! have been Shinn, 2002).
met and if the consultee is more likely to be effec- pea evihocia® forma
tive with similar cases in the future (Knotek, 2004). videdtothe consultant, __ Renee aro:
Lack of agreement in the field on definitions of of Lee ete, tation h “oc
consultation and collaboration make accurate eval- curred, and (in some cases) the client: The consultant
uation difficult (Pryzwansky, 2003). Consultants should take measures to see that the results of evalua-
may well need expertise in qualitative assessments tion are not used in the following covert and inap-
methods in order to adequately take cultural vari- propriate ways: for protection of an ineffective
ables into account (Rogers, 2000). In addition, hu- consultee or program, to avoid decision making, as
man service consultants often do not do a good job a public relations tool, or for getting rid of an effective
of evaluating their services (Gibbons & Shinn, but unpopular consultee or program.
2002; McLean, 2006). Conducting an effective Consultants and consultees need two primary
evaluation can be difficult and time consuming. skills to perform evaluation effectively: the ability
With that said, a properly performed evaluation to identify the consequences of their actions, and
can provide the consultant with a quality control the ability to compare results to some standard.
device, a learning device, legal protection, and a Although these skills were identified in the context
marketing tool (Kelley, 1981). of counseling clients on skills they need to change
When evaluating consultation or collaboration, their behavior effectively (Egan, 2007), they are cer-
the parties involved will want to evaluate both instru- tainly needed by the consultant and consultee as well.
mental and expressive elements (Chowanec, 1993; Deciding who should conduct the consultation
O'Driscoll & Eubanks, 1992). Instrumental performance? | evaluation is difficult, and perhaps the best rule of
refers to how\ well the> partyproviding assistance did” thumb is “It depends.” The consultant and consul-
tee will usually make this decision during the con-
e referstothe human side ofthe relation- | tracting stage. In some cases the consultant helps the
eals with the level of comfort for the parties © consultee gather and make sense of the data; in
he bottom line is this: to enhance their other cases the consultee gathers the data, and the
performance, consultants should consider evaluating consultant assists in its interpretation; in still other
not only what they did, but the way the consultees instances someone other than the consultee (e.g.,
perceived their behavior. the organization’s contact person) conducts some
Because the evaluation process is not always easy aspects of the evaluation. Some organizations even
to perform, it is not unusual for consultants to consult have special departments to evaluate services like
others about how to evaluate both their services and consultation. So long as the people who perform
the consultation process itself. Still, consultants and the evaluation are qualified to do so and have no
consultees should realize that they do not need to be conflict of interest, it saber ge does not matter who
experts in evaluation or research to adequately per- conducts given aspects ofit. Regardless of who per
CHAPTER 6 DISENGAGEMENT STAGE A135
curs. For example, an organizational consultant

might be interested in evaluating the impact of con-
t a separate se ation. Evaluation is an sultation on total organizational effectiveness, parti-
ongoing process that should be performed through- cipants’ attitudes toward the change process itself,
out the consultation, not just at the end. or the efficacy of a specific interventio
Three steps are common to all evaluation pro-
cesses: formation of criteria, assessment of attainment necessary
ning prevents evaluation procedures from becom-

ing overwhelming.
x al.1977). Dore ago, oe (1969) nora that The following questions provide a starting
developing evaluation criteria is one of the most point for identifying the many things that can be
evaluated at the end of consultation: :
=» To what degree has behavior in the client
or client system changed in the desired
direction?
=» To what degree was the consultant able to
m “ea enter the system psychologically?
S101 For example, aan organization might use
a. results of consultee satisfaction surveys to decide = = In what ways has the organization changed as a
whether or not to retain a particular consultant. result of consultation?
Consultation is typically evaluated by examin-
=» To what degree have the goals established in
ing pertinent data gathered from observations,
the contract been met?
questionnaires, surveys, interviews, and the organi-
zation’s documents. The use of a multi-method ap- = To what degree have established timetables
proach to evaluation, which provides more than been met?
one perspective on the results obtained, may add =» How successfully has a given intervention been
information valuable in interpreting the data and carried out?
can reduce response bias. The use of devices for =» How effectively has the consultant established
gathering data is discussed in . an effective working relationship with the
consultee?
# To what degree has consultation been worth
make evaliation manageable, the consultant and the cost in time, effort, and money?
consultee should determine during the formation Specific items that can in some way be
of the contract which kinds of evaluative informa-
tion should be gathered from which parties.
= consultee preference for given models of
Consultants may want to evaluate three general
consultation
consultation topics: the plan that was carried out
in the implementation stage, the overall effects of # initial planning of the consultation process
consultation and the consultant’s behaviors, and the = quantity and quality of consultee reports about
efficacy of certain stages and phases along the way. the work-related problem
The decision concerning which topics to evaluate
= progress made relative to each consultation
depends on the type of evaluation, the nature of the
stage
problem, and the level at which consultation oc-
® organizational variables that affect the consul- might use formative evaluation to investigate the
tant process degree of success of the diagnosis
# consultant behaviors at each consultation stage
= consultee behaviors throughout the consulta-
tion process role is to determine the effectsofconsultation
# client behaviors throughout the consultation outcomes; it sums things up at the end ofthe process
process and evaluates the product. For example, the consul-
tant and consultee might decide to assess a training
# consultee satisfaction with consultation
program’s effect on the participants’ morale.
# the degree to which goals are being attained
= adequacy of each consultation contact
Formative Evaluation
# interpersonal behaviors of the consultant and
consultee
= = institutionalization of change
urtis & Stollar, 2002).
Such evaluations will assist the consultant and con-
‘sultee in determining whether to stick to the cur-
rent course of consultation or modify the process
or example, an evaluator (Gibbons & Shinn, 2002). Frequent formative eval-
could look for a reduction in the number of physi- uation has been linked to consultation success
cally aggressive behaviors by a student (client) or an (Noell & Witt, 1998). Formative evaluation allows
increase in the number of open-ended questions a for feedback along the way on processes and out-
consult comes (Egan, 2007). Evaluation can be formal (such
Were the as using written surveys or performing observations
costs in the terms of time and resources needed for and monitoring on some combination of consul-
consultation worth the r tant, consultee, and client behaviors) informal
or
(such as a discussion between the consultant and
consultee or other parties-at-interest concerning
how a given phase has progressed).
- Attitudes and opinions about Human service professionals are traditionally
benefits of the consultation can range from indexes positive toward the use of surveys. Thus, consul-
of consultee satisfaction with the consultant to views tants may want to develop questionnaires and sur-
about the overall success of the consultation. veys related to each of the phases of the consulta-
Consultation evaluation can be viewed throug- tion process. Sample evaluation questions for the
hout the consultation process, or it can be considered phases of each stage of the consultation process
once it has run its course are provided later in this chapter. These questions
can be helpful in developing a frame of reference,
whether evaluation is conducted by surveys, obser-
The evaluation per- vations, interviews, or the examination of records.
formed along the way bythe consultant and consul-
tee is referred to as formative evaluation. The question Formative Evaluation across the Consultation
answered by formative evaluation is “Is consultation Process. Certain useful questions can be asked in
working?” (Upah & Tilly, 2002). The process of con- the various stages ‘of consultation, and their answers
sultation is evaluated without respect to the ultimate are helpful in evaluating the progress and subse-
product. For example, a consultant and a consultee quent direction of consultation. The following
questions are adapted from an evaluation form de- extended to each of the other stages; the consultant
veloped by Parsons and Meyers (1984): simply evaluates each phase of the current stage before
moving on to the next stage.
» How many contacts have been made with the
consultee?
=» What is the average length of the contacts?
through the
=» What is the average length of time between
contacts?
x What progress has been made so far?
= What issues have come up that still need to be
handled?
= Who needs to be apprised of what has been Exploring Organizational Needs. Some questions
done so far? used in formative evaluation during this phase
= What does the consultee think about what has include:
happened to date? s To what degree was the level of congruence
= To what degree is the consultee satisfied about between the consultant’s abilities and consultee
what has happened? system’s needs determined?
= What does the consultee think about the con- s Was the amount of resources the organization
sultant’s style? was willing to commit to consultation ade-
quately defined?
= What details need to be worked out?
» To what extent was the identification and
= What does the consultant think about what has
happened so far? clarification of the need for change
accomplished?
= To what degree is the consultant satisfied with
what has happened? = How well was the organization’s readiness for
change explored and defined?
# What are the consultant’s impressions of the
= How well was the potential for working to-
consultee?
gether explored by the parties involved?
» Are there any changes needed in the way the
= To what degree were role expectations made
consultation is being conducted?
clear?
As noted earlier, it is useful for consultants to How well were the roles of consultee and cli-
=»
evaluate their effectiveness at the end of each phase ent defined?
of the consultation process. In the following sec-
tion, I provide questions that may be asked during
each phase of the entry stage. Consultants can con- Contracting. The questions that can be asked
vert these questions into surveys or checklists, use about contracting are more specific than those for
them for directing observations, or develop them as the previous phase:
4 basis for interviewing: Figure 6.2 is an example of = How effectively were the professional expec-
a survey for use in the formative evaluation of the tations of the involved parties spelled out in the
exploration of organizational needs, whereas Figure 6.3 contract?
is a sample checklist’ for evaluating the contracting
To what degree were the personal expectations
phase of the entry stage. The following example of =
of the involved parties made explicit?
formative evaluation of the entry process can easily be
Directions: Please rate each item according to the five-point scale listed by circling the
number that most accurately expresses your opinion on the following statements:
5 = strongly agree 2 = disagree
4 = agree 1 = strongly disagree
3 = undecided
1. The level of congruency between the consultant’s abilities and the consultee system’s
needs was adequately determined.
S 4 3 2 1
2. The amount of resources the organization was willing to commit to consultation was
adequately defined.
5 4 3 Z 1
3. The identification and clarification of the need for change was adequately
accomplished.
5 4 6) Z 1
4. The organization's readiness for change was adequately explored and defined.
=) 4 3 2 1
5. The potential of the parties involved for working together was adequately explored.
5 4 3 oO 1
6. Role expectations for those involved were made clear.
5 4 3 2 1
7. The roles of the consultee and client system were adequately defined.
5 4 3 2 1
i
FIGURE 6.2 Sample survey for evaluating the exploration of organizational needs
# Were the amount of time and other resources » Were arrangements made for the periodic re-
each party would invest, the times they would view and evaluation of consultation?
invest them, and the costs of those investments
adequately defined?
=» How precisely specified were the ground Physically Entering the System. Evaluation of the
rules under which the parties involved would physical entry into consultation 1s relatively straight-
operate? forward. Some questions useful in evaluating this
phase include:
= How well were the boundaries of consultation
defined? # Is the selected work site conducive to effective
# To what degree was the nature of the contract consultation? Is the selected work site strategi-
reviewed with the appropriate parties? cally located?
T
e
Directions: Please place a check mark on the line under the appropriate response.
Yes No
1. Were the professional expectations ofthe parties involved spelled out
in the contract?
Were the personal expectations of the parties involved made explicit?
Were the conditions under which each party involved would invest
time and other resources adequately defined?
4. Were the ground rules under which the parties involved would
operate specified clearly?
5. Were the boundaries of consultation defined?
Was the nature of the contract reviewed with all appropriate parties?
of
7. Were arrangements made for the periodic review and evaluation
consultation?
FIGURE 6.3 Sample checklist for evaluating the contracting phase
» [s the consultant appropriately balancing the = To what degree has the consultant developed
amount of time spent at the work site with the social influence within the organization?
time spent moving throughout the = How effectively has the consultant obtained
organization? some sanction for consultation from the orga-
To what degree does the consultant adapt the nization’s top-level administrators?
=
schedule for consultation activities to the reg- = How effectively has the consultant built strong
ular schedule of the organization? professional relationships with all parties af-
fected by consultation?
= To what degree have the parties affected
by consultation been informed about the na- In summary, evaluation of the entry stage—as
ture of consultation, its purpose, and its time with any of the other stages—is best applied to
frame? each of its phases. The consultant and consultee
must agree on the most appropriate methods of
evaluation and must limit the number of events
that will be evaluated.
A Brief Example of Formative Evaluation in the

can be used in evaluating this phase include: Consultation Process. Monica, a mental health
the
s To what degree has consultation placed mini- consultant, has been consulting with Wendell,
mal stress on the parties involved? director of acommunity council on aging program,
on a “Reminiscences on Life” program series the
s To what degree has consultation placed mini-
council has been holding once a month in the com-
mal stress on the organization’s structure and
munity services center in a small rural town. The
processes?
program was designed to bring seniors of the com- consultants can benefit from consulting with ex-
munity together to recall wholesome reminiscences perts in evaluation concerning the design of sum-
of their life experiences and share them with youth mative evaluation procedures. Evaluation methods
volunteers who were being trained by the council in consultation and colla based
on aging to work with the elderly. Monica and on research desi
Wendell came up with an evaluation scheme for
the program prior to its inception. After five pro- These methods are not opposed to each other;
gram sessions, they evaluated the program by means they are merely different (Polkinghorne &
of a survey with the 12 seniors participating in the Gribbons, 1999). Both methods can provide valid
program, the program’s two other staff members information (Berrios & Lucca, 2006; Padgett, 2004
besides the director, and the 24 youth to whom Tashakkori & Teddlie, 2003). \
the seniors had been sharing their reminiscences. An exhaustive treatment of the many possible |
After they conducted the evaluation, Monica and designs used in summative evaluation is beyond the
Wendell decide to “evaluate the evaluation.” They scope of this book. Excellent resources already avail-
determined that perhaps they should have spent able to consultants and consultees can provide guid-
more time on interviewing the participants and ance in designing evaluations of the consultation pro-
less time on surveying. Although the program’s staff cess; they include Research Design in Counseling
members had no complaints about the evaluation, (Heppner et al., 1999), Single Case Experimental
some ofthe seniors had trouble seeing and said they Designs (Barlow & Hersen, 1984), The Scientist
couldn’t read the survey very well. Several of the Practitioner (Barlow, Hayes, & Nelson-Gray, 1999),
youth said it was hard to take the survey seriously Experimental and Quasi-Experimental Designs for
and that they found it to be an unwanted demand Generalized Causal Inference (Shadish, Cook, &
on their time. As Monica and Wendell examined Campbell, 2002), The Qualitative Research Experience
the results, they determined that a structured inter- (Padgett, 2004), and Handbook of Mixed Methods in
view approach to evaluating the program would lend Social and Behavioral Research (Tashakkori & Teddlie,
the most valid data. The seniors would appreciate the 2003). There is also a trend in using a mix of quanti-
time given to them by a program member one- tative and qualitative methods (Waszak & Sines,
on-one, and the youth would be offered not only 2003) and some support for the single-case method-
time to speak about how they felt, but also some ology for which some of the quantitative methods be-
coupons for free pizza. Monica and Wendell con- low are appropriate (Bangert & Baumberger, 2005).
cluded that although the evaluation plan was appro-
priately linked to the goals of the program, the data-
gathering methods were not adequately chosen or Quantitative Methods
implemented. In addition, more methods ofdata col-
lection like a combination of interviews, observation, The Pre-Post Method.
and surveys were in order.
or example,
Summative Evaluation
a consultant might measure an organization’s morale
before and after an intervention designed to improve
it. The advantages of this method are that it is rela-
tively simple and requires a minimum of time to
perform. The pre-post method is particularly
valuable when the variables being measured are
specific and observable. Because there is no control
(Gibbons & Shinn, 2002). In some circumstances group, however, this method is of limited value.
measurements taken in posttesting. Because of the

complexity of the group comparison method, it 1s a
desirable, but relatively infrequently used, method
of consultation evaluation (McLean, 2006).
till, this method is a step above nonstandar-
dized observation and anecdotal accounts in that it
provides more useful information and more conclu-
(Barlow et al.,
sive evidence.
1999). The primary difference between the time-
The Group Compari series method and the group comparison
he effects of
intervention are then assessed in terms of the vari-
This method is recommended to empirically validate and possible
ability of their level of occurrence
interventions (Stoiber & Kratochwill, 2000). This information
trends (Barlow et al., 1999). Pertinent
method allows the consultant and consultee to be
more confident that any changes found in the mea- can therefure be gathered on a measurement’s
changes over time (Barlow & Hersen, 1984). This
surement are specifically attributable to consultation
method may or may not use a control group.
itself and not to extraneous variables. For example, a
Single-case experimental designs in which the cli-
consultant might train half ofan agency’s crisis inter-
ent system is assessed before, during, and after the
vention team in cognitive therapy strategies for crisis
intervention are increasingly popular (Steege et al.,
situations. The other half of the team, which would
2002). As an example, a consultant and consultee
receive no training, would be used as a control group.
might make a series of observations on how an 1m-
The performance of both groups 1s assessed and com-
agery program affects a client’s eating behavior at
pared on selected criteria. and dinner
breakfast, lunch,
Sometimes consultants use a no-contact con- one example of the
gga tenes
trol group or an attention-only control group. In
time-series method. Multiple baselinin
arlow et
al., 1999; Steege et al., 2002). Time-series methods
are most effective when it is likely that a large num-
ber of variables are affecting the outcome of
Attention-only control groups are
that consultation.
useful in that they eliminate the possibility
consul tees and clients ,
the attention paid to the
in the de-
not consultation itself, led to differences Qualitative Methods
can
_ pendent variables. Several potential problems
compa rison metho d Qualitative evaluation is an umbrella for the many
be associated with the group
nt of the contro l groups , methods in which data can be interpreted from a
of evaluation: manageme
of the exper iment al de- qualitative perspective (Hanson et al, 2005)= There
developmental complexity
d the is increasing acceptance of qualitative methods
sign, and required statistical knowledge beyon 2006; Haverkamp, Morrow, &
consul tee. (Berrios & Lucca,
expertise of consultant and
Ponterotto, 2005) and they are increasingly being
The group comparison method is particularly
same used alongside quantitative methods (Ponterotto,
useful in a follow-up assessment using the
2005). Qualitative evaluation methods can extend

consultants’ abilities to effectively evaluate their
efforts (Denton et al., 2003; Polkinghorne &
Gribbons, 1999). Qualitative evaluation is really
more of an attitude of inquiry that uses particular
types of procedures (Athanasiou et al., 2002). the other hand, Lincoln and Guba (1985) point
Qualitative evaluation methods include methods out mechanisms of dealing with bias. To the degree
such as the case study and the self-evaluation. that a case study is comprehensive, it can be quite
Data for these methods include transcripts of inter- time consuming. Case studies are often viewed as
views, notes from observations, descriptions from lower-level evaluation tools, but they can also be
appropriate stakeholders, and scores from assess- used to evaluate consultation adequately (Barlow et
ment instruments. Qualitative evaluation deals ale ood
with specific situations and is directly related to de-
cision making.
Self-Report Assessment Method. The self-
report assessment method is frequently used at the
Case Study Method. end of the consultation
fects of consultation.
Case studies have “a unique

strength in providing a format to understand the hen using assessment
dynamics of a situation, linking context, processes, and evaluation instruments for any purpose, the
and outcomes” (Pryzwansky & Noblit, 1990, p. 297). consultant will want to bear several important
Narrative in nature, case studies are often con- points in mind (Cooper & O’Conner, 1993): first,
ducted under naturalistic conditions (Bergan & develop a specific connection between the goals of
Kratochwill, 1990; Denton, Hasbrouck, & consultation and the instruments chosen; second,
Sekaquaptewa, 2003). The case study method can consider using a combination of assessment instru-
be used to monitor or analyze the effects of consulta- ments that reflect hard, soft, and qualitative meth-
tion on the consultee or client system (Pryzwansky & ods; third, use repeated measures; and fourth, in-
Noblit, 1990); for example, a consultant might conform consultees of the limitations of any
duct a case study on the effects of quality circles on instruments used, which is an ethical obligation.
job satisfaction in a community service agency. In summative evaluation, self-assessment can be
Although it is descriptive in nature, the case study used in all of the previously mentioned methods,
method does not excuse the consultant and consultee including a_postconsultati ;
from identifying specific and behaviorally defined
goals at the outset of consultation (Bergan &
Kratochwill, 1990; MacNealy, 1999). It does, how-
ever, permit application of consultation evaluation to
an individual consultee or client with a minimum of
statistical work even though it requires detailed data
collection (Pryzwansky & Noblit, 1990).
The case study can provide insight into previ- Oher, 1993). The self-report method is particularly
ously unsuspecte s affecting consulta- appropriate for evaluating consultation in terms of
consultee satisfaction, consultant satisfaction, and
perceived consultant effectiveness.
Focus Groups. Focus groups are both an inter- premise is that the evaluator adequately understands
vention and a qualitative research technique the frame of reference of the persons providing data
(Kormanski & Eschbach, 1997; Tashakkon & (Truscott et al., 2000). There are two types of ethno-
Teddlie, 2003 graphic interviews: causal and systematic (Macnealy,
1999). Casual interviews are very similar to the un-
structured interviews discussed in of this text.
Although the consultant topics that will Systematic interviews are very similar as the struc-
be focused on, tured interviews described in the same chapter.
The reactions of
Constant Comparative Method. This evalua-
the consultees guide the direction the focus group
tive method is much like the formativ e evaluation
takes. Focus groups allow consultants to observe
discussed above. As data are collected , they are in-
group process.
terpreted and additiona l informat ion 1s gathered
They also act as source of rich data about se-
lected topics and provide a detailed data bank from based upon the questions raised by the previous ,
which data collected from multiple sources and methods
(Strauss & Corbin, 1990; Truscott e
arshall & Rossman, 1995). Focus groups

Goldstein & Harmis, 2000;
can be used for a variety of purposes, such as deter-
mining workers’ beliefs about diversity manage- Oktay, 2004). Consensus is then determined re-
ment in their work settings (Russell-Chapin & garding thematic patterns.
Stoner, 1995) and evaluating programs for children
and families (Nabors, Ramos, & Weist, 2001). Member Checks.
dgett, 2004). It emphasizes con- This method is used to increase the credibility of col-
stant comparison (see below). Grounded theory also lected data (Goldstein & Harris, 2000). You might
employs theoretical sampling, in which the charac- view this method as a specialized focus group.
teristics of the sample are determined as the evalua-
Recursive Data Collectio
tion progresses (Oktay, 2004). This 1s purposive sam-
pling which increases the diversity of your sample,
searching for different properties of the subjects.
(Truscott et al., 2000). An example would be
Triangulation.
following a student’s behavioral adjustment over
several years of schooling.
In summary, the evaluation of consultation ef-
incoln & Guba, 1985; Tashakkon & fects moves the consultant into the realm of experi-
to mental design, either quantitative or qualitative,
Teddlie, 2003). Data are examined across sources
tein & which may require more sophistication in this area
look for consistencies in patterns (Golds
Harris, 2000). and/or statistics than the consultant and consultee
possess. Under such circumstances, they must either
seek outside assistance or develop a suitable evalua-
Ethnographic Interviews.
tion method that is within their levels of expertise.
out-
Because of the time, effort, and expense that
come evaluation can require, the evaluat ion plan
The main
used must be cost effective. The consultant must The consultant and consultee can effectively
ensure that evaluation results are described plan the postconsultation by following many of the
completely and accurately and are disseminated to procedures used in the formulating-a-plan phase of
the appropriate parties, such as the consultee, orga- the implementation stage. You may want to review
nization contact person, administrators, and other the planning process in , including determining ob-
appropriate parties-at-interest. jectives; establishing procedures; defining steps; as-
signing responsibilities; and testing for feasibility,
A Brief Example of Summative Evaluation in cost effectiveness, and capabilities. A classic tech-
the Consultation Process. Bonnie has been nique called force-field analysis (Lewin, 1951) is a
consulting with Dorothy concerning a “Back on useful technique in assessing the forces that may aid
Your Feet and on Your Own” program at a local or impede the accomplishment of plans. With
shelter for battered women. Half of the women in the proper planning, then, the consultant can help
the shelter have agreed to be trained in a program the consultee and organization effectively follow
designed to help them reestablish themselves as in- through on the results of consultation.
dependently functioning members of the commu-
nity. The other half were promised the same train- A Brief Example of Planning Postconsultation
ing provided that the evaluation of the training was Matters. A marriage and family therapist has been
positive. After three months, the group comparison consulting with a counseling psychologist who is
method was used in the evaluation. Differences working with a couple on enhancing their relation-
were found between the experimental group and ship. The family therapist has assisted the consultee
the control group on several measures ranging in using therapeutic metaphors with the couple.
from personality inventories and interviews to sur- Consultation has proceeded effectively. Together
vey results and the impressions of the experimental the consultant and consultee formulate a plan for
group’s counselors. Results of the evaluation sug- how the consultee will proceed with the couple
gested that the training might well benefit the after consultation has ended. Part of the plan to
women. The control group was immediately pro- enhance their emotional intimacy involves helping
vided with the training. them write their own metaphors.
PHASE THREE: REDUCING

PHASE TWO: PLANNING
INVOLVEMENT AND
POSTCONSULTATION/
FOLLOWING UP
POSTCOLLABORATION
MATTERS Once postconsultation plans have been formulated
to the satisfaction of the parties involved, the con-
sultant initiates a period of reduced involvement
and enacts follow-up procedures.
lans for this purpose rely heavily on the

resources available to the consultee and the organi- Reducing Involvement
zation. In collaboration, this phase involves all of
the collaborators “getting on the same page” with
regard to what activities, if any, they will be engag-
ing in after the collaborators stop formally meeting he consultee and other appro-
about the client system. priate parties begin to pick up the slack left by the
consultant’s declining involvement. In collaboration,

reducing involvement refers to the gradual reduction
of contact of the collaborators with one another.
One method proved effective in_r ing 4 helps to deal
volvement is calle with things like “quirks” in the implementation,
unanticipated resources that are needed to be suc-
r example, if aconsultant has been meeting cessful, unanticipated issues such as the nature of
with a consultee on a weekly basis, contact might consultee communication with the client system,
be faded to once every two weeks, then to once the need to check the “goodness of fit” between
every three weeks, and so on. Similarly, the con- the intervention and the environment in which it is
sultant’s visits to the organization are reduced over being implemented, needed consultee support, and
time. As the consultant is fading contact, his or her the professional development of the parties in-
roles are gradually taken over by the consultee. The volved (Gutkin & Curtis, 1999) as well as treatment
reduced involvement reinforces independence in integrity (Riley-Tillman & Chafouleas, 2003).
the consultee and the organization. Follow-up refers to the process of periodically
Some authors (e.g., Bell & Nadler, 1985) advo- determining how well the results of consultation
cate that’ the consultant be available on an as- are being maintained over time and how well the
needed basis while the consultee and the organiza- consultee and organization are performing postcon-
tion try to manage the changes brought about by sultation efforts. In the language of behavioral con-
sultation, the term monitoring 1
consultation. Others, such as Noell et al. (2005), sug-
gest specific feedback on consultee implementation Witt, 1998).
(Kelley,
as a way to ensure treatment integrity. However re- deter-
1981). For example, follow-up can help to
duced involvement is accomplished, it should be ne-
gotiated, for then it is clear to everyone involved that mune
reduced involvement does not mean no involve-

ratochwill et al., 1999). Follow-
ment (Schein, 1999). For example, consultees may
up is important because it provides some indication
still need emotional, practical, or technical support
(Atanasiou et al., 2002).
of consultant availability, an opportunity to salvage
plans that have not been effectively carried out,
A some assistance while promoting independence on
A Brief Example of Reducing Involvement.
with a the part of the consultee and the organization, and
school counselor has been meeting weekly
pro- some prevention of future problems (Kelley, 1981)
teacher regarding some classroom management
as well as an opportunity to celebrate successes.
blems the teacher has been having. As a result of
There has been some criticism that follow-up 1s
consultation the teacher has made great strides in eli-
generally not well done (Zins & Erchul, 2002)
citing appropriate behavior from the students. The
and that the conduct of follow-up can make a dif
consultant has helped the teacher plan how the class
on ference in the integrity with which interventions
will be managed for the entre term and how data
reduce are applied (Noell et al., 2005).
the students’ behavior will be collected. To
involvement, the consultant and According to recent research, when done
the consultant’s
inter-
consultee set two final meetings at three-week Noell
vals before terminating the consultation. involves moni-
et al., 2005). Performance feedback
toring the implementation and then sharing with
Following Up the consultee, in a structured manner, specific in-
not formation of the level of treatment integrity and
Although follow-up is a critical phase, it is often
client performance (Noell et ale 2005), Theres
conducted (Myrick, 2003; Zins & Erchul, 2002).
evidence that performance feedback leads to super- Abrupt termination is a shock and can be a
ior treatment implementation and child behavioral distraction (French & Bell, 1999). Conversely, un-
outcomes whereas simply talking about the imple- necessary extension of consultation is a particular
mentation does not (Noell et al., 2005). When danger to consultants in private practice and to con-
properly accomplished, reduced involvement and sultants internal to the organization who feel they
follow-up fill a gap between postconsultation plan- must always have something to do. As the termina-
ning and termination. tion process is begun, consultants should maintain
awareness of their need to be needed and avoid
A Brief Example of Follow-Up. A human re- engendering dependence (French & Bell, 1999;
source development specialist has been training vo- Huckabay, 2002). A lingering consultation prevents
lunteers who work with incarcerates in a rehabilita- the human side of termination from receiving ade-
tion program. Three months after the training has quate consideration.
concluded, the specialist calls the program director A meeting that concludes postconsultation
to check on how the volunteers are doing accord- planning is an excellent time to deal with any un-
ing to a format agreed upon during postconsulta- resolved issues before the consultant or collabora-
tion planning. tor’s formal departure, and such an
rmination process in motion.
PHASE FOUR: TERMINATING
Like human relationships, consultation requires clo- cLean, 2006). Here participants
sure; termination provides that closure in a formal can discuss the progress made in consultation rela-
ritualistic manner. tive to the contract and stated goals of the consul-
tation, and a clearly defined point of termination
also pro- can be set. This definite ending point can pre-
vides an appropriate time for celebrating whatever vent unnecessary dependence on the part of the
successes have been achieved. However, the termi- consultee or the organization (French & Bell,
nation process has received relatively little attention 1999). Finally, discussing future possibilities for
in the consultation literature (Dougherty et al., consulting is another way of easing the stress of
1996; Gilmore, 1993; Stroh & Johnson, 2006). termination.
Termination is a critical element in the consul-
tation Secs A Brief Example of Terminating. Sherrill, a
ougherty school-based consultant, has worked with several
et al., 1996). If performed inappropriately, it can re- teachers for a period of four semesters on managing
sult in the dissatisfaction of the consultee and the work-related stress. The stress management program
organization. Inappropriate termination can affect was now being phased out, and it was time for Sherill
the manner in which postconsultation planning and to terminate the consultation relationships she
subsequent consultation experienc formed. At the last meeting of the group, Sherill
gave her work phone number to each participant
by either the consultant or con- and conducted a brief discussion in which each mem-
ber responded to the question, “What have I learned
from this experience?” Sherill then provided a light
snack over which each group member sent every
other member a “telegram.”
CASE 6.1 Disengagement for School Consultants
Rosie, a school-based human service consultant, has and group counseling. Wilma admitted that at first she
been working with Wilma, a fourth-grade teacher, wanted Rosie to take Leo and “fix” him so that she
about a boy in Wilma’s class named Leo. Leo had be- wouldn't have to continually prod him to get involved in
come increasingly withdrawn over the first grading classroom life. She had to admit that she was pleasantly
period of the academic year, and Wilma had contacted surprised with the quick progress that Leo had made.
Rosie for consultation. The two professionals evaluated Rosie and Wilma then changed the focus of their
the plan they had put into motion and determined meeting to discuss the kinds of behaviors that Wilma
that Leo’s level of participation in class activities had would engage in after consultation was completed to
increased dramatically thanks to an increase in group keep the gains Leo had made. They agreed that infor-
activities and special attention from Wilma. mal contacts with Leo as well as verbal reinforcement
As they wound down the consultation process, for social interactions should be continued on an in-
Rosie and Wilma reviewed their work together and termittent level. Rosie agreed to check in with Wilma
shared their perceptions of the experience. Rosie en- at two-week intervals for a month after which they
gaged Wilma in a reflective discussion of each stage of would terminate their relationship. During the next
consultation they went through. By use of selected academic year, Wilma contacted Rosie again for assis-
questions, Rosie and Wilma concluded that although tance with two other problematic students.
the majority of the process went quite smoothly, they
Commentary
had some difficulties in actually defining how Leo’s
withdrawing behavior manifested itself. They deter- Evaluation of the plan is essential to having the parties
mined that Wilma saw Leo as more withdrawn than involved believe in the process. Notice the effort Rosie
Rosie did and that these different perceptions led to made to ensure that Wilma had a thorough under-
some difficulties in defining the problem. Wilma standing of the nature of Leo’s behavior change.
agreed that the quick manner with which Leo re- Notice further how this might well be linked to
sponded to her interventions suggested that perhaps Wilma’s seeking additional consultation with Rosie
she had misconstrued his behavior. about different students the next school year. Part of
Rosie and Wilma reviewed the results of pre- and disengagement is planning postconsultation proce-
postconsultation measures, which included a behavior dures with the consultee.
checklist and observational data they had both periodi- In this case Rosie and Wilma made plans to assist
cally filled out on Leo. Rosie discussed how she had sta- Leo in maintaining the progress he had made. The first
tistically analyzed the data and cautioned Wilma about part of the telegram read, “| encourage you to keep
the limitations of the data. The two then focused their on...” The second part of the telegram read, “I en-
discussion on whether the results obtained with Leo courage you to work on. . .” Members then shared
were worth the cost of having Wilma work with him
in what others had written to them. Sherill then thanked
the classroom rather than having him sent for individua l the group and the meeting was adjourned.
MULTICULTURAL ASPECTS Just as in evaluating the consultation plan, con-

sultants and collaborators should be cautious about
RELATED TO assuming what kind of evaluation process is accept-
DISENGAGEMENT able to consultees of differing cultural backgrounds
(Sheridan, 2000). Cultural differences can relate to
perceptions of what needs to be accomplished dur-
Multicultural influences can have a strong effect on
uation ing postconsultation and postcollaboration plan-
the disengagement stage,
proces ning. For example, whereas the consultant may
of the consultation
judge the progress to date as time to begin with-
drawing from the relationship, the consultee may
have a perception that there needs to be increased
CASE 6.2 Disengagement for Community Consultants

Re EEE
Hernando, a hospital social worker, has been an internal how much these changes had cost—the group agreed
consultant to a long-term care team at a community that the changes had been somewhat painful. They
hospital. The team consists of an activity therapist, a noted that, at first, there was a tendency for the differ-
patient advocate, the charge nurse, the director of ent work groups assigned to the program to feel se-
physical therapy, and a part-time social worker. The two- verely understaffed and to believe that this was causing
fold problem of staff and patient morale led to the the problems.
consultation. Only after discussions with the different shifts—
With its 55 beds typically filled, the long-term care led by Hernando and the appropriate team member—
program was continually experiencing severe stress, and did any kind of group ownership of the problems begin
the problem was considered to be significant. to emerge. Only then were goals set and implemented.
Hernando’s reputation throughout the hospital led to The group of consultees and Hernando decided that he
his being asked to consult. For the past three months he should follow up with them during the next two
had worked intensely with the team members, who in months to work out any glitches. The team would
turn took the resulting ideas to their units for review continue to take responsibility for monitoring the im-
and decision making. pact of the recent changes. Six months after the be-
Consultation had resulted in a complex plan of in- ginning of the consultation, Hernando followed up
terventions that was evaluated and determined to be with the team one last time. Since things were con-
fairly successful. The primary changes for staff included tinuing to go smoothly and the morale of the staff and
flexible work scheduling and a stress management patients alike was improved, Hernando and the team
group. Improved caregiving to patients including get- officially terminated their intense yet successful
ting them fed and taken to bathroom facilities within relationship.
proper time frames. In addition, significant changes to
the activities program made it more appealing to the Commentary
patients. Evaluating the consultation process is good business on
To begin winding down the consultation process, the part of consultants. In this case Hernando, through a
Hernando requested a special two-hour meeting with face-to-face evaluation process, allowed the consultees
the team, during which he and the group evaluated the to express their deeper feelings about the consultation
consultation process. Hernando asked the group for process and most likely created the conditions for the
face-to-face as well as written feedback in the form of a consultees to communicate more genuinely among
consultee satisfaction survey he had developed for his themselves in the future. Follow-up procedures, such as
work at the hospital. Hernando provided his observa- those implemented by Hernando, demonstrate the
tions of what had transpired and how effective he consultant’s commitment to the consultee as well as
thought the process had been. The group discussed provide opportunities for refining any postconsultation
what had happened as a result of the consultation and planning. ;
collaborative activity, including additional monitor- ences into consideration. Depending on one’s
ing (Ramirez et al., 1998). cultural experiences, the termination process
The cultural experiences of the parties involved may be considered as rather drawn out. For exam-
can influence follow-up. For example, some fellow ple, the rituals of some cultures suggest that con-
collaborators may desire frequent follow-up consultants terminate with an approach that involves
tacts, not due to dependency, but to their view of a series of brief meetings. To ignore cultural
social professional relationships. The critical nature differences in disengagement is to risk jeopar-
of termination becomes even more apparent when dizing the current relationship as well future
consultants and collaborators take cultural experi- consultations.
SUMMARY
Disengagement in the consultation process involves a volvement. Being needed as a consultant is gratify-
sense ofletting go on both professional and personal ing, and thus it is sometimes difficult to let others
levels. Its four phases include evaluating the consul- follow through on what the consultant has been
tation process, planning postconsultation matters, re- instrumental in accomplishing. The consultant
ducing involvement and following up, and terminat- can more effectively reduce involvement by re-
ing. Disengagement, which should be differentiated membering that one goal of consultation is to
from termination, should not be rushed; it should be help the consultee and the organization continue
to function without the consultant. Con-
a well-planned and well-executed procedure.
Evaluation of consultation is frequently done sultants can take pride in being instrumental in
poorly, and as a result, it often does not provide enabling consultees to use the new skills they
consultation participants a chance to examine how have learned.
well they have done or how they have grown. During follow-up the consultant takes on a
Therefore consultants should be ready to assist their troubleshooting role in which help is provided
consultees in evaluating consultation and should to the consultee or organization on an as-needed
ensure that their own services are included in the basis. It is important to define what is meant by
overall evaluation procedure. “as-needed” so that dependence is not fostered.
In postconsultation planning, the consultant Termination is the formal ending of the con-
asks the consultee, “How are you going to follow sultation process. Saying goodbye is not always
through after I am gone?” This planning process easy. Consequently, formal termination does not
places increased responsibility on the consultee always occur or may be done in a stiff, artificial
and the organization to make effective use of the manner. By being perceived as fair, competent, hu-
products of consultation. Postconsultation planning man, and effective, consultants can take leave with
is an appropriate time for consultees to express their an enhanced reputation, which can be intrinsically
concerns about the consultant’s leaving and for the satisfying and earn them subsequent consultation
consultant to encourage them to realize that they opportunities. You should bear in mind that very
have the abilities to follow through. little of the consultation/collaboration literature re-
The egos and self-esteem of everyone involved lated to stages has focused on the disengagement
in consultation are affected during reduced in- stage (Dougherty et al., 1996).
« Bear in mind that follow-up procedures, al-

= Design all evaluation procedures prior to
carrying out the plan. though frequently neglected, help to sustain
gains made by the consultee or fellow
=» Remember that formative evaluation can be as collaborators.
valuable as summative evaluation.
es Avoid abrupt terminations.
= Use fading procedures for reducing
involvement.
128 PARTII THE STAGES OF CONSULTATION AND COLLABORATION
How does the term “disengagement” differ the expertise to perform sophisticated evalua-
from the term “‘termination’’? tion procedures? :
i In what ways is disengagement a winding What kinds of things should be accomplished
down of the consultation process? in postconsultation planning?
For what purposes can evaluation of the effects What is the major difference between reduced
of consultation be used? involvement and follow-up?
As a consultant, when in the consultation How would you go about the process of
process would you start to plan evaluation psychologically terminating the consultation
procedures? process?
How does a consultant proceed in determining What does the following statement mean:
what events to evaluate? “The consultant begins termination upon entry
into the consultation process’’?
6. How would you handle evaluation of consul-
tation if both you and your consultee lacked
Heppner, P. P., Kivlighan, D. M., Jr., and Wampold, Dougherty, A. M., Tack, F. E., Fullam, C. B., &
B. E. (1999). Research design in counseling (2nd ed.). Hammer, L. A. (1996). Disengagement: A neglected
Pacific Grove, CA: Brooks/Cole. This book pro- aspect of the consultation process. Journal of
vides invaluable evaluation information for consul- Educational and Psychological Consultation, 7, 259-274.
tants, whether or not they are trained as professional This article, one of the few on the topic, examines
counselors. I recommend this as a handbook to help and summarizes the existing literature on dis-
consultants determine how to evaluate the effects of engagement in consultation. The authors describe
consultation. Even though the book’s focus is on the stage of disengagement, identify important
research, its concepts are easily translatable into stage-specific consultant skills and roles, examine
evaluation procedures. Chapter 14, “Process relevant psychological dynamics, and suggest how to
Research,” should be of high interest to consultants. avoid pitfalls during this stage. The authors conclude
I strongly recommend this book to consultants who with recommendations for further study.
believe their evaluation skills need a boost.
HK
Ethical, Professional, and

Legal Issues
plifseties their careers, all consultants and collaborators encounter ethical,

professional, and legal dilemmas about which they must make decisions.
Decisions of this type require sound judgment. Frequently, the problems do not
suggest clear and specific courses of action for resolution. This should not be
surprising, for most consultation issues are complex and ethical dilemmas will
be frequent (ACA, 2005).
In this chapter, we will examine how ethical, professional, and legal issues
may affect your consultation practice. We will also examine how consultants
can make ethical decisions regarding them. There are few cut-and-dried answers
when it comes to the ethics of consultation. Consultants frequently have to de-
pend on their sound professional judgment when they make ethical decisions.
to pro-
For example, you could face issues related to the ambiguity about how
dis-
ceed in providing consultation in extreme situations such as those involving
the impact
asters (Halpern & Tramontin, 2007) or you could have to determine
studying the issues that consul-
of consultee actions on client welfare. However,
e
tants encounter will provide you with a better understanding of the importanc
Furthermo re, exposure to these
of ethics and the complexity of consultation.
e neces-
ideas can help you develop the competencies and professional perspectiv
sary for effectively delivering your consultation services.
Here are some questions to consider as you read this chapter:
those
1. What professional and ethical obligations do consultants have beyond
to their consultees?
2. What are the basic legal issues that consultants encounter?
129
3. Why are codes of ethics important to guiding Although ethics has been a neglected topic in
the practice of consultants and collaborators? consultation in the past, it has been receiving more
4. What are some professional and ethical issues attention in recent years. For example, fora period of
related to consultant effectiveness? time, the Journal of Educational and Psychological
Consultation had a column entitled “Legal and
5. How do multicultural issues affect the ethical
Ethical Issues in Consultation.” While very little
practice of,consultation? has been written about specific ethical issues related
to consultation and collaboration, these services are
INTRODUCTION receiving increasing attention in the codes ofethics of
many professional organizations. Several ethical, le-
Consider the following scenario of an_ ethical gal, and professional issues have arisen as consultation
dilemma: has become more widely practiced and as the num-
ber of people directly and indirectly affected by con-
sultants’ behavior has grown. Therefore, consultants
Case Example need to become increasingly aware ofthe ethical and
You are a consultant working with a group of con- professional dilemmas they may encounter. For ex-
sultees in a human service organization. The con- ample, when consulting with organizations, human
sultees are all section heads within the organization, service consultants may have to make decisions about
and you are training them in becoming more effec- issues related to deception, coercion, risk to people,
tive decision makers. It was clear from the outset invasion ofprivacy, and the probability of the success
that you were in no way to report to the organiza- of selected interventions (Tannenbaum, Greene, &
tion’s administration your opinions about any ofthe Glickman, 1989).
section heads’ decision-making abilities. It was fur- As human service professionals, consultants have
ther understood by all the parties involved that you an obligation to behave in such a way that they bring
were to maintain total confidentiality about all as- no harm to themselves, their consultees, the client
pects of the consultation. system,the organizations involved, or society at
After two months of training, the chief admin- large. Because consultation is by nature complex,
istrator asks you to evaluate the decision-making the consultant is frequently caught in ethical dilem-
skills of a particular section head so that a personnel mas. In addition, consulting is a powerful activity that
decision can be made about her. The administrator involves changing the parties involved. Finally, our
assures you that the information will not go beyond society 1s demanding a higher level of accountability
your conversation with her and that no one will for human service professionals.
know that you ever said anything about the section Just as ethical issues are receiving more attention
head’s decision-making skills. When you reiterate in consultation, so too are legal issues. Since consul-
that confidentiality was guaranteed at the outset of tants can be sued for malpractice, breach of contract,
the training, the administrator becomes angry, de- and a variety ofother actions or inactions, they need
mands that you share the requested information, to learn about the laws affecting their practices and
and threatens to terminate consultation immedi- perform in a manner that reflects that knowledge.
ately if you do not cooperate. Vv J
What would you do if you were the consultant
in this case study? Would you be tempted to share
ETHICS AND PROFESSIONAL
the information secretly? What are your ethical ob-
ligations to the section head? What are your ethical ISSUES
obligations to the organization in which consulta-
tion 1s occurring? What is your ethical obligation to ertains to consultation,
your profession?
CHAPTER7 ETHICAL, PROFESSIONAL, AND LEGAL ISSUES 131
and promote exemplary behavior. Most human ser-

vices professions have codes of ethics to guide prac-
tice (Jacob, 2002). Recent ethics codes, such as
orey et al., 2007). You may want to note those of the American Counseling Association
that there has been some discussion about morality (ACA) and the American Psychological Associa-
and its relationship to consulting with organizations tion (APA) have both a mandatory and an aspira-
(Fuqua & Newman, 2006). tional component.
Ethical conduct comes from putting together an
awareness of an ethical code and its underlying prin- urther, the
ciples (Bersoff, 1996). Ethical issues in the mental ethical codes of most human service professional
health professions are regulated by both laws and groups contain very few, if any, guidelines specific
professional codes (Remley & Herlihy, 2007). to the practice of consultation. As a result, in your
Ethics are aspirational goals that reflect the ideal stan- practice, you will often face ethical dilemmas with
dards of the profession and are enforced by the ap- no specific guidance for action
propriate organization (Remley, 2007). Corey et al.
(2007) distinguish between mandatory ethics and as-
Many consultants belong to various professional or-

om this perspective, professionals ganizations. Most of these organizations—for exam-
the APA’ the National Board for
basically look to things outside of themselves, such as pleythe VACA,
rules of an organization, for guidance in dealing with Certified Counselors (NBCC), the National Asso-
ethical dilemmas (Newman, Gray, & Fuqua, 1996). ciation of Social Workers (NASW), the National
Psychologists (NASP), the
Although the concept of mandatory ethics is useful, Association of School
American Mental Health Counselors Association
the complexity of the consulting relationship does
and the National Organization for
not easily lend itself to using mandatory ethics (AMHCA),
(Newman et al., 1996). Consider, for example, the Human Services Education (NOHSE)—have devel-
complexity of issues related to confidentiality due to oped a code of ethics. Thus, many consultants enjoy
the triadic nature of consultation. the privilege of having (and have the responsibility of
following) some general guidelines that apply to the
professional behavior of any human service
wman et al., 1996, p. 231). The con- professional.
cept of aspirational ethics can help the professional By belonging to one of these organizations, the
aim for the highest standards of professional behav- human service professional agrees to adhere to that
code. Some organizations, such as
ior and go beyond the “letter of the law” (Corey organization’s
et al., 2007). Compared to mandatory ethics, aspi- the ACA, have specific statements about the ethical
rational ethics are more general. Examples of conduct of consulting behavior. The result is that
aspirational goals include integrity and social re- there are some guidelines for acting as a professional
sponsibility (Newman et al. 1996): in the general areas of competence (e.g., not pro-
When a human service professional functions viding services for which one is not competent) and
in the capacity of a consultant and follows broad,
responsibility (e.g. maintaining confidentality)
i- (Robinson & Gross, 1985). But there are few
written ethical guidelines, such guidel
guidelines specific to consulting behavior, such as
applying principles of confidentiality in an organi-
zational setting.
In conclusion, consultants can use the ethics
In a positive sense, ethics codes stress adherence to as general
codes of their organizations only
rigorous professional standards, clarify expectations,
guidelines. These guidelines cannot identify appro-

priate actions for all situations, and the final decision For ex-
for what constitutes a correct course of action in a ample, if I am experiencing difficulty with some of
given situation res ith the professional. Further my consultation activities, I might seek some consul-
tation for the consultant. Peer consultation can occur
ort groups and by telephone or th
Pedersen, 1997). As Pedersen (1997)
“notes, “not only do ethical guidelines need to be
interpreted in each situation, but they must also be
interpreted for and within each cultural context”
(PiCZ50)e hus; developing personal methods for What kinds of professional and ethical issues do
making ethical decisi for the consul- consultants face in their practices? The following
issues are all involved, and I will address them
throughout this chapter: values, multicultural issues,
competence, training, the consultant-consultee-
client relationship, the rights of the consultees,
In consultation and collaboration, ethical issues group work, and interventions. | have also included
are often multidimensional and very complex. As a a discussion of ethical issues related to crisis/disaster
result, these issues can be a challenge to resolve consultation, organizational consultation, and web-
effectively. There are many gray areas that require consulting because human service professionals are
decision-making skills. The process entails not only increasingly being called upon to deal with these
learning information about ethical standards, but types ofissues.
also learning how to define and work through a
variety of difficult situations. To assist human ser-
vice professionals in making such judgments, I rec- Values and the Consultant
ommend the following steps: As in any helping relationship, values play an inte-
Identify the problem or dilemma. gral role in the consultation process. The consul-
tant, consultee, members of the client system, and
Identify the potential issues involved. parties-at-interest to consultation all have values
Review the relevant ethics codes. formed by their life experiences, and each party
Know the applicable laws and regulations. involved in or affected by consultation is in turn
influenced by each other’s values. Consequently,
Obtain consultation from trusted colleagues.
the sheer number of people involved (usually three
Consider possible and probable courses of | or more) suggests that conflict
action. expected (Parsons
Enumerate the consequences of various
decisions. nch & Bell, 1999).
Decide on what seems to be the best course of It would be naive for consultants to think that
action. (Corey et al., 2007, pp. 20-22) their own values do not influence the consultation
process while thinking that those of the other par-
For an alternative decision-making strategy ties do (or vice versa). Clearly, it is important for
based upon constructivism, consult Cottone (2001). “consultants to possess a reflective understanding of
In addition to mastering and using an ethical their values and how they influence the practice of
decision-making process, consultants themselves consultation. In fact, the ethics codes of the ACA
can engage in I LV1 lieb (2005), the APA (2002), and the NBCC (2005) note
2006). that self-awareness, including awareness of one’s
values, is important when consulting. Consequently, Example 1: Differences in Worldviews. Gene and
consultants will want to understand the role their Phil, both mental health professionals, are consult-
own values play in the creation and resolution of ing regarding several clients in Phil’s caseload.
the ethical dilemmas the Gene’s cultural background is different from
Phil’s. As consultation ensues, Gene is increasingly
disturbed by Phil’s apparent lack of concern about
being prompt for their sessions. When Gene ques-
impose their values on consultees or other parties- tions him on this, Phil notes that from his perspec-
at-interest are on very shaky ethical ground because tive, time is a convenience for humans to use and
they are depriving others of their due freedom. There not an indicator of politeness. Phil relates that in his
are, however, some sets of values that inform consul- culture time just “happens” and is viewed more as a
tants’ work. Community psychologists, for example, convenient way to track events rather than some-
tend to value self-determination, and that value thing that drives events. Gene’s view is that time is
will affect the consultation process (Prilleltensky, very critical and important and that every act on the
Peirson, & Nelson, 1998). At the other extreme, job must be completed in an efficient and timely
when consultants are overly cautious about imposing fashion. To act otherwise is certainly unprofessional
their values on others involved in
i consultatio and possibly unethical. If you were Gene, how
would you attempt to manage these different views
so that effective consultation might take place?
Should Gene refer Phil to another consultant? Do
you think Gene is open to examining his view of
life and accommodating differing views?
Value Conflicts. In our culturally dive Example 2: Differences in Views of Organi-

the potential for value conflicts is high. zations. Bobbie is a mental health consultant as-
signed to work with the law enforcement profes-
sionals in a large urban police department. Bobbie
bottom-line for consultants is whether or not to refer has to negotiate constantly between the often-
the consultee to another consultant. Just as when conflicting values associated with mental health and
value conflicts arise in other helping relationships law enforcement. When a high-ranking police offi-
such as counseling (Corey et al., 2007), there are no cer used a consultation session to deal with ways to
tion solutions in consultation. prevent bypassing the chain of command, Bobbie
inadvertently made light of the situation and was
puzzled when the police officer did not return for a
second consultation session. Why do you think that
one minor slip-up caused the officer not to return?
When value conflicts do occur, they are typically In what ways do you think Bobbie could have pre-
best met head-on. The consultant can model effec- vented sucha slip-up? What Bobbie didn’t recognize
tive conflict resolution skills for the consultee as they was the taboo in law enforcement circles against by-
work through the conflict, and together they can passing the chain of command, whereas in a mental
determine _w 10. 1s. Sti health setting, such behavior might be viewed as in-
feasible. appropriate and worthy of reprimand but is certainly
not sucha big deal. A perceived value difference con-
cerning views of behavior probably caused the offi-
cer’s absence. Because the officer did not perceive the
Consider the following examples of values conflicts: consultant to be knowledgeable about or respectful
of law enforcement values, he prematurely termi- well encounter many ethical dilemmas and issues
nated consultation. (Corey et al., 2007). Fortunately, most ethics codes
underscore the helper’s responsibility to take cul-
Example 3: Differences in Views of the Client tural contexts into consideration when delivering
System. A consultant working with the adminis- services. For example, the ethics codes of the
trator of a substance-abuse program in a human ACA (2005), the APA (2002), and the NASW
service agency’ finds that the administrator thinks (1999) all cite respect for cultural diversity as essen-
of the program’s clients as “welfare bums” who tial to the best practices, and diversity perspectives
are “sponging off’ society and the agency. The are increasingly being incorporated into these
consultant, in contrast, views the clients as sick codes. In their practice, consultants can place them-
and in need of rehabilitation. How would you pro- selves in ethical jeopardy by ignoring diversity fac-
ceed if you were the consultant? How would you tors because such neglect can infringe upon rights
specifically deal with the value conflict in which of consultees with different worldviews and values.
you find yourself? Clearly, this situation has no easy The experiences of growing up in a different
answer. Insummary, because values are connected culture can create language patterns, learning styles,
to every important decision made during the consul- and ways of acting that differ from those of the ma-
tation process, consultants must be aware of their jority culture. For example, speech in high-context
own values (Corey et al., 2003) and make a commit- cultures, such as Native American cultures, relies
ment not to impose them on consultees. The con- heavily on nonverbal aspects of communication,
sultant’s values can, however, be used to make ap- whereas low-context cultures like that of the major-
propriate decisions. The issue concerns how much ity culture rely more heavily on the use of words
consultants should allow their values to influence (Miranda, 1993). It is easy to imagine a person froma
their behavior in consultation and when they should low-context cultural background wanting a person
reveal their values (Snow & Gersick, 1986). When from a*high-context cultural background to think,
value conflicts emerge, the consultant should deal act, and speak more concretely and quickly. The im-
with them in a non-defensive, professional manner. plications for the development of ethical dilemmas in
consultation and collaboration are obvious.
People from differing cultural, ethnic, or racial
Multicultural Issues
backgrounds can vary in a variety of ways including
Multicultural issues are important elements in ethi- values, language patterns, and child rearing patterns
cal and professional degisi (Thomas, Correa, & Morsink, 1995). Obviously,
lesthe APA. 2003). there can be differences within cultural groups re-
garding these same constructs which make generali-
n fact, some
authors (e.g., Ingraham, 2000, 2003; Tarver
Behring & Ingraham, 1998) have called for making
culture a central component in the field of consul-
tation. Increasingly, our society is becoming cultur- orrea & Tulbert, 1993;
ally diverse (Kanel, 2007). This diversity is reflected Wubbolding, 1991b). Nonetheless, working effec-
in the workplace (Steward, 1996; Plummer, 1998). tively with people from differing cultural back-
As a result, as a consultant or collaborator, you will grounds requires knowledge of, and respect for, their
most likely have contact with people with varying cultural heritage and worldviews (Henning-Stout,
cultural backgrounds. When working with consul- 1994: In amirez & Smith, 2007).
tees or fellow collaborators who are culturally dif-
ferent or with consultees or fellow collaborators
whose clients are culturally different, you may
organization, he starts out by sharing the impor-

Remley & Herlihy, 2 . If consultants or colla- tance of advocacy. As he continues, many members
borators do not take such differences into account, of the group believe him to be condescending. He
they can inadvertently cause difficulties in the help- even occasionally uses terms like “you people” and
ing relationship or exploit others. When consultants “you need to get on with it!” When one of the
or collaborators do not act with multicultural sen- members approaches Sidney about his behavior,
sitivity, they often become frustrated in attempts to Sidney explodes and says: “I am helping you people
be of service, get locked into their “expert” role, and not even charging you! You’re lucky I just
and become more content oriented (as opposed to don’t stop the whole deal right now. Remember,
process oriented) (Dougherty, 1996, 1997). There is I am an expert on advocacy for disenfranchised
some likelihood that the effectiveness of their com- groups.” How could Sidney’s worldview have got-
munication will suffer. ten him in this unfortunate predicament? What va-
Consultants and collaborators have a_profes- lues was Sidney using that seemed to make the
sional and ethical obligation to be aware ofthe influ- consultation go awry? Assuming that Sidney had
ence of their culture and gender on their work with good intentions, what might you suggest to him
people of different cultural identities (Lum, 2007; about the way he went about trying to help?
Ramirez & Smith, 2007). Consultants and collabora-
tors should recognize that their models ofservice de- The Case of Maria. Maria, a Hispanic counselor, 1s
livery, and perhaps even their ethics codes, are defi- consulting with Michael, an African Ainerican psy-
cient in the areas related to ethnic, racial, and cultural chologist, about one of Michael’s cases. As Michael
diversity (Jackson & Hayes, 1993; Soo-Hoo, 1998; describes the case ofan abused child, Maria immedi-
Weinrach & Thomas, 1998). ately focuses in on the family unit for discussion and
Clearly, multicultural influences need to be directs Michael to talk in more of a “family therapy”
taken into account when providing consultative mode. Maria is aware of her own strong views about
and collaborative services. Consultants and colla- how families influence their individual members and
borators should possess an awareness and compre- how treatment should focus on the entire family (and
hension of their own cultural group as well as the perhaps the extended family). When Michael refo-
on the child, Maria confronts
cultural group of their consultees and fellow colla- cuses the discussion
borators. what she believes to be Michael’s resistance. Maria
ends up persuading Michael to look at the problem
from her perspective. Do you see any possible ethical
conflicts for Maria in this case? Can you identify any
ways in which Maria could have acted differently
when consulting with Michael? Could cultural vari-
ables have played a part in the way both Maria and
Michael conceptualized the case?
The Case of Sidney. Sidney is a Caucasian consul-
tant who has a private consulting practice in a large
urban area. Sidney is contacted by a minority Consultant Competence
neighborhood group because of his reputation for
advocacy work. The neighborhood group is inter- The issue of consultant competence has received
ested in forming a network that provides neighbor- much attention: the ethics codes of the major orga-
hood members access to resources related to their nizations in which many consultants have member-
personal and social welfare as well as enhancing ship (e.g., the ACA [2005], the APA [2002]) all
their own sense of empowerment. Sidney agrees make statements to the effect that members should
to provide consultation free of charge. As he begins deliver only those services and accept only those
work with the consultees from the neighborhood positions for which they are qualified. The ethics
code of the NBCC (2005) explicitly makes this before. When she again became one of his consul-
statement for consulting. These qualifications are tees, Mary got the eerie feeling that she was hearing
usually determined by the consultant’s training and the very same thing she had heard from Roger almost
experience. 10 years earlier. New terms like “empowerment”
were thrown in for some of the same old ideas.
When Mary challenged Roger and asked him his
views on family systems and codependency as they
related to the topic being discussed in the consulta-
tion, Roger became flustered, noted quickly that
Corey et al., 2007; Prench & Bell, 1999). there was probably no connection, and promptly
changed the subject. Has Roger kept updated in his
field? Do you feel he has behaved ethically or dem-
Maintaining High Levels of Professionalism.
onstrated a high level of professionalism?
Consultants can do several things to maintain high
levels of professional competence:
Knowing One’s Professional Limitations. Prior
# Belong to and participate in professional to entering a consultation relationship, consultants
organizations. must assess whether their personal and professional
# Obtain the appropriate national and state cre- competence is adequate for the task. Although it is
dentials, certificates, and licenses for the pro- easy to suggest ways of maintaining high levels of
fession in which they are trained. professionalism as a consultant, it is more difficult to
# Participate in continuing education activities in suggest methods of knowing one’s limitations. Most
general. ethical codes such as those of the ACA (2005) and
the APA (2002) state that a knowledge of one’s
» Participate in continuing education activities limitations and abilities is essential. The ACA Code
(both didactic and experiential) that pertain to of Ethics (2005) makes direct reference to consultant
the consultation services they deliver or would competency.
like to deliver.
#® Co-consult with more experienced colleagues.
# Consult under the supervision of a trusted
colleague or a designated supervisor.
| By
asking themselves the following four questions in or-
. Con- der, consultants can stay focused on their limitations:
sultants with such a growth orientation attempt to
stretch themselves so that the depth and breadth of What can I do, given this situation?
their knowledge and skills increase. This willingness What is the night thing to do in this situation?
to grow professionally also provides consultees with a Do I have the ability to do the right thing?
positive role model that stimulates their growth and
aee What is the nght thing to do that is in the best
har
desire to participate more fully in consultation.
interests of the consultee and the organization?
The Case of Roger. After Roger earned his doctor- By carefully pondering these questions, consul-
ate in a human service profession, he proudly tants are less likely to make errors in judgment with
thought that he had “done it all.” He became an respect to their limitations. There is no substitute
active consultant and worked with many community for the combination of personal and professional
groups on what he liked to call “family dynamics.” self-awareness and the commitment to put forth
Mary was one of Roger’s consultees several years one’s best effort when consulting.
CHAPTER 7 ETHICAL, PROFESSIONAL, AND LEGAL ISSUES 137
The Case of Shirley. Shirley recently received her nization. Consultants must consider for each poten-
master’s degree in one of the helping professions, tial consultation whether they are in a position to
which included taking a course in consultation. She charge fees in the first place and, if so, how much.
received a phone call from a church group offering How do consultants respond when they are
her a fee for providing a workshop on eating dis- asked to provide services for which they are not
orders. Although Shirley was not knowledgeable qualified? The answer lies in referral procedures.
about eating disorders, she took the consultation. Consultants have the responsibility to determine at
She studied the topic for a week and then presented the outset of consultation (in exploring organiza-
a two-day workshop. How well do you think tional needs) whether or not they can be of assis-
Shirley knows her professional limitations? Did tance. When consultants determine that they can-
she have the right to conduct a workshop just be- not be of assistance, they should consider making a
cause the group asked her to? If you were Shirley’s referral to a qualified consultant; even if a referral is
work supervisor, how would you handle the situa- not possible, the provision of services should be
tion if you became aware ofit? declined anyway.
Knowing When to Decline and Refer. The Case ofJackie. Jackie holds a doctorate in a
helping profession and has been working with a
mental health center for 10 years. She is actively
seeking another professional position in another
the consultee walking up to a consultant and asking, part of the country and is approached by a commu-
“Are you an expert in X?,” to which the consultant nity group to consult with them in developing a
responds, “Sure, just give me an hour,” should never two-year self-advocacy project for the homeless in
the area. Although Jackie has a great deal of exper-
occur. Several professional organizations’ ethical
tise and interest in this area, she refers the commu-
codes state that services should be delivered only if
nity group to another consultant because of the
it is anticipated that the provider can effectively man-
possibility that she might be relocating. This sce-
age the existing problem as well as any others that
nario reflects a common concern in our mobile so-
may arise.
ciety: The consultant may not be around to finish
A related issue involves the representation of
what he or she agreed to complete. In this case,
oneself as a consultant. Consultants must state explic-
Jackie clearly knew when to decline and refer.
itly what they stand for, who they represent, and
what they can and cannot do as consultants. This
When Personal Concerns Affect Professional
Performance. Consultants, of course, have the
same kinds of personal concerns and problems as any-
one else, and these can negatively affect their profes-
In fact, the ethical code sional performance to the degree that consultation
of the APA (2002) devotes more coverage to public services are not adequate. In this case the consultant
statements than to any other ethical principle. should consider stopping the services and making an
Closely tied to the issue of representing oneself appropriate referral.
honestly is the issue of remuneration.
he ACA (1995)
specifically states that its members must refuse any
when consultation recipients 2002, p. 9).
type of remuneration
are due those services through the member’s orga- Therefore, consultants who are experiencing high
levels of stress should be particularly aware of their of prospective consultants (see, e.g., Alpert &
ability to provide adequate professional services. Taufique, 2002b).
With regard to school-based consultants, it 1s
safe to assume that most have adequate training in
consultation and collaboration. The training of
community-based consultants, however, is appar-
(Corey et al., 2007); such an awareness decreases ently not as well articulated. Regardless of how
the probability that the consultant will behave un- they receive training, consultants are still ethically
ethically. Ifan exception must be made with regard bound to determine whether they are adequately
to consulting despite a lack of competence, Wallace trained to provide services in each consultation sit-
and Hall (1996) suggest that this should be done uation as it arises.
only when certain conditions are present:
= if it can be clearly established that there is no The Consultant-—Consultee—Client
other consultant in the area who 1s better Relationship
qualified
The consultant—consultee—client relationship is very
# if the consultant possesses parallel training and complex. What obligation, for example, does the
experience for the consulting task consultant have to the consultee’s client? What
» if the consultant has adequate time to prepare parameters of this relationship relate to the consul-
for the consulting task tant and consultee? Can the consultant—consultee—
client relationship be examined only in the context
» if the consultant makes all these limitations
of the organization in which consultation 1s occur-
clear to the employing agency
ring? In general, the consultant—consultee—client re-
= if it is a crisis situation that requires immediate lationship can be examined in isolation or within an
intervention organizational context; both views shed light on
ethical issues. When considered in isolation, ethical
issues revolve around each party’s obligations and
Training as an Ethical Issue
how well these are fulfilled.
Training 1 In an organizational context, ethical issues go
beyond the isolated relationship. For example,
when confidentiality is to be maintained, where
elfel, 2002). Consultation is not within the organization do we set its limits? Next
“watered-down” counseling/psychotherapy and its we'll consider the ethical issues surrounding the
skills do not come naturally from being trained in complex consultant—consultee—client relationship
these methods (Caplan, Caplan, & Erchul, 1994). in terms of work-related focus, dual relationships,
Although there are some guidelines for train- and freedom of choice.
ing, it is ultimately up to individual consultants to
decide whether they have received sufficient train- W ork-
ing to deliver competent services in a given consul-
tation situation. The development of ethical behav-
ior in consultants has most likely been enhanced by
the focus in recent literature on consultation train- can be inferred from this code that
ing (see Gutkin, 2002; Meyers, 2002). There has personal relationships with consultees and their
been a paucity of empirical research conducted on clients is questionable ethical behavior. Further,
training in consultation, but recent literature in this same code of ethics also implies that the consul-
the field has critically examined the training needs tation relationship should be contractual and based
on well-defined, mutually agreed-upon expectations

(e.g., the nature of the problem, goals of consulta-
tion, and desired results). This straightforward as- is often a
sumption must also be considered in light of the con- fine line between where consultation ends and
sultant and consultee representing their respective counseling begins. Therefore, it is relatively easy
organizations (Snow & Gersick, 1986); either party for a consultant who is a trained counselor or ther-
may have obligations to others not directly involved apist to move the consultation relationship into one
in but directly affected by consultation. Attempting that also provides counseling or therapy. When this
to sort out these obligations can be very difficult. occurs, the act of counseling contaminates the con-
sultation relationship by focusing on personal pro-
The Case of Sheila. Sheila is a talented school coun- blems and by deemphasizing the work-related pro-
selor with a knack for relating effectively to students blems on which consultation was contracted.
and teachers alike. As part of her consultation role, The use of counseling or psychotherapy in the
relationship, when it occurs, usually
Sheila’s principal asked her to conduct a teacher sup- consultation
port group to focus on work issues. Sheila agreed, and results once the consultant has determined that
as the support group developed, some members in- the basis for the work-related problem resides
creasingly asked for help on personal domestic issues more in the personal issues of the consultee than
such as relationships with spouses and children and in the client.
eating disorders. Sheila expressed her concerns that
the group was getting too far away from its original
‘intent and tried to refocus the group. also. occur when supervision is somehow in-
Was Sheila right in refocusing the group? Might corporated into the consultation relationship. It is
she have taken any other measures under referral to relatively easy for the consultant who has had su-
help the members meet their perceived needs? Ifyou pervisory training and administrative experience to
were Sheila, would you find it somewhat difficult not include supervisory activities in what should be an
to let the group go where it wanted to go? exclusively consultative relationship.
Dual Relationships. Increasing attention has been

paid to dual relationships in consultation
(Dougherty, 1992b, 2006a, 2006b; Herlihy & Use of supervision in consultation allows the
Corey, 2006; Moleski & Kiselica, 2005). The APA consultant to build an illegitimate power base, cre-
code of ethics (2002) suggests a thoroug h assessme nt ates the potential for conflicts of interest, and vio-
before engagin g in such lates the original consultation contract. What are
of the potential for harm
relationships. some of the potential problems that result from a
dual role relationship? There are several reasons for
As an extreme example, a consultant experi- caution when determining whether to engage in
dual relationships (after Dougherty, 2006b):
encing sexual intimacy with a consultee has dual rela-
tionships—one professional, the other personal. Dual = The complexity of the consultation process has
relationships can occur due to a shift in roles (Pearson led to difficulties in determining the boundaries
& Piazza, 1997). For example, a consultant may be of the consultant’s role and consequent diffi-
a
appointed to an administrative position in which culties in discriminating between appropriate
current consultee now also become s a. subordi nate. and inappropriate practice.
Dual relationships frequently cause conflicts of interest s The difficulties in defining consultation lead
as well as role conflicts. Maintaining two professional to difficulties in defining the roles of
-
roles in the consultation relationship can be particu consultants.
larly hazardous to consultants and their consult ees.
#® Multiple roles in relationships can cause con- Freedom of Choice. Providing consultees and
flicts of interest that can reduce the efficacy of their clients with freedom of choice is one of the
consultation. maj 1 igati
# Multiple roles can cause the consultee to have

contradictory expectations.
=» Trained counselors can zero in on affective
concerns and personal problems. Therefore, Consultees should always perceive that they
there is a possible danger for turning consulta- have the freedom to do whatever they wish with
tion into counseling. consultants’ recommendations (Kratochwill &
# Consultees may have an obligation to their Pittman, 2002). This relieves the consultant from
organizations not to use consultation for per- being responsible for the consultee’s behavior, as-
sonal purposes (such as counseling). suming that the consultee acts in a professionally
responsible manner. However, this also requires
# Publicity about a consultant engaging in dual
consultants to take certain steps when they consider
role relationships could dissuade potential
consultees’ actions to be negative (Snow & Gersick,
consultees from seeking consultation.
1986). The first step is to point out the inappropriate
The bottom-line question consultants must ask behavior to the consultee. Beyond this, there is little
-erning dual relationships is, consensus as to how the consultant should proceed.
Herlihy & Corey, 2006).

As I have noted elsewhere (Dougherty, 2006b), hu-
man service consultants should be very cautious
about engaging in dual professional relationships.
Extreme caution should be used before engaging in Consultees cannot have complete freedom of
‘supervision or counseling relationships with consul- choice if they are dependent on their consultant.
tees (Knoff, 1988). I agree with the position of This issue is
Kitchener and Harding (1990) that human service
professionals “should never enter such relationships
when the potential for harm is high unless there are
strong offsetting, ethical benefits for the consumer It is the consultant’s re-
and the risks are clearly discussed” (p. 153). sponsibility to make sure that dependence does
not occur. Because the very purpose of consultation
The Case of Freddie. Freddie, a social worker, is is to assist consultees and their organizations to
consulting with Norma, the director of a religious function more effectively and autonomously, it is
counseling center, about some problems she is hav- unethical for consultants to create and maintain de-
ing with some of the staff at the center. As Norma is pendence on the part of consultees (NBCC, 2005).
discussing the problems, she brings up some very Closely related to the issue of dependence is
significant aspects of her private life that are affect- that of power. The potential for an imbalanced
ing her relationships with the staff. Out of the blue, power relationship is a common ethical issue for
Norma asks Freddie for personal counseling as well consultants (Corey et al., 2007). One of the most
as consultation. If Freddie agrees, is he involved in common abuses of power in the consultation rela-
an inappropriate dual relationship? If he agrees to tionship occurs when the consultant violates the
the dual role, how can Freddie assess whether the peer nature of the relationship and pressures the
benefits outweigh the possible dangers? If you were consultee to get something accomplished. For ex-
Freddie, what would you do? ample, a consultant might push a certain plan of
action on the consultee. Consultants need to re- gestions on their own merits) (Hughes, 1986). This
member that, although the consultation relation- can also be accomplished by ensuring that there is
ship is equal in terms of status, it is unequal in terms agreement and understanding in terms of the goals
of need. This inequality due to need _raises. issues of consultation (ACA, 2005). In summary, clear ex-
about maintaining the peer nature of the consulta+ pectations concerning the relationship, avoidance of
tion relationship. The consultant is helping the con- dual relationships, and freedom ofchoice for all par-
sultee meet.a need. If the consultant gets anything ties involved contribute to maintaining ethical be-
out of this»process, it is simply as_a_by-product: havior on the part of consultants.
Taking a collaborative stance toward consultation‘
whenever possible, helps toyensure that the misuse The Case of Teresa. Teresa is an internal consultant
of power is minimized. in the human resource development department of
A second abuse of power involves misusing the a large psychiatric hospital. Part of her role is to
relationship with the consulting organization’s ad- consult with heads of other departments on topics
ministrators to. achieve something that should be such as “total quality management.” Marcie, one of
accomplished through other channels (French & the hospital’s department heads, was told by her
Bell, 1999). For example, a consultant might ask supervisor that she had to get help in running her
an administrator to send a memo concerning pre- department from Teresa. Teresa is keenly aware
ferred action plans through regular administrative that Marcie needs some assistance and at the same
channels when it was agreed at the outset that con- time has a negative attitude about consultation. If
sultees would develop action plans independent of Teresa proceeds with consultation with Marcie, 1s
the administration. Marcie’s freedom of choice being violated? If you
A. third misuse of power occurs when a con- were Teresa, how would you handle this situation
sultee is forced to participate in consultation. in an ethical manner?
Because such coercion violates the voluntary nature
of consultation, it is unethical behavior. In addition, Rights of Consultees
consultants must ensure that their consultees are not
receiving undue pressure to participate from their Closely related to the issues concerning the consul-
administrators, tant—consultee—client relationship are those sur-
A fourth misuse of power relates to the adyo- rounding the rights of consultees, which include
cacy role a consultant might take on for personal two major issues: confidentiality and informed.cons
reasons (Brown, 1988). For example, a mental sent. As it applies to consultation, Confidentiality 1s
health consultant might exploit the director of a an ethical responsibility of the consultant to protect
program for the homeless who prefers to go the consultee and the consultee’s:clients from.inap-
propriate disclosure of information shared within
through proper channels by demanding immediate
the consultation relationship. The ethics codes of
change in the program. In this case, the consultant’s
the ACA (2005) implicitly deals with confidentiality
hidden agenda might be to gain a power position
as it relates to consultation, while that of the APA
with the program’s board of directors.
mentions it explicitly. Informed consent re-
Consultees cannot have freedom of choice if (2002)
by consultants fers to. sharing with, the consultee information. per-
they are being manipulated
tinent to consultation so that. the consultee will
(Newman, 1993). From the outset, therefore, con-
know. whateiseinvolved-andwill participate fully
sultants should discuss with their consultees the ways
and effectively in the process. The codes of ethics
in which consultants will attempt to influence them.
m of the ACA (2005) and the APA (2002) mention
Consultants can maintain their consultees’ freedo
by help- informed consent, although not specifically regard-
ofchoice by discussing their own values and
ing the practice of consultation.
ing consultees to critically consider consultants’ sug-
Confidentiality. Confidentiality in consultation Consultants can increase their awareness of the

and collaboration is both important and complex complexity of confidentiality by asking themselves
(Jacob & Hartshorne, 2003). the following questions:
(Taylor &
# What can I tell my own organization about
delman, 1998). Consultees should feel safe in stat-
what is said both in consultation and in the
ing their concerns (Gutkin & Curtis, 1999). Even
unintended breaches of confidentiality can severely consultee organization?
rench & Bell # With whom can I share information in the
consultee organization?
=» What steps do I need to take to ensure the
safety of computer-accessible information?
rey et al., 2007). These guidelines Posing and answering such complex questions
should be developed during the entry stage and put at the outset of consultation, getting consensus on
into the consultation contract (Rosenfield, 2002a). the answers, and publicizing this consensus can pre-
In fact, it isa good idea for the contract to state clearly vent problems from occurring later on in the con-
how information gathered during consultation will sultation process. There is no such thing as total
be used, by whom, and when (Jacob, 2002).
(Gutkin & Curtis, 1999). This

Robinson & Gross, 1985). It is a good idea to is particularly true with the advent of interagency
follow the practice noted in the APA (2002) ethics collaboration and interdisciplinary teamwork
code of protecting the identity of parties involved (ACA, 2005; Taylor & Adelman, 1998). The limits
in consultation and sharing only that information of confidentiality refer to those instances that would
necessary to achieve the purposes of consultation. dictate that confidentiality be set aside. It is usually
In other words, it 1s important to use the “need- assumed that consultants must get permission from
to-know principle” (Jacob & Hartshorne, 2003). their consultees or from members of the organiza-
Two aspects of confidentiality that should be con- tion affected by the consultation before sharing in-
sidered are the tripartite nature of consultation formation. But in cases where permission is not
and the limits on confidentiality (Snow & Gersick, granted, what do consultants do when they have
1986 what they feel are good reasons for revealing the
information? Specifically, what should consultants
do when they determine that a consultee is mis-
treating a client or that a program is counterproduc-
he simplest example is a con- tive for the client system? There are no clear-cut
sultee sharing information about a client to a con- answers in determining when confidentiality should
sultant. In a more complex example, an external be set aside in consultation. am of the opinion that
agency might require a report from a consultant
about some aspect of consultation. The potential
for several parties to acquire information may create
trust issues 1n consultation and makes confi When setting
aside confidentiality, the consultant determines and
takes responsibility for who is to be told, what they
are to be told, and in what manner.
The second way in which the limits of confi-
dentiality are discussed involves the concept of
anonymity (Snow & Gersick, 1986). Such a strategy following or not following through on the consul-
is in line with the APA ethical principles which tant’s recommendations. Consultees have the right to
state: “psychologists do not disclose confidential in- know about how any information obtained from the
formation that reasonably could lead to the identi- consultation process will be used (Newman, 1993).
fication of a... . person or organization with whom The guidelines suggested by Corey et al. (2007) for
they have a confidential relationship unless they counselors and therapists who work with clients
have obtained prior consent of the person or orga- seem quite appropriate for consultants and their con-
nization or the disclosure cannot be avoided . . .” sultees. ACA (2005) makes direct reference to in-
(APA, 2002, p. 8). When maintaining confidential- formed consent in consultation.
ity, the consultant can share information only with
the permission of the consultee or an
member of the organization. erlihy, 2007).
vents the consultant from making the mistake of
overloading the consultee with too much informa-
nymity has the advantage o tion at the outset of consultation, and it permits
information, which can be critical to the success candid discussion of the most critical information
of consultation that focuses _on organizati about which the consultee needs to be apprised.
a whole. Even though consultants should view informed
consent as an ongoing process, they must still ask
themselves what consultees need to know at the
outset.
good practice for answering

The Case of Gus. Gus, a mental health consultant this question is for consultants to place themselves
with a large number of community service agencies, in their consultees’ shoes and ascertain what they
is asked to consult for six months with several of the would like to know at the outset of consultation.
staff in an area nursing home concerning the use of By empathizing with their consultees, consultants
reminis cences as a tool for improving the quality of are in a better position to answer questions patiently
life of the elderly. Midway through the consultation and provide information. Instead of merely being a
period, Gus is approa ched by the administrator ofthe routine exercise, the sharing of information to ob-
nursing home. She relates that she 1s going to have to tain informed consent can be a rapport-building
cut several of the staff in a downsiz ing move and event for consultant and consultee.
would like Gus’s opinion on whom to lay off. As a
consultant, what ethical issue is facing Gus? Does the The Case ofSid. As part of his job as a staff devel-
fact that the adminis trator hired Gus give her any opment specialist in a community mental health
rights with regard to her request? center, Sid provides a group of consultees an instru-
ment designed to assess their ability to work effec-
Informed consent is very tively on a team. Based on their performance on the
Informed Consent.
instrument and other measures, the consultees will
important in delineating the rights of consultees
2006; be assigned to autonomous work teams. As the
(Clayton & Bongar, 1994; Herlihy & Corey,
mine wheth er training is coming to a close, several of the consul-
Remley & Herlihy, 2007). To deter
tation in the first tees’ supervisors contact Sid regarding what he
they want to be involved in consul
pos- found out about the consultees’ suitability as team
place, consultees need to be as fully informed as
tation , issues members. If Sid shares what he knows, 1s he violat-
sible about the nature and goals of consul
ing the consultees’ night to informed consent? What
of confidentiality, their right to privacy, the volun-
om in is Sid’s obligation to the center in this situation?
tary nature ofparticipation, and complete freed
Does the employing organization have any nights in of any limits to confidentiality regarding their cases.
this situation? How could this problem have been Because most consultees are also professionals, it 1s
avoided in the first place? not unreasonable to expect them to live up to their
obligations with respect to confidentiality. Man
uthors (e.g., Corey et al., 2007
The Consultant and the Group
For a variety of teasons, an increasing amount of a
consultant’s practice is with a group of consultees or
part or all of an organization (see Conyne & Mazza,
2007 and Paisley & Milsom, 2007). Because con-
sultation with groups raises unique ethical and points out the importance
professional issues, it is given separate consideration of collaborative consultation with targeted popula-
here. Ifyou are interested in consulting with groups, I tions to enhance the ecological validity of planned
strongly recommend that you refer to the Professional group interventions. This is an important factor
Standards for the Training ofGroup Workers (2000) pub- whether one is consulting with groups about case-
lished by the ASGW. loads or with training groups (as discussed later in this
chapter).
Consulting with Groups with Caseloads. When The Case of Lucy. Lucy, a mental health practi-
a consultant considers working with the same group tioner who is consulting with a group of school
of consultees for an extended length oftime, a basic counselors about their cases, is very concerned about
issue that is raised is one of competence. To what confidentiality because the consultation 1s occurring
degree is the consultant experienced and trained in at a variety of school sites. She prepares a statement
group consultation? How aware is the consultant of about confidentiality, distributes it during the first
dynamics? meeting with the consultees, and mentions confi-
dentiality intermittently throughout the course of
the consultation relationship. In your opinion, has
Lucy acted in an ethical manner? Is there anything
else she could do to encourage confidentiality? What
are the consultees’ obligations regarding confidenti-
A second issue that reemerges when consulting
ality in this situation?
Consulting with Training Groups. Consultants

are increasingly being retained to educate or train
Has participation been made voluntary? Have the consultees. In their extensive treatment of the ethics
consultees been made aware of what is expected of of training groups decades ago, Pfeiffer and Jones
them within the group? As in individual consultation, (1977) listed five basic issues of concern to consul-
informed consent should be an ongoing process. tants engaged in education or training: deception,
co-optation, inappropriate techniques, inattention
early, the consultant can- to application, and rehashing.
not guarantee confidentiality for anyone in the
group except him- or herself. In fact, many consul-
tees will subscribe to professional standards such as
those of the ASGW (2000), which specifically men-
tion that group cases be discussed only for profes-
sional consultation and educational purposes. Even
in these cases, group members should be informed
Ethical Issues in Intervention
The ethical as well as the technical adequacy of inter-

ventions must be determined (Newman et al., 2002).
Such a practice of course violates informed consent Three important intervention areas that involve eth-
and the right to privacy. Co-optation in any form is ical issues are individual-versus systems-level inter-
unethical and can be minimized by making the ventions, use of assessment data, and the empirical
learning/training environment a safe one for all validity of interventions (Newman, 1993).
involved.
frequently
stems from e consultant s use some
“pet” methodology, either due to a lack of under-

standing between consultant and consultees con- cob, 2002). Consultants will need to
cerning what is to be accomplished or ossibl avoid cultural bias in their assessment activities
due to poor planning by the consultant. (Diller, 2007). For example, it would be unethical
for a consultant to recommend a certain develop-
mental guidance program for use by teachers
merely as a way to cut the number of school coun-
selors in a school. If the consultant determines that
the system is “sick,” interventions at the individual
he consultant 1s level may also be ethically questionable because of
~ ethically bound to assist consultees in applying what their marginal effect on the problem.
they have learned. Consultants have an ethical ob- The use of assessment data can resent man
ligation not to repeat or rehash the same educa- ethical issues (Fuqua et
~tional/training experience with the same consul-
tees. In addition, consultants should keep their
education and training offerings current and full of (Newman, 1993;
vitality. Consultants involved in education and Newman et al., 2002). The potential for unethical
training should take their own professional growth behavior occurs often in pe isions.
as seriously as that of their consultees. onsultan
The Case of Selli. Selli is known as a hotshot con-

Consultants should also bear in mind the impact
sultant who can entertain the most subdued groups
of culture on assessment procedures and consider
of trainees. She has a well-polished “dog and pony
Some of her consultees comment, “See using multiple assessment and ‘indigenous con-
show.”
sultants” (an appropriate representative of the client
Selli once and you know everything she knows!”
system’s cultural group) in both assessment and inter-
Selli suggests to her organization contact person
vention in cross-cultural consultation (Diller, 2007;
that she offer a series of 10 training sessions. 1995; Quintana et al., 2000). For
Moseley-Howard,
When asked for a proposal with a list of objectives,
example,
Selli comments that she views such things as un-
“After all,” says Selli, “the show’s the
necessary.
“Other hand, culturally sensitive decisions need to be
thing.” What are your views about Selli’s behavior?
made in selecting interventions, such as those using
Could she possibly be guilty of rehashing the same
she concrete_reinforcers
thing in her session time and time again? Does
tion of her trainin g by her
seem to allow for applica There has been very little
consultees?
attention paid to this in the consultation literature. considerations from the resulting chaotic environ-
The scale and scope of available interventions makes ment (Halpern & Tramontin, 2007). In addition,
their selection, implementation, and evaluation very consultants will need to assure that cultural compe-
difficult. Consultants should be familiar with the em- tence is exhibited when engaging in crisis consulta-
pirical research as it relates to the efficacy of intervention, since responses to a crisis vary according to
tions and should attempt to make sound judgments given cultures (Remley & Herlihy, 2007).
when selecting interventions.
Ethical Issues in Organizational
The Case of Ozzie. Ovzzie is hired as a consultant
Consultation
by a human service agency to help determine if the
child and adolescent services sections could be com- Mental health/human service professionals are in-
bined as a cost-cutting measure. As Ozzie is gather- creasingly being called upon to provide services at
ing data, the director of the agency pushes the re- the organizational level. A school psychologist
organization as the only recommendation she wants might, for example, assist a site-based management
to hear. Ozzie determines that the reorganization 1s team in developing methods to prevent staff burnout.
not an appropriate strategy because it would put an In another example, a community counselor might
excessive burden on the personnel who serve the work with the board ofdirectors ofa church group in
agency’s clients. In his report, Ozzie suggests that examining and revising the administrative structure
reorganization is not a feasible alternative and makes of the church’s operation in ilitate effec-
other cost-cutting recommendations. Did Ozzie act tive communication
in an ethical manner? What types of pressure do
you believe he experienced when the director at- Consequently, the ethical issues can also be hi
tempted to influence him? Did Ozzie attempt to complex (Block, 2000).
recommend the best possible solution?
Kratochwill & Pittman, 2002;
Newman, Robinson-Kurpius, & Fuqua, 2002). As
Issues Related to Crisis/Disaster you will read in later chapters, the goal of organiza-
tional consultation is to help the organization func-
Consultation
tion more effectively in some specified way. Ethical
Consultants are increasingly being called upon to issues can easily arise when this overarching goal is
provide service in crisis and disaster situations being pursued. If you review the case example at the
(McCarroll & Ursano, 2006; Stock, 2007). beginning of this chapter, you will note how easily
Tragedies like those of September 11 and at ethical dilemmas can arise during organizational
Virginia Tech University have called attention to consultation.
the need for organizations to implement or create The nature of organizations can lead to a vari-
crisis management plans. They have also shown the ety of ethical issues for consultants (Newman et al.,
need for training organizational personnel in how 1996; Newman et al., 2002):
to react to various crises, 1
workplace violence. # Consultants have significant ethical responsi-
bility to ensure the proper effects of interven-
tions, and those effects can be difficult to de-
termine at the organizational level.
2007; McCarroll & Ursano, 2006; Stock, 2007). # Consultants frequently rely exclusively on the
Consultants will want to bear in mind the acute subjective reports of consultees, although con-
vulnerability of the client system in crisis and disas- sultees can have biased and distorted views of
ter situations as well as the heightened ethical the organization and its functioning.
= Conflicts of interest within the organization your opinion, using aspirational ethics in this situa-
itself can complicate the goals of consultation. tion? Was he taking a big risk with the group? What
would you have done in this situation?
s Differing views of the organization can make
setting goals difficult.
# Voluntary participation on the parts of con- Issues Related to Consulting
sultees can be difficult to ascertain. over the Internet/Telephone
As telecommunications and technology continue to

impact our society, so too do they have the potential
(Newman et al., 1996; Newman ct to affect how consultation is delivered. With the on-
al., 2002). Aspirational ethics is also called “virtue set of e-mail, listservs, chat rooms, and file transfer
ethics” (Jordan & Meara, 1990). Virtue ethics at- protocols, consultants are able to develop a variety
tempts to integrate the character of the professional of methods for providing consultation, often to
with his or her practice. Aspirational ethics is not consultees in rural areas. For example, a group of
based on the question “What shall I do?” but on counselors can engage in peer consultation via a
the question “Who shall I be?” (Newman et al., web-camera, e-mail or a chat group (Kruger &
1996). The use of virtue ethics by consultants lays Struzziero, 1998; Miller, 2006). In another example,
the foundation for moral considerations as_part_of a mental health consultant may deal with a consultee
rganizational consultation process about a case exclusively through e-mail. There 1s
some evidence that consultees perceive the use of
e-mail as effective in helping them accomplish the
French & Bell, goals of consultation (Kruger, Struzziero, Kaplan,
1999: Fuqua & Newman, 2006). This orientation Macklem, Watts, & Weksel, 2001) and that consul-
considers consultation to have powerful moral influ- tants can help facilitate an online support community
ences. These influences can be used to promote for beginning teachers (Babinski, Jones, & DeWert,
moral discourse in the organization, impact the orga- 2001). Although there is no data that demonstrates
nization’s leadership structure, and impact the moral the amount of consultation that occurs over the
elements of the organization’s structure (Fuqua & Internet, there were at least 88 online counseling
Newman, 2006). websites located (Shaw & Shaw, 2006).
Extrapolating from the ideas of various authors
(ACA, 2005; AMHCA, 2002; Corey et al., 2007;
The Case of Bryan. Bryan is a human resource de-
ISMHO, 2000; Meyers et al., 2004; Sampson et al.,
velopment specialist in a community college. A
1997) on web counseling and applying them to
trained counselor, Bryan has been asked to assist the
consultation suggests the following consultation ap-
academic affairs committee of the college to make
plications on the information highway: computer-
recommendations for new programs to the college’s
based networking with consultees regarding cases,
president. As Bryan attempts to assist the group in
a lot of marketing of services via web pages, delivery of
making its decision, it becomes obvious that
consultation services over the Internet and through
the committee members are allowing politics rather
videoconferencing, data collection and assessment
than the best interests of the college to guide their
time through the use of computer-assisted instruction,
decision making. Bryan asks the group for some
committee’s processes to videoconferencing with more than one consultee
to share his thoughts on the
directly yet professionally at various remote sites, and the delivery of self-
date. At a meeting |he
help materials and resources with the consultant
shares his views that the committee may be having
being “on call” to assist as needed. As a side note,
their own special interests in mind when determining
in advances in technology have the potential to impact
the academic future of the college. Was Bryan,
the way consultants use face-to-face meetings in Trusting relationships tend to develop rich and
unique ways. For example, face-to-face meetings more valid discourse than do those based on superfi-
may be used more for relationship building and less cial acquaintance. Consultants will want to keep
for the transmittal of information (Corey et al., this in mind as they determine the depth ofrelation-
2007; Sampson et al., 1997). However, the impact ship necessary to accomplish the, goals of con-
of technology on consultation raises a variety of sultation: A minimal consideration is contact with
ethical issues (Miller, 2006; Shaw & Shaw, 2006). consultees over the phone or through video-
The APA (2002) has included a section in its code conferencing.
of ethics regarding the use of technology in service Little has been written in the area of web-
delivery; ACA (2005) has a separate set of standards. consulting. The bottom line is that potential bene-
Other organizations such as the NBCC (2005) have fits need to outweigh the potential risks.
adopted standards for Web-Counseling. Con-
sultants can adapt and use standards such as these
and APA (2002) and ACA (2005) to assist them in
THE CONSULTANT AND
dealing with related ethical issues that arise in
their practice. Issues raised by the use of what I refer THE LAW
to as “web consulting” can be categorized as
technology-related aspects of the basic issues already Due to the training of most human service consul-
discussed in this chapter. These include confidenti- tants, there can be a dynamic tension between their
ality and obtaining permission to consult with mental health orientation and how the law impacts
members of an organizati ithout physical] that orientation (Rowley & MacDonald, 2001).
tering Relatively little has been written on the legal issues
that concern consultants, but more is being written
on legal issues for mental professionals (Egan, 2007;
Sales, Miller, & Hall, 2005). Most professional orga-
nizations note the importance of knowing and
respecting the law (Jacob, 2002). Relatively few
guidelines on professional behavior exist to guide the
Bee: 2005; courts when consultants encounter legal entangle-
Shaw & Shaw, 2006). In a related issue, consultants ments. Still, as human service professionals, consul-
will want to remember that lack of attention to tants deliver their services in a socio-legal environ-
information security can violate consultee confi- ment and should be aware oflegal matters that affect
dentiality (APA, 2002; Shaw & Shaw, 2006). them (Swenson, 1997). For example, school-based
Consultants need to ensure that the messages they consultants need to be aware of the legal considera-
receive and send electronically are protected as tions of offering advice to school personnel about
needed, and that the consultee has access to privacy students (McCarthy & Sorenson, 1993). Some
when sending information to the consultant. authors such as Remley and Herlihy (2007) caution
Another issue revolves around location-specific that lawsuits brought against human service profes-
factors. Consultants need to make sure they assess sionals, although few, are on the rise.
the impact of local variables as they attempt to assist Consultants will want to remember that man-
consultees. For example, a mental health counselor datory law, ifit applies to a given consultation situ-
should be aware of the limitations imposed on the ation, almost always takes precedence over ethical
counseling activities of school personnel prior to or other concerns, and consultants who violate the
making recommendations regarding interventions. law are subject to legal consequences (McCarthy &
Consultants should also be aware of how rela- Sorenson, 1993). The importance of attention to
tionship development can be affected by technology. legal issues in the helping professions is emphasized
7 ETHICAL, PROFESSIONAL, AND LEGAL ISSUES 149
CHAPTER
by the fact that the ACA and the APA have set up consultant showed requisite skill and care (Anderson,
legal defense funds for members involved in certain 1996). However, because these terms are not yet
types of litigati adequately defined for consultants, courts tend to

line is this: rely on already-established standards for appropnate
professional consulting behavior (Anderson, 1996).
1996; Remley & Herlihy, 2
Malpractice
We'll now consider a legal issue of paramount 1m-

portance to consultants: malpractice. Human ser- rrison, 2004, pp. 139-140).
vice professionals Malpractice suits can occur in just about any
of area of consultation practice. A recent literature re-
view of the causes of malpractice (Corey et al.,
2007; Sales et al., 2005) cites the following beha-
viors that could cause legal entanglements for
consultants:
(Sales et al., 2005) Corey et al. = misrepresenting one’s training and skills
(2007) note that malpractice is the failure to render » failing to respect integrity and privacy
professional services or to exercise the appropriate
= using improper diagnosis and assessment
degree of skill that is ordinanly expected of profes-
techniques
sionals in a given situation. Consultants can be sued
for performing the wrong services or for failing to = using improper methods to collect fees
provide the correct services. How can the right or » making inappropriate public statements (libel
wrong type of service be determined? The court and slander)
would attempt to determine whether a typical pro-
= failing to honor agreements (breach of
fessional consultant would act in a way similar to contract)
the way the consultant in question acted. An an-
swer in the affirmative would likely lead to no ha- » failing to keep adequate records
bility, whereas a negative answer could lead to lia- » failing to provide for informed consent
bility (Anderson, 1996). providing poor advice
#
Tort lawsuits are the most common type involv-
ing malpractice (Swenson, 1997). To determine Of these torts, those based on lack of skill are
whether a consultant was guilty of malpractice, a court the most prevalent (Swenson, 1997). In summary,
would seek answers to the following questions: consultants can be sued for malpractice whenever
there is the likelihood that they have provided ser-
Did the defendant (consultant) have a profes- the
» vices either without the proper skill or without
sional obligation to the plaintiff? proper care.
= Was that duty breached by the consultant?
and
= Is there a causal link between the breach
the damage to the plaintiff? Avoiding Legal Entanglements
-
It is safe to assume that the vast majority of consul
To answer these questions, the court would How
not the tants want to avoid legal entanglements.
probably attempt to determine whether or
CASE 7.1 Ethics for School Consultants

| |
Terry is a consultant based in a junior high school, and mentions the behavior that she is concerned with, and
she is consulting with a newly hired and inexperienced asks him if that is the image he wants to project to
in-school human service professional, Burt. Burt is con- students, parents, and staff members. In a gentle yet
ducting a group.for students who received more than straightforward way, Terry refers to the ACA code of
three Fs on their latest report card and has asked Terry ethics and some of the questions she has about Burt's
to consult with him regarding “helping these kids conduct.
out.” As Burt describes the group’s progress, Terry no- As Terry is talking, Burt shows surprise and be-
tices that he has not informed the group of its purpose comes genuinely interested in what she is saying. He
or made any attempt to promote confidentiality. She notes that his attitude may be because of his father’s
also notes that Burt talks to teachers readily about the flippant attitude about life. He praises Terry for her
members’ behavior and puts several of the members sensitivity and perceptiveness and asks her to help him
down by calling them “airheads.” At the same time, he work on his attitudes and behavior, saying, “After all,
exhibits a commitment to the members and to the if my personal life is messing up my professional life, |
success of the group. guess I'd better start there.” Terry shares with Burt her
It is apparent to Terry that Burt does not want appreciation for his willingness to look closely at him-
feedback on his behavior but rather desires techniques self and his interest in counseling. Because she is a
for more effectively helping the students in the group. school consultant, Terry points out that she feels very
Terry feels very frustrated during two of her consulta- uncomfortable doing this and details how being both
tion sessions with Burt and perceives him as having a his counselor and his consultant might destroy their
low level of self-awareness and being impervious to ability to work effectively together. She mentions to
how others might perceive him. She has come to resent Burt the positive results of counseling she received
what she sees as a basic contradiction in Burt—namely, from a local therapist and refers Burt to that counselor.
his enthusiasm to help students and the disrespectful When Burt comes back for two more consultation
way in which he talks about them outside of the sessions, the mood of the relationship is relaxed and
group. yet very work oriented, with Burt speaking compas-
During a third session, as Burt keeps asking for sionately of one of the group member's difficulties.
techniques to achieve this or that, Terry becomes angry
not only at Burt, but also at herself for being angry Commentary
with Burt. In the middle of the session, she excuses This case illustrates the importance of self-awareness on
herself for a couple of minutes to check on an ap- the part of consultants. If Terry had not passessed a
pointment. While out of the room, she uses some stress strong sense of self-awareness and insight into herself,
management techniques on herself. Her internal dia- her anger might well have jeopardized her relationship
logue is saying things like, “It’s awful that he talks with Burt. This case further demonstrates how easy it is
about kids that way and still thinks he’s committed to for consultants to slip into possibly damaging dual rela-
help them.” As she continues to process her feelings, tionships with their consultees. Given Terry's feelings of
Terry begins to manage her anger effectively and rea- anger toward Burt combined with her strong willingness
lizes what she wants to do. to help him, she might easily have trapped herself in a
Upon returning to the room and before Burt can relationship that involved both consultation and
start talking again, Terry tells him that she has some- counseling. By taking such steps, consultants can dra-
thing to discuss. She briefly shares her perception that matically reduce the likelihood of legal entanglement.
the reason Burt is having trouble with his group may Consultants who know what they are doing and why
not be due only to the kids, but perhaps also to his they are doing it have relatively little to fear, even
own actions in and out of the group. Terry assures Burt though the boundaries of their professional behavior
that she believes in his commitment to the students, remain relatively indistinct in the eyes of the law.
CASE 7.2 Ethics for Community Consultants

[eS ee ing RR a ay |
Cindy is the director of a prerelease center for incarce- ing the workshop. Cindy asks Sharon to analyze each
rates. Cindy and her five staff members all have mas- staff member, rank them, and name her top three
ter’s degrees in one of the helping professions. The choices for the interim director position. Sharon feels
center runs a coeducational, seven-week program for uneasy as she talks with Cindy. She puts off agreeing or
incarcerates who are eligible for parole no more than rejecting Cindy's proposal by telling her she will respond
six months after the program’s conclusion. Part of the before the week is over. As Sharon considers the reasons
center’s role is to assess the suitability of the program for her uneasiness, she realizes that Cindy’s request is
participants for early parole. inappropriate. After all, Sharon was not hired to evalu-
The center staff have been experiencing difficul- ate anyone but to conduct a workshop. Further, if she
ties in communicating with incarcerates who are were to comply with Cindy's request, she would be de-
known to suffer from substance abuse. At a needs as- priving the staff members of their right to know about
sessment meeting, the staff concluded that they would and consent to Sharon’s imparting her impressions of
like to hold a communication skills workshop that fo- them to their director. As Sharon reviews her profes-
cused on working with substance abusers. As a result, sional organization’s code of ethics, she realizes that her
Cindy contacts Sharon, a social worker in the commu- uneasiness was well founded. She calls Cindy and po-
nity. Sharon has several years’ experience in corrections litely yet assertively denies her request.
and an excellent reputation for conducting workshops
and making presentations. Cindy contracts with Sharon Commentary
for a four-day workshop on “Communicating As you see from this case, Cindy put Sharon, perhaps
Effectively with the Substance-Abusing Incarcerate.” inadvertently, in an ethical dilemma revolving around
Sharon does an outstanding job in conducting the both informed consent of consultees and knowing
workshop. The staff are very open about their views one’s limitations as a consultant. For Sharon to comply
and feelings about communication and how the center with Cindy’s request for information about the work-
responds to known substance abusers. An evaluation shop participants would clearly violate the consultees’
of the workshop indicates that the staff felt very posi- right to informed consent. Further, when Cindy asked
Sharon to analyze and rank the workshop members,
tive about the knowledge and skills they had gained
from the workshop. Cindy was assuming that Sharon has expertise in staff
Two weeks later, Cindy calls Sharon to tell her that evaluation procedures. Sharon did not, in fact, possess
she is being promoted to a new position and that her those skills and was put in the position of having to
immediate supervisor has asked her to choose an interim decline Cindy’s request for an additional reason;
director from the staff of the center. Cindy also states namely, she did not possess the expertise to do what
that she values Sharon’s opinion highly and that she re- Cindy was asking regardless of whether the consultees
alized how close Sharon got to each staff member dur- had consented to being evaluated.
should they go about doing this? It is most 1mpor-

tant that consultants learn about any state laws that
. Such
may have implications for their practices (Remley
adherence facilitates delivering consultation services
& Herlihy, 2007). Ignorance of the law is not an
excuse if a consultant is called into court. Con- with the proper skill and care and assists the con-
sultants are not held legally accountable for negli- sultant in determining standards of professional
gence of the consultee (Remley & Herlihy, 2007). conduct.
Howev Consultants need a personal and professional
growth orientation based on a healthy and honest
he old adage “An ounce ofpre- self-awareness. Knowledge of one’s limitations and
a pound ofcure” could not be truer abilities as a person and as a professional enhances a
vention is worth
to avoiding legal entanglements. consultant’s ability to make the correct decision
when it comes
concerning whether a given consultation service

should be undertaken in the first place. Consultants
can participate in professional development activities
that review the law as it relates to their profession
(Rowley & MacDonald, 2001).
Consultants should do well each of the things
their
profession’ demands of them:
a
edure.
SUMMARY
This chapter has presented an introduction to the clients, and consultation in groups. Most legal issues
closely related ethical, professional, and legal issues that consultants encounter concern malpractice.
that pertain to consultation in the human service Consultants can maintain a sense of ethical and pro-
professions. The complexity of consultation in- fessional responsibility and avoid legal entangle-
creases the complexity of the ethical issues consul- ments by being committed to their own personal
tants face in their work. Consultants can maintain and professional growth. Finally, for consultants to
professional standards by being aware of issues in- be more confident in their ethical behavior, more
volving values, competence, training, the consulta- specific ethics codes and more deliberate training of
tion relationship, the nghts of consultees and their consultants in ethical decision making are needed.
# Strictly adhere to the ethical code of your # Avoid legal entanglements by documenting all
profession. procedures you employ and by rigorously ad-
# Seek out consultation from trusted colleagues hering to your profession’s ethical code.
when you are in doubt about how to proceed # = =Only consult in areas in which you have
in consultation or collaboration. expertise.
1. If ethical guidelines are by definition general in 3. As a consultant-in-training, how would you

nature, how can consultants apply them in want to be trained in ethical decision making?
specific situations? 4. To what degree do consultants require specific
i) To what degree do you agree that ethics codes training to consult in a given area?
of most human service organizations are cul- 5. What are the consultant’s professional and
turally biased? Explain your position. ethical obligations to the consultee?
What are the consultant’s professional and what information would you want to know to
ethical obligations to the consultee’s client? determine whether malpractice had occurred?
In what ways are consultants most likely to How can there ever be a code of ethics for
violate the nghts of their consultees during consultants when there are so many differ-
consultation? ent professional groups whose members per-
How does a consultant go about developing a form consultation as one of their primary
personal and professional growth orientation? functions?
o. If you were a judge in a court of law and a

consultant was being sued for malpractice,
I hope you are interested in learning more about “Values and the Helping Relationship,” provides
the ethical, professional, and legal issues that affect excellent information that consultants can extrapo-
late and apply to their practices. Chapter 4,
consultants. I strongly recommend the following
“Multicultural Perspectives and Diversity Issues”;
readings for study and reflection:
Chapter 6, “Confidentiality: Ethical and Legal
Issues”; and Chapter 7, “Managing Boundaries and
APA. (1990). APA Guidelines for providers ofpsychological Multiple Relationships” all present important in-
services to ethnic, linguistic, and culturally diverse popula- formation that consultants can use in developing
tions. Although close to two decades old, these their own standards of conduct.
guidelines provide excellent information consultants Swenson, L. C. (1997). Psychology and law (2nd ed.).
can use to ensure culturally competent practice. The
Pacific Grove, CA: Brooks/Cole. This thorough
guidelines are available at http://www.apa.org/pi/ text provides a broad coverage of a variety oflegal
oema/guide.html.
issues practicing human service professionals en-
Corey, G., Corey, M.S., and Callanan, P. (2007). Issues counter. Part 2 of the text, “Practice and
and ethics in the helping professions (7th ed.). Pacific Malpractice,” provides four chapters from which
Grove, CA: Brooks/Cole. This book provides a practicing consultants can extrapolate and apply
wealth of information for professionals and students material to consultation situations. This text puts
in any of the human service professions. Ethics and consultants into the world of legal realities, a world
issues specifically related to consultation are given far different than that in which most of us practice.
adequate coverage, and the authors’ ideas on several Swenson’s point that satisfied consumers rarely sue is
issues have relevance for consultants. Chapter 3, well taken.
HK
The Pragmatic Issues

of Working within
an Organization
if here are a variety ofissues and forces that you will encounter in your prac-
tice of consultation and collaboration. All consultation occurs in some orga-
nizational context which contains complex forces that affect, for better or worse,
the consultation process (Lewis et al., 2003; Truscott et al., 2000). This chapter
provides the working knowledge of the pragmatic issues related to providing
consultation in an organization. Because consultation is one way to help organi-
zations change so that they can function more effectively, consultants need to
know what organizations are; how they develop, grow stagnant, and change;
and what the connection is between an organization’s individuals and its ability
to meet its goals and objectives. Knowledge of organizations also helps consul-
tants better understand their consultees’ position in an organizational context.
As you read this chapter, keep the following questions in mind:
1. How can you cope with the time constraints imposed upon you by the
structure and culture of the organization for which you are consulting?
NO If organizations are so complex, how can a consultant or group of consul-
tants accomplish real changes in them?
How are organizations like live organisms?
What factors are involved in organizational change?
How does organizational culture affect the behavior of individuals within
the organization?
154
CHAPTER 8 THE PRAGMATIC ISSUES OF WORKING WITHIN AN ORGANIZATION 155
An organization is a complex social system that

interacts with its environment and is, therefore,
subject to influences from without and within. It is
INTRODUCTION
ese forces and structures include organiza- Consider this situation:

tion climate, the administration’s view of con-
sultation and collaboration, and the organization’s Case Example
authority, decision-making structure, and communi-
In your job as chief administrator of a large human
cation structures (Forman, 1995). This awareness 1s
“service agency, you notice an excessive turnover
essential as consultants “must be able to conceptual- ‘rate in two of your organization’s six departments.
ize problems and interventions from an organiza- You have made several unsuccessful attempts to
tional perspective and utilize information about rectify the problem; you know what is wrong,
organizational processes in their consultation activi- but you don’t know how to fix it. As a last resort,
ties with agencies and organizations” (IIlback & Zins, you decide to call in a consultant. In preparing for
the first meeting with the consultant, what exactly
1993, p- 87):
would you tell him or her about your organization,
Both school-based and community-based con- the people in it, the problem, and the solutions
sultants are increasingly being called on to engage in you've tried? Where would you suggest the consul-
_organizational consultation and need to take into ac- tant begin to try to help? If you were the consultant
count the organizational context of consultation, as in this situation, what information would you want
to know? What values and biases about “how to fix
- wellas consultation theory and practice, so as to max-
things” would you bring into the consultation
‘imize the probability of being successful (Illback & setting? Which personnel would you want to inter-
* Zins, 1993; Knoff, 1995). This is particularly true view? How would you go about solving the prob-
with school-based consultants. As a result, school- lem? How would you know whether consultation
based consultants will want to be familiar with orga- had been successful? The answers to these and
nizational change processes so that the programs they many other important questions depend on how
into the school well you (the consultant) and the human service
assist. can be fully integrated
agency’s administrator understand the nature of
(McDougal, Clonan, & Martens, 2000). Further, hu- organizations.
man service consultants must be versed in the nature Organizations of all kinds abound in our soci-
of organizations and must be skilled in working with ety: schools, businesses, human service agencies,
them. For example, Kelly (1993) noted long ago that and industries. People organize because they think
it is the best way to reach their goals. :
mental health consultants are subject to the forces of
the environment in which they consult, but their
An organization has the following: cooperation

among many individuals, certain common goals, a
division of labor, and a hierarchy of authority workers are less skilled than those of previous gen-
(Jerrell & Jerrell, 1981). Organizations can be de- erations, and women and minorities continue to
"fined in terms of what they do, how they are set up, make up avery large proportion of the workforce.
and what their goals are. Management is a specialty Issues in the workplace in the 1990s (Luke, 1993)
task in organizations that helps them meet those that are continuing include those related to depen-
goals. dent care, substance abuse, AIDS, women at work,
stress (e.g., violence in the workplace), advances in
' technology
gy, the creation of a “flat world,” a re-
ample, some baein service organizations are criti- alignment of the world’s economy, and cultural di-
cized for valuing rules and regulations more than versity. The effects of catastrophic events such as
the clients they serve. An organization’s values September 11 and Hurricane Katrina have tested
and behaviors become quite evident when it must the way our society goes about its business by mak-
face several constantly changi lles ing the incomprehensible comprehensible.
In addition to societal changes, organizations
themselves are changing. Organizations, including
human service organizations, have been going
Organization development consultation at- through several changes (Burke, 1993). Organi-
tempts to explain the whats, hows, and whys of zations have been experiencing change at an in-
organizations and to help them increase their effec-
tiveness. When a consultant goes into an organiza-
tion, the first step is to develop a basic definition of
the organization. The theoretical frame of reference
with which the consultant enters the organization
determines what the consultant sees. The consultant
defines the organization by performing an assess-
ment to clarify its basic nature. Consultants usually
have training in one of the four components of
organizations—environment, people, — structure,
and process—but consultants also need a general
perspective on organizations to be able to compare
one with another. agers of organizations and agencies have moved
from being unaware of organizational change con-
cepts to being quite familiar with them. The chal-
lenge to consultants is to make sure that managers
RECENT CHANGES and others are capable of acting on their awareness
of the meaning of terms such as “vision,” “ organi-
IN SOCIETY AND
zational culture,” and so forth.
ORGANIZATIONS There is a greater competition among all types
of organizations (Beer & Walton, 1990), i
» Some understanding of recent changes in society human service organization
-and organizations provides consultants a framework
for being more effective in assisting the orga-
nizations with which they consult. In the new mil-
lennium, basic societal change has affected new
workers: There has been a diminishing percentage he atrocity of September u and the ‘iasedy
of young people entering the work force, new at Virginia Tech have changed the nature of the
workplace in terms of dealing with terrorist threats cohesiveness to minimize the psychological impact
or attacks and tragic events (Knotek, 2006; related to a trauma in the workplace (McCarroll &
McCarroll & Ursano, 2006; Stock, 2007). Uranus, 2006), and conduct post-crisis audits
(Simola, 2005).
Implications for Consultants. Because many of these organizational needs
are related to the human factor, human service con-
sultants will find themselves increasingly involved in
{ : noes.
eee work with business and industry as well as the tra-
tions are likely’to want help in the following areas ditional areas of public and nonprofit organizations.
that impact organizational culture and climate: fo- Education/training consultation will be in demand
cusing more on the human side of management, because so many organizational needs relate to
resolving the human resource problems caused by maximizing the talents of personnel (Goldstein & _
mergers and acquisitions, and providing training in Gilliam, 1990). they will be
effective communication regarding the impact of
change (Offermann & Gowing, 1990). Organiza-
tions are also likely to need consultants in the fol-
lowing areas related to maintaining organizational
productivity: optimizing organizational structure,
restructuring the nature of work toward increased Zins, 1993). Consultees are increasingly open to
use of team approaches, maximizing the use of collaborative, qualitative organizational consultation
technology, creating effective work environments, methods (Truscott et al., 2000).
improving services and products (Offermann &
THE INFLUENCE OF
ORGANIZATIONAL THEORY
2 (Turnage, 1990). The increased
competitiveness among organizations will require Consultants develop a broad perspective on the na-
that consultants help managers become more effec- ture of organizational forces by considering each
‘tive in the following areas: taking the leadership in organization with which they work relative to
accomplishing needed changes through better use some organizational theory. The consultant’s orga-
of the skills of empowering others, envisioning de- nizational theory is the glue that holds together
sired outcomes, providing resources, and modeling events into a meaning
desired practices (Beer & Walton, 1990). Increases
in workplace violence as well as the increased pos-
sibility of terrorist attacks and natural disasters have
created a need for consultants who can assess the
risk of workplace violence, review and update crisis
,management plans, work with members of the or-
ganization’s crisis management team and others to * é a: : . § rn
‘prepare for violence when it occurs (Stock, 2007), ‘the theory on whichan organization is based affects
as well as provide consultative services during crises the way processes such as consultation and collabo-
and disasters (Halpern & Tramontin, 2007; ration are performed.
examples, consul- Historicall
McCarroll & Ursano, 2006). As
tants can work with organizations to develop or
improve crisis management plans, increase social
within them. Because they attempt to explain these According to this bureaucratic theory, organi-
complex entities and how they are best designed, zations were meant to be efficient, effective, and
most theories must simplify organizations; how this equitable. However, the potentially counterpro-
is accomplished depends on which factors are con- ductive elements in this model can lead to red
sidered relevant. (A comprehensive coverage of dif- tape, rigidity, apathy, and resistance to change.
ferent organizational theories is beyond the scope of
this text; interested readers can gain in-depth infor- Implications for Consultants. Consultants en-
mation from such classic books as The Social countering an organization emphasizing bureau-
Psychology of Organizations [Katz & Kahn, 1990].) cratic values will want to be sensitive to the lines
The following overview oftwo organizational the- of authority, the dedication to the written word,
ories highlights the different perspectives from and the importance of rules and regulations. They
which organizations can be studied. I particularly should be on the lookout for apathy/morale issues,
believe that a view of the bureaucratic model and views of leadership among the organization mem-
the systems model provide a contrast for consultants bers, concern over confidentiality, and the nature of
to consider as they analyze organizations. the informal power structure.
Before the turn of the century, organizations The classical models of organizational theory,
were considered individual entities such as church, such as the bureaucratic model, emphasize speciali-
government, and so forth. With the nse ofcapitalism zation of tasks, standardized role performance, uni-
in the late 19th century, organizations came to be formity of function, and avoidance of duplication
viewed as a “class of collectivities” (French & Bell, (Katz & Kahn, 1990). These models are inadequate
1999). The classical model of organizations came into in that they do not provide for interaction between
vogue near the beginning of the 20th century and the organization and its environment and thus deny
was epitomized by Max Weber’s model of bureau- the organization a means to change (Katz & Kahn,
cracy (Katz & Kahn, 1990). This model is considered 190
a “machine” theory. Machine theory is a generic term
that implies that each organization is built according
to the blueprint derived from its purpose, just as each Open Systems Organizational Theory
machine is built according to a set of specifications One of the most popular models of organizational
(Katz & Kahn, 1990). theory is systems theory, which provides a broadly
based perspective on organizations developed from
attempts to understand biological events (Adelman
The
Bureaucratic Model
& Taylor, 2007; Curtis & Stollar, 2002; Kurpius
Weber designed the bureaucratic model as the ideal et al., 1993). Systems theory is integral to the con-
of organizational effectiveness. Its principles, which sultation-related activities of community psycholo-
are “means to ends” in nature, emphasize the struc- gists and is becoming increasingly popular with
ture of the organization over the human element other human service professionals (Harrison &
(Harrison & Shirom, 1999). Rules and regulations Shirom, 1999; Juras, Mackin, Curtis, & Foster-
are important and proyide order and continuity. Fishman, 1998; Lewis et al., 2003).
Jobs are analyzed in terms of what is required to A “system” can be defined as “the orderly
do them effectively, and the most highly qualified combination of two or more individuals whose in-
people are placed in them. Communication pat- teraction is intended to produce a desired outcome”
terns are vertical rather than horizontal, with each (Curtis & Stollar, 2002, p. 224). The idea is to under-
unit under the direct control of a higher unit. stand interdependencies, multiple causes, and multi-
Emphasis is placed on the written record, with all ple effects (French & Bell, 1999). In systems theory,
decisions, acts, and regulations written down (Katz & “organizations” can be defined as “dynamic entities
Kahn, 1990). continually interacting with their environment,
energy from other organizations, the material

environment, and people such as consultants.
XS) Energy is transformed as it goes
eroeen the organization. In a human service
When applied to organizations’ and consul- organization, throughput can be service to cli-
‘tants’ behavior in organizations, system theory sug- ents, training of existing personnel, addition of
gests that events impact and are impacted by whatever new staff, and so forth.
transpires. There are two types of systems: closed and w
. The organization exports some

product into the environment, such as some
new service to the client system.
s “Organizations have an
input-throughput-output cycle; the output
ro the e1 1 rganizations can product supplied to the environment provides
be viewed as open systems (renich & Bell, 1999). energy for repetition of the cycle.
Open systems have an input-throughput-output
mechanism. These three systems must work well to- process of all organisms toward death or dis-
gether for an organization to work effectively. organization. Organizations can arrest this en-
The systems view of organizations identifies tropy by importing more energy than they
four components: a framework (pattern of activi- expend. This process of energy storage 1s called
ties), goals, methods negative entropy.
ax fafermenon input can give a organi-

ee are not Rete AS entities, but in-
zation signals about the environment and the
stead are subject to internal and external influences
organization’s relationship to it. One type of
(Curtis & Stollar, 2002). Systems theory considers
information input is negative feedback, which
the organization to be a totality, and it directly ex-
allows the organization to stay on its chosen
amines the interrelationships among an organiza-
course or, if necessary, change course. The re-
tion’s subsystems and between the organization
ception of inputs into the organization is se-
“and its environ
lective; that is, the organization can attend to
only so many inputs, and those inputs are the
only ones among many that the organization
Soll! 2002). The SEeny pesvoune is helpful in tunes in. This selective mechanism is called
conceptualizing the multidimensional parts of a sys-
coding, and the coding procedures of an or-
tem as an integrated whole and it assumes that an
ganization are determined by its functions. (For
organization is more than the sum of its parts.
example, if a mental health center learns that
- Organizations (and the people within them) are
the community would fund a dropout pre-
‘seen as adaptive and as social systems operating
vention program, it might make plans to de-
within larger environments (French & Bell, 1999).
velop and implement such a program.)
Characteristics of Systems. When viewed as
open systems, organizations have nine characteris- importation of energy can maintain constancy
tics (Henning-Stout, 1993): s Fe
in the flow of energy such that an organization
rik “portation of is characterized by a steady state. Dynamic
ene. No social structure is aie
homeostasis refers to the basic preservation
sufficient: the organization must draw new of the system’s character. In preserving its
character, the organization must import more organizations are the clients they serve. (More pre-
energy than it exports. In adapting to its envi- cisely stated, the product of human service agencies
ronment, an organization moves toward as- s “better” people.) The technological subsystem is
similating the external resources considered _responsible for the input-throughput-output cycle.
necessary for survival. Hence, organizations
attempt to grow both quantitatively and qual-
itatively over time.
rganizations move in the di- ® For example a WSR might seek
rection of differentiation and elaboration: roles ‘funding (procurement of inputs) for a counseling
within the organization become specialized and program for learning-disabled college students.
the number of such roles tends to increase. (For Upon termination of the program, a written report
example, a mental health center might differ- ‘issubmitted to the funding agency (disposal of out-
entiate from a single team to a crisis- puts), and the program is widely publicized to attract
intervention team, a substance-abuse team, and students and strengthen its public image (mainte-
any number of other specialized teams.) nance of a favorable environment).
o Equifinality. The principle of equifinality pro-
poses that organizations can reach the same end
s. It is not concerned with the material being
by different means: this is the “there’s-
worked on (typically the client system in human ser-
more-than-one-way-to-skin-a-cat”’ principle.
vice organizations), but rather with the equipment
(For example, a single human service organi-
used to get the work done. In human service
zation might use any of several methods to
organizations, this concern relates to getting people
_ improve its public relations image.)
who work for the organization into their proper
Subsystems within the Organization. The sub- roles: patterned human behavior. This subsystem
systems of an organization are integrated by means integrates people into the system through recruit-
of the norms, roles, and values present within the ment, socialization, training, rewarding, and sanc-
system. Role behavior is sanction tioning, and it is concerned with input with respect
are justified by values. | to maintenance (for example, recruitment of
personnel). 5
é aC Kahn, 1990):
pecifically con-
# the technological or production subsystem cerned wit sensing and interpreting important
# the support subsystem changes in the external environment. Functions
such as long-range planning, research and develop-
# the maintenance subsystem
ment, and market research are part of the adaptive
= the adaptive subsystem subsystem.
# the managerial
g subsystem
y
adjusts the total system to its environment. There

are two major types of managerial eae regu-
pre mechan
ing center, the airect delivery of services to the
client system—the throughput—constitutes the
technological subsystem. Organizations are often
classified according to the type of product they . In a human service or-
provide, and the products of human_ service ganization, a follow-up study of clients’ perceived
benefits from the organization would be an exam- totally unaware of what the staff in other areas was
ple of a regulatory mechanism. doing and planning, even though they would be af-
Organizations must have a defined and established fected by those decisions.
Implications for Consultants. Because of the cur-

“rent popularity of the systems view, I have provided pace & Bell, 1999; bee 1993),
extensive coverage of the implications of this perspec- field of community psychology has added the addi-
tive. O’Neill and Trickett (1982, pp. 4-5) have tional element of the community as a part of the
pointed out six implications that still hold today for system in which organizations exist (Kloos et al.,
consultants taking on a systems view of organizations: 1998). The community is viewed as both a possible
target for consultation and collaboration as well as a
_® Consultation is an activity designed to inter-
force impacting the organization (Lewis et al., 2003).
vene in the social context.
= An important source of knowledge is under- ¢ re in the muicrosyst , the closest
standing the social context where consultation social elements of the defined clien system)
is occurring. (i.e., the near but not immediate influences,
#® Cultural and institutional diversity is a posi- such as the general influence of family and friends),
tively valued fact of life for the consultant. i.e., the most remote factors, such
as — iceal syaR TOS see Kurpius et al.,
# Consultation interventions should be matched 1993, pp. 416-417). Conceptualizing at these levels
to the organization within which consultation permits the consultant to design interventions at
occurs. multiple levels. Effective consultants using systems
# Priority should be given to predicting the side theory will take into account the relationships be-
effects of consultation. tween the problem at hand and systems variables.
s Interventions should be designed in such a way The interaction between the client system and the
that the organization’s resources are managed environmental context (i.e., the various systems le-
and preserved. vels) will be assessed in consultation.
In addition, just as each person is unique and

special, so too is every system (Curtis & Stollar,
2002). Consultants need to take a fresh perspective
each time they enter a new consultation setting. pee el the
m As a = we this perspective, the use of train-

ing in problem-solving activities for consultees is
(McLean, 2006). Furthermore, because the effects strongly encouraged.
of consultation can go far beyond those intended, Now that we have examined the bureaucratic
consultants should ensure that communication flows and systems theories of organizations, it should be
smoothly and accurately throughout the subsystems clear that when consultants enter an organization,
of an organization. You no doubt have heard horror they regard it and analyze it based on some theory
stories about organizations such as schools or mental of organizations. Whether you realize it or not, you
health centers in which the staff in one area was have your own theory of organizations. The more
you are aware of it, the more you will know what
you are looking for and also what you are likely to
overlook; you will also be in a better position to un-
derstand how your consultees view their organiza- Thus, any proposed changes are presumed to be
tions and the concomitant implications this has for congruent with the self-interests of the organization
your consultation. .and its members. Because the organization and its
Will you see the organization relative to the members are presumably rational and motivated by
bureaucratic theory and assume that the members self-interest, changes will be adopted only if they
of the organization need to be controlled by certain can be rationally justified and gains are evident. In
highly regulated structures? Will you adopt the
position of the systems theorists and look at the
interdependencies and _ interrelationships among s credibility is based on scientific research
the organization’s subsystems to understand the or- and the process of educatin
ganization? Whatever questions you ask, the variety
of organizational theories available to consultants
suggests that consultants should take a flexible
view in analyzing organizations. Change involves a shift
those attitudes and values away from old patterns
and a commitment to new patterns. This approach
views people as social by nature; their shifts in emo-
ORGANIZATIONAL CHANGE tion about something will bring about change. This
position holds that change is not only intellectual; it
Consultants, both internal and external, frequently also involves feelings and attitudes.
help organizations change. The following discussions
incorporate current thinking about effective organi-
zations and the principles of organizational change. is approach relies on the
use of political, economic, and moral sanctions in
the exercise of power; it assumes that externally
Approaches to Change
based sanctions are necessary for change to occur.
Most consultant activities related to organizational
change involve the normative-reeducative category,
rench & Bell, 1999). Most orga- although some activities may be a combination of
nizations, including schools, are not adept at making normative-reeducative and empirical-rational ap-
changes (Lee, 1993). Depending on how well an or- proaches (French & Bell, 1999).
ganization monitors its internal and external environ- Change can also be examined in terms of the
ments, change may be either well planned or forced source from which the impetus to change comes.
on the organization through a crisis situation. These “power structures” are top-down, bottom-
When an organization senses the need for _ up, and shared (Beer, 1980)
change, it looks for new directions to proceed.
From a philosophical perspective, there are three
views of planned change: the empirical-rational ap- The change that is to occur
proach, the normative-reeducative approach, and can be communicate in the following ways:
the power-coercive approach (Chin & Benne,
1985). Although conceptualized decades ago, these decree (e.g.,, memorandum)
views of change remain current and influential in introduction of technology (e.g., personal
planned change initiatives (French & Bell, 1999). computers)
» replacement (e.g., changing key personnel) levels of the organization defines the problem
= changes in structure (e.g., reorganization of a and implements a solution)
subsystem) Because they typically involve personnel from
Top-down changes are usually unilateral, are throughout the entire organization, shared ap-
usually introduced rapidly, and involve only a few proaches to change are usually slow; and because
key, top-level administrators in the decision- so many people are involved, ownership of changes
making process. is usually strong (Lippitt, 1993).
The Nature of Organizational Change

Change is a part of the daily routine of any organiza-
tion; it can be precipitated by internal or extern
Bottom-up change can occur in the fol-
lowing contexts:
= training sessions (e.g., team building)
= staff groups (e.g., peer teaching and training in
different managerial approaches) essure to change can be strong
= experimental units (e.g., groups designed to and can demand great adaptability from an organiza-
take services to locations near the residences of tion. Nonprofit organizations frequently have a more
the client systems’ members). difficult time coping with and planning for change
because they are not necessarily subject to the
In the bottom-up approach, leadership in the
same marketplace forces that act on for-profit
organization relinquishes significant amounts of
organizations.
power a
Organizations are subject to the following
changes occurring in our society (Backer &
Porterfield, 1998): the pace of change has increased;
an increasing amount of change involves diminishing
Been
resources, thus necessitating reactions such as down-
sizing; and the nature of change itself is changing all
1980). The shared approach to change can involve
of the time. Efforts to achieve change must be re-
the following (Beer, 1980):
sponsive to organization—environmental interfaces;
= iterative communication (e.g., a top-level ad- it is no longer practical to improve internal effective-
ministrator defines the problem and assigns staff ness without explicit attention to the relationship be-
to gather data and develop solutions; the pro- tween an organization and its environm
cess is reviewed frequently by members
throughout the organization)
# decision-making task forces (e.g., top leader-
ship defines the problem and the parameters o
the solution but has the task force generate = There must be a sufficiently high level of dis-
solutions; top leadership then makes the fina satisfaction us quo to mobilize
~ 7 7
selection of the naost appropriate solution) ‘ toward some change.
# diagnostic and problem-solving task forces a Leaders must have some vision of the desired
(e.g., a group composed of individuals from result of change.
DEALING WITH
ORGANIZATIONAL CULTURE
Burke (1993) points out that attempts to change Organizational culture has a large impact on individ-
organizations should aim for change in the following ual and group behavior (Schein, 2004). Although the
areas in the presented order: behavior, attitudes, and term “organizational culture” is not well-defined,
values. Behavior change leads to change in attitudes the concept is important for consultants to be aware
which can, in turn, change culture. of in terms of designing and implementing successful
strategies (Schein, 1990b; 2004). The forces in an
Implications for Consultants. Human service organization that are derived from its culture are
consultants in any setting generally consult with the powerful. Members of the organization need to un-
purpose of achieving change in an organization (or in derstand them so that can adequately deal with them
an individual or group within that organization). (Schein, 2004). I have dedicated extensive coverage
Clearly, to be most effective, consultants must be to organizational culture because of its potential to
familiar with many models for conceptualizing orga- significantly impact the behavior and effectiveness of
‘nizational change and understand how change is an organization.
viewed in the organization in which they are con- “Culture” can be defined as. a pattern, of
sulting (Fuqua & Kurpius, 1993). Consultants are shared basic assumptions that was learned by a
well-advised to buy into the method of change typi- group as it solved its problems of external adapta-
cally used by the organization prior to recommend- tion and internal regulation, that has worked well
ing or implementing their own views. enough to be considered valid and therefore, to be
taught to new members as the correct way to per-
ceive, think, and feel in relation to those problems”’
(Schein, 2004, p. 17)
organizations have the following cultural attributes:

example, consultants can use learning diagnosis, uniqueness in their philosophy, a focus by manage-
which involves organizational members in the diag- ment on maintaining the philosophy, deliberate at-
nostic process and assists them in acquiring the tempts to integrate the philosophy throughout the
“willingness, skills, and ability to discuss the undis- organization, and involvement by all staff in com-
cussable” (Beer & Spector, 1993, p. 644) while tai- municating and reinforcing an organization-wide
loring the diagnosis to the strategic tasks of the view of events and decisions (Lundberg, 1993).
organization.
Finally, consultants will need to develop an op-
erational view of organizational effectiveness
(Radley & Mendoza, 1993) which can help the Harrison & Shirom, 1999). For example, 1
consultant and consultee develop a framework for school-based human service professionals are ex-
effective change. By using such activities, consul- pected to have large caseloads, then there will be
tants will better understand the change process limited time available for consultation and collabo-
within an organization and can thereby minimize ration (Bramlett & Murphy, 1998). Clearly, consul-
resistance and enhance the probability that their ef- tants need to have a sense of how an organization
forts will be successful. defines itself in terms of its culture. In addition,
regarding the underlying dimensions of organizational

culture and their underlying assumptions.
1989). For example, school teachers may have a Implications for Consultants. By having the
different organizational culture than school admin- skills to understand an organization’s culture,
istrators. Consider the situation in which you are a consultants are better able to get a feel for an orga-
consultant asked to conduct a professional develop- nization’s history, current behavior, and future as-
ment experience for junior high school teachers on pirations (Schein, 1990b, 1999; 2004), which will
the characteristics of the middle school child. help them determine how to select the best inter-
Although the administrative unit sees this as an 1m- ventions. By understanding an organization’s cul-
portant step in moving the school toward a middle ture, consultants will be better able to help the or-
school concept, the teachers might see the training ganization deal with the sets of problems with
as another unnecessary imposition on valuable time which organizations most often need assistance:
and another set of expectations without any subse- dealing with its environment and internally inte-
quent reward. You can readily see that the inter- grating daily functions and the abil
vention would not likely be successful without the (Schei
consultant’s understanding of how the two units
within the school tend to view the use of the con-
sultant’s training.
What does a consultant look for when attempting - For example, they can promote their consul-
to understand an organization’s culture? According to tation and collaboration services in the framework
Schein (1990b; 2004), culture manifests itself in terms of “how things are done” and fitting these services
of the interaction of artifacts, values, and basic under- into the routines of the organization (Welch, 2000).
lying assumptions In addition, they and their consultees might well
attain a better understanding of the behavior of
the organization, which can be linked to effective
onsultants may intervene at change within the organization. Knowledge of cul-
this level by helping the organization reorganize the ture is essential when consultants are asked to help
way people problem solve (e.g., by setting up quali clarify individual roles within the organization, re-
circles). structure for accommodating change, develop the
management function within the organization
at this level by conducting team building exercises (Lewis, Lewis, & Souflee, 1991), and understand
among various subgroups within an organization how contextual variables shape behavior within
the organization (Kuh, 1993; Schein, 2004).
basic implication for consultants is that inter-

ISSUES IN ORGANIZATION
action with members of the organization is essential to
get to these assumptions. Another implication 1s that ASSESSMENT
getting to the underlying assumptions of the organiza-
tion can assist the consultant in suggesting the nght Organizations offer challenging issues to consultants
type of interventions. Consultants can intervene at regarding assessment.
this level through leading exploratory groups in which
consultants raise focused questions and consultees vol- rther, there are limite
unteer to analyze their deep-seated views of the orga- struments for assessing organizations. When looking
nization. Table 8.1 summarizes Schein’s (1990b) ideas at assessment of organizations, consultants need to
TABLE 8.1. Some Underlying Dimensions of Organization Culture
DIMENSION QUESTIONS TO BE ANSWERED
The organization’s relationship to its environment Does the organization perceive itself to be dominant, submis-
sive, harmonizing, searching out a niche?
The nature of human activity Is the correct way for humans to behave to be dominant/
proactive, harmonizing, or passive/fatalistic?
The nature of reality and truth How do we define what is true and false, and how is truth
ultimately determined in both the physical and the social world—
by pragmatic test, reliance on wisdom, or social consensus?
The nature of time What is our basic orientation in terms of past, present, and
future, and what kinds of time units are most relevant for the
conduct of daily affairs?
The nature of human nature Are humans basically good, neutral, or evil, and is human nature
perfectible or fixed?
The nature of human relationships What is the “correct” way for people to relate to each other, to
distribute power and affection? Is life competitive or coopera-
tive? Is it best to organize society on the basis of individualism or
group mind? Is the best authority system autocratic/paternalistic
or collegial/participative?
Homogeneity versus diversity Is the group best off if it is highly diverse or highly
homogeneous, and should individuals in a group be encouraged
to innovate or conform?
Source: From Schein, E. H., Organizational Culture and Leadership: A Dynamic View, Table 3, p. 86. Copyright 1985 by Jossey-Bass, Inc.,
Publishers. This material was used with permission of John Wiley & Sons. :
avoid the usual perspective used to assess an indi- accurate. For example, it may be more effective
vidual because organizational factors are more com- to analyze the interaction between the model of
discipline used in a school and the school’s admin-
istrative unit, instead of focusing only on one or the
other.
uqua, Newman, Implications for Consultants. Consultants will

& Dickman, 1999). What is needed for effective need to be well-grounded in organizational theory
assessment by organizational consultants is an inte- and a nal consultation.
grated, theory-based model with well-defined and
evidenced-based constructs (Fuqua et al., 1999).
(Beer & Spector, 1993). Consultants will want to
avoid interpreting individual data in group terms
ssessment must try to capture the dynamic and vice versa (Fuqua et al., 1999). Consultants
interactive factors of an organization to be most can effectively use both objective measures (e.g
“Ss
the number ofin-school suspensions) and subjective portunities for all employees, creating working con-
measures (e.g., teachers’ perceptions of the efficacy ditions conducive to the needs ofall eniployees, and
of in-school suspensions) as well as qualitative and monitoring the change process related to cultural is-
quantitative measures (Fuqua et al., 1999). sues (Hogan, 2007; Washburn, Manley, & Holiwski,
2003). As Lum (2007) notes about cultural compe-
tence in organizations, “workers are trained in the
skills necessary for diversity sensitive practice, and
THE CULTURALLY SENSITIVE
multicultural awareness and functioning are pro-
ORGANIZATION moted in organizational structure and program deliv-
ery” (p. 9). Lum notes further that culturally compe-
As the changing demographics of our society have tent organizations “‘value diversity, have the capacity
reached the workplace, the need for diversity aware- for cultural self-assessment, be conscious of the dy-
ness and skill has grown. We are beyond looking at namics of cultural interaction, institutionalize cul-
diversity in organizations in terms of legal compli- tural knowledge, and develop programs and services
ance and human nghts protection and seeing it as a that promote diversity between and within cultures”
value-added opportunity to maximize the potential (p. 11). Manageinent, of course, plays a major part
of the organization (Cox, 2001; Hoffman, 2006). As in developing and maintaining a culturally respon-
Hogan (2007) notes: “Cultural awareness, coupled sive organization. There are models ot diversity
with the skills needed to interact successfully with management (e.g., Arredondo, 1996) that attempt
people of diverse cultural backgrounds living and to develop the organization in a diversity-sensitive
working in the same place, is called diversity compe- manner while encouraging organizational-level
tence, cultural competence, or cultural diversity competence” change and emplo
(p. 1). Hogan goes on to note that “Culturally com-
petent organizations have congruent structures, pol-
icies, programs, protocols, and processes that enable
the entire system_t urally diverse ere 1s some empir-
ical evidence that organizations with multiculturally
competent mission statements and multicultural
training tend to have employees who perceive them-
hese organizations have a sense of open- selves to be multiculturally competent (Darnell &
mindedness and a commitment to continuous learn- Kupermine, 2006).
ing (Arredondo, 1996). Culturally competent orga-
nizations have the ability to identify the organiza-
tion’s needs; increase awareness, understanding and
skills of all employees; implement a strategic plan; TIME CONSTRAINTS
effectively monitor progress in becoming a strategic
organization (Hogan, 2007); and allow for how di- One of the biggest issues you will face in work as a
versity can impact services such as coaching (Thomas, consultant or collaborator is finding the time to
2006). Fro ization’s perspec- perform it adequately (Bramlett & Murphy, 1998;
Gottlieb, 2006; Noell & Witt, 1998). Whether you
work in a school, a clinic or agency, or a business
and industry setting, you will be challenged to cope
Diversity competence is promoted in organiza- with time constraints. Part of the time constraint
tions by maintaining atvareness of cultural awareness issue involves the mindset by many consultees that
throughout the organization, recruiting culturally di- consultants are professionals to whom a problem
is given to be fixed. In this mindset, consultees
verse employees, providing career development op-
CASE 8.1 Organizational Concepts for School Consultants
Sharon is a school-based consultant who has trans- Sharon was very used to the middle school con-
ferred to an elementary school after 15 years of work- cept. What she found out as she began developing her
ing in a middle school. The central office of the school project shocked her; she would have to. be careful not
system has recently mandated that each school must to let her own values about how the school should be
develop a wellness program for its staff and students run interfere with her project and her attitude toward
within the first 9 weeks of school. Sharon's principal the principal. Sharon sensed that the values of the
has assigned her the task of designing the program. teaching staff were basically those related to a hu-
Because Sharon is new to the school, she decides that manistic view of education, whereas the administra-
she must carefully do her “homework” to design an tion valued “getting the job done.” A deeper underly-
effective program. It’s an opportunity for her to learn ing assumption appeared to be “the administrators are
about her new work environment and get a project the bosses, let them do their thing, but don’t let them
done at the same time. Yet Sharon is disconcerted by get in the way of our doing our thing.” “Like two ships
the nagging question of why the principal would give passing in the night and not noticing each other,”
a new staff person a project like this. thought Sharon.
As Sharon began to familiarize herself with stu- The wellness program would mean some changes,
dents, staff, and the physical plant of the school, she which in this school meant in a somewhat autocratic
found out many interesting things. The school was run “top-down” manner. She also noted that the informal
in a very businesslike manner. Sharon was expected to power structure of the school supplemented the prin-
develop her proposal and send it directly to the principal’s authority and got things done in a less legalistic
cipal without discussing it with anyone. She was to and more personal manner. In reflecting on how to
schedule a weekly 15-minute appointment with the proceed with developing her proposal, Sharon made a
principal in his office to update him on her progress. list of as many of the school’s organizational charac-
She found out that rules and regulations were of par- teristics as she could come up with and then looked at
amount importance to the principal. Staff had to sign them in terms of force-field analysis.
in and out of school, and a high priority was put on
keeping detailed records. Teachers appeared to be very Commentary
friendly with one another, and the “informal power As experienced consultants will tell you, there is more
structure” of the school kept up the morale of teachers to organizational change than appears on the surface.
and staff alike. It was obvious to Sharon that there was Wisely, Sharon took the time to analyze the organiza-
a rather large communication gap between the faculty tional context in which her project was to take shape.
and administration. The principal was highly respected She further had the insight to look at the development
yet seen as overly concerned with the mechanics of of her project in terms of both the formal and informal
running the school at the expense of its “human side.” power structures in the school, thus increasing the
The students dreaded going to his office but typically chances of having a “politically correct” yet “user
liked their teachers. friendly” program. Notice her attempt to creatively use
Sharon felt the principal gave her the job because a force-field analysis of her school’s characteristics to
of her qualifications and because he didn’t want to guide her planning. This case clearly illustrates the
take time away from any teacher’s instructional obli- importance of consultants being aware of the organi-
gations. To the principal, the teachers’ job was to zational forces that impact their practice and the im-
teach. Similarly, ancillary personnel like Sharon were to portance of taking these forces into consideration in
do ancillary tasks. their attempts to be of service.
frequently see themselves functioning mainly as re- intervention that should fix the problem. Managers
ferral sources for the consultant. Some managers, often think, “If employees are not motivated, then
for example, do not see their role as collaborating come up with a training application that will get
with the consultant and then implementing the rec- them motivated and then implement it.” Rarely
ommendation, but rather view the consultant as will the consultant hear: “Help me figure out
one who can come up with a traditional training what I can do to help motivate my employees.”
CASE 8.2 Organizational Concepts for Community Consultants
Ward is a counseling psychologist asked by a hospital- director acted as a buffer against the strong bureau-
based hospice program to provide consultation services cratic element of the hospital at large. Both staff and
to its staff. Because the program had been in existence patients concurred that teamwork was important and
only a few years and Ward had limited experiences that interdependence was more valued than
with the hospice staff, he decided to proceed cau- independence.
tiously in developing his consultation for the staff. Part Although they were not espoused as values, the
of his approach was to ensure that he first studied the program seemed to work on the underlying principies
organization in which he was going to consult before that satisfied staff contribute more compassionately to
proceeding further. patient welfare, and that people and love were more
He had been introduced at a staff meeting, and important than rules and regulations. In interviewing
the director of the program had taken Ward around staff, patients, and the patients’ families, Ward deter-
the unit for a day introducing him to the staff mem- mined that changes in the program were based often
bers on an individual basis. Ward then spent three days on a normative-reeducative basis and on a shared ap-
orienting himself to the hospice program. He observed proach involving everyone. Based on what he had
and interacted, paid attention to a variety of aspects of learned about the hospice program, Ward set about to
the program's culture, and noted that the staff dress develop a proposal that would outline a consultation
code was less rigid than that of the rest of the hospital. program suitable for the type of “mini-organization”
He found that families were encouraged to visit their the hospice program seemed to be.
loved ones at any time and were warmly seen by the
staff as participants in the care of their loved ones. Commentary
There was a sense of camaraderie among the staff as Ward, as any perceptive external consultant would,
being special people serving a higher need of society. took the time to analyze the organization in which he
As Ward tried to determine the theoretical nature was going to work. Notice that Ward investigated the
of the problems, he constantly kept in mind the influ- manifestations of the organization’s culture by noting
ence of his lengthy experience as a psychologist in the indicators such as employee dress and attitudes. Ward
military. With this perspective in mind, he noted that also attempted to grasp the “philosophy” of change in
the hospice program was designed with a human rela- the hospice unit in order to make sure that he could
tions approach. The people in the program held fre- minimize resistance to his consultative efforts. Finally,
quent team meetings, program decisions were made notice how Ward attempted to design a program with
through consensus-seeking meetings, and the program the unique characteristics of the organization in mind.
=)
based, as well as external, consultants will need to

take the risk of consulting on the run (for example,
discreetly in the hallway ofa school) and keep ini-
ministrators and tial attempts to establish consultation simple and
supervisors who sanction consultation as a desired time efficient (Bramle ¢ Murphy, 1998).
activity in the organization also legitimatize the use
of time for consultation purposes. In some organi-
zations, the use of consultants is considered a pro-
fessional growth activity that is rewarded during the
annual review process.
An even more critical issue is the severe time
constraints faced in most organizations. Increasingly teachers can be given more time to be consultees
organization members are being asked to do more by being given release time, having teacher aides
with less. This makes time an even more precious assigned to them, and by using some team meeting
commodity in organizations. As a result, school- times for consultation. Another possible method of
dealing with time constraints is to have an “entry engaging in these activities (Thousand et al., 1996).
presentation” at a faculty meeting that orients tea- Ferguson (2006) adds the Adlerian concept of en-
chers to consultation and allows the consultant to couragement and mutual respect as time-tested
begin entry on a group basis (Zins & Curtis, 1984). strategies for expediting motivation (and conse-
Training consultees directly in selected interven- quently effective use of time) on the part of
tions is another effective method of dealing with consultees.
time constraints (Watson & Robinson, 1996).
Indirect ways for finding time to consult and
collaborate include publicly articulating the ratio-
nale for consultation/collaboration, having leader- Rather than leaving
ship participate in these activities, defining staff roles important elements of the process out and using a
to include consultation/collaboration, creating a bare-bones approach, distributing the process out
schedule that allows time for these activities, pro- allows for a quality experience and increases the
viding occasional additional time for these activities probability of a successful outcome.
during the work day, and providing incentives for
SUMMARY
Whether they are internal or external to organiza- think organizational change should occur. Because
tions or in an educational or community setting, the process of change within organizations is very
consultants will need a basic understanding of orga- complex, consultants can use a variety of approaches
nizations to maximize their effectiveness. and many methods to assist organizations in the pro-
How consultants view the broad range of cess. Consultants will want to study an organization’s
organizational theories—from those that emphasize culture to understand it well enough to implement
organizational structure to those that emphasize the change effectively.
human side of organizations—determines how they
# When deciding how to proceed in a consulta- = Have a sense of organizational change proce-
tion or collaboration, consider the culture of dures in the organization in which you are
the organization. delivering services.
= Be able to clearly articulate your view of or-
ganizations as part of your professional devel-
opment as a consultant.
|. Do you think that most members of a typical their organization really operates? Why or why
human service organization could explain how not?
What is organizational theory? tion for the first time, what types of things and
Why is a firm understanding of organizational activities would you look for? How would you
theory important for a consultant? find out more about these things and activities?
Why should a consultant have a “personal” What are some of the ways that the adaptive
theory of organizations that is carried into the subsystem of an organization can monitor its
consultation process? internal and external environments?
How could a consultant teach members of an Which approach to change do you hold to
organization about their own organization? most firmly: the rational-empirical, the
normative-educative, or the power-coercive?
What are the advantages for consultants of the
Why?
systems model of organizational theory?
10. Why is promoting understanding of cultural
You are hired as a consultant to a human ser-
competency in an organization essential?
vices organization. As you enter the organiza-
Schein, E. H. (1990b). Organizational culture. American tional culture. Schein does an excellent job of pro-
Psychologist, 45(2), 109-119. Schein is one of the viding both the theoretical and practical aspects of
leaders in organizational consultation. Although organizational culture as they relate to consultation.
many of the examples in this article relate to busi- Don’t let the date on this article deter you from
ness and industry, human service consultants will reading it.
find a wealth of information related to organiza-
Models of Consultation
N ow that you have studied the process of consultation in general, we will con-
sider some popular models. (Because there are no detailed models of collab-
oration, I will limit discussion of this service to its applications for consultation
models.) Each model of consultation provides a conceptual definition for practice
(Kratochwill & Bergan, 1990). The models of consultation we will cover have the
common characteristics and assumptions of all consultation (Gutkin & Curtis,
1999). These were covered in Chapter 1. All models of consultation can help con-
sultees deal with a work-related concern through a problem-solving process
(Kratochwill et al., 2002). The ways problem solving is accomplished varies ac-
cording to the model under consideration. In addition, these models can help con-
sultees be more effective with similar or related problems in the future.
Some models ofconsultation are more structured than others, and the consul-
tant may act in the role of technical expert, expert diagnostician, or expert facilita-
tor. Although all models have a well-defined approach to solving problems, no
model has developed a theoretical basis from research to prescribe how the consul-
tant and consultee should interact with each other. Three factors impede the devel-
opment of adequate theories of consultation: the very attitude among consultants
that consultation is an atheoretical process, the rapidity of change in consultation
practices, and problems in performing research on consultation and its effects
(Gallessich, 1985). To overcome these obstacles, Gallessich (1985) suggests that
consultation models be categorized by value structure, which results in three
models:
= a scientific-technological model (based primarily on the values of the scien-

tific method)
‘
= a human development model (based primarily on the values of human

growth and development)
172
PART III MODELS OF CONSULTATION 173
= a social/political model (based primarily on the

values from the social/political aspect of the
consultee’s work) e consultant takes on one or more
In spite of such suggestions as these, most authors roles to assist consultees. Values are advocated that
still rely on the more traditional way of characterizing enhance the organization’s overall effectiveness by
consultation models—in terms of their derivatives. helping its members become more satisfied and
These models, which will be covered in this part of productive. An increasing number of organizations
the book, include mental health, behavioral, and or- outside of business and industry settings use organi-
ganizational consultation. Traditionally, models of zational consultation to enhance their effectiveness.
consultation differ with respect to five dimensions: There is no one “organizational consultation,”
conceptualization of the problem, goals, methods but rather a series ofapproaches. Program consultation
and assumptions, consultant roles, and professional and education/training consultation are included in
values (Gallessich, 1982). the discussion of organizational consultation because
of their similarities to other organizational approaches:
Both can improve the effectiveness of the organiza-
tion in which consultation occurs, even though their
Mental health consultation focuses both on helping roots are not specific to organizational consultation.
consultees help their clients and on helping consul- As the field of consultation has developed, the
tees become more effective professionals. In the differences among these three major models have be-
past, mental health consultation was strongly influ- come increasingly less distinct. All consultation is or-
enced by psychodynamic theory, but today is prac- ganizational in that it occurs within an organization of
ticed from a variety of theoretical points of view. some kind. All consultation concerns mental health
by either directly or indirectly affecting the psycho-
logical well-being of the consultee and the client sys-
tem. All consultation is behavioral because by its very
nature it implies change: when consultees, clients,
and client systems such as organizations respond posi-
his behavioral goal is tively to consultation, they change their behavior.
accomplished through the use of interventions based Indeed, there are probably more similarities than
on the principles of learning. The consultant acts as differences among these models. At the same time
both expert and guide and advocates that behavior be they differ in regard to elements such as the roles
changed in a precise, scientific manner. Behavioral consultants typically take on, the types of interven-
consultation is based on social learning theory. The tions employed, and the organizational level which
range of behavior change can be from the individual is the target of consultation (Zins & Erchul, 2002).
level to that of an entire organization. Organizational consultation, for example, has be-
come increasingly aware of mental health issues.
Empirical research on organizations suggests that sat-
isfied personnel work more productively than do dis-
satisfied personnel.
174 PARTIll MODELS OF CONSULTATION
Behavioral consultation increasingly focuses on feminist consultation (Huffman et al., 2006). Because
how behavioral technology can be used to help the development ofthese approaches to consultation
organizations more eftectively meet their missions. is still in its infancy, they are not covered in detail in
Unfortunately, there is one other similarity among this text.
these three models—a lack of an adequate body of Most writers still categorize the models of con-
literature on how they apply to multicultural consultation according to the primary focus of each.
sultation situations (Ingraham & Meyers, 2000b). Hence, in the next few chapters we'll discuss the
The context in which consultation occurs is mental health, behavioral, and organizational models
important (Zins & Erchul, 2002). I have therefore of consultation separately, all the while noting the
provided a chapter on school-based consultation. rapidly disappearing differences among them. One
The models that are commonly used in schools— caution: consultants should not become too reliant
Adlerian consultation and instructional consulta- on models. Although models can help consultants
tion—are covered in Chapter 12. Adlerian case guide their practice (Brack et al., 1993), models can
consultation is a form of mental health consultation. also overly focus their attention on aspects of the
The Adlerian C-group consultation is a unique ap- model instead ofthe features of the consultation set-
proach to education/training consultation that is ting. Further, practicing consultants, irrespective of
often used with teachers and parents. what model they employ, will want to be aware
Four emerging theories of consultation include that “consultation represents an ongoing process
Gestalt (Nevis, 1987; Melnick, 2003), psychoanalytic that is often mediated by factors such as interpersonal
(Kets de Vries & Associates, 1991), rational emotive skills, relationship dynamics, problem severity, will-
therapy consultation (Criddle, 2007; Greiger 2007a, ingness of participants, competencies of consultees
2007b; Lange & Greiger, 1993; Bernard & and clients, and many other issues” (Sheridan et al.,
DiGuuseppe, 2000; see also Brack et al., 1993), and 1996,
p.viii).
HK
Mental Health Consultation

and Collaboration
t is difficult to promote the mental health of society in a preventative way, but

mental health consultation attempts to do just that. Consider the difficulty:
how would you promote the unique mental health needs of each of the numer-
ous subgroups in our culture? In this chapter we'll consider the historical devel-
opment of the mental health consultation model and examine Gerald Caplan’s
model (Caplan, 1970; Caplan & Caplan, 1993) of mental health consultation.
This model is included both because of its historical and practical utility and be-
cause Caplan is considered to be the one person who put consultation on the
human services landscape. Included are the approaches the model can take, their
respective goals, the consultant’s role, the consultee’s experience in consultation,
pro-
and the techniques and procedures used. We will examine a relatively new
fessional role called mental health collaboration.
We will also consider the ecological perspective to mental health consulta-
tion. Finally, we will cover some contributions and criticisms of the model and
tions of
cite some trends in mental health consultation that have led to modifica
Caplan’s model.
As you read this chapter, consider the following questions:
mental health
1. What are some of the differences and similarities between
consultation and the generic model we’ve already examined?
primary goal
tO What difference would it make if a mental health consultant’s
her a better
in working with a human service worker was to make him or
on?
worker in general, rather than to help the client under discussi
collaboration and
3. What are the basic differences between mental health
mental health consultation?
175
176 PART Ill MODELS OF CONSULTATION
4. How would a consultant best determine the (Hyman, 1993); employee assistance programs
reasons that a human service worker or ad- (Shosh, 1996), postsecondary education settings
ministrator is having difficulties with a work- (Amada, 1993), youth shelters (Grigsby, 1992), the
related problem? postwar theater (Garland, 1993), and a variety of
5. Are there really differences between work- other settings. It has been used for many purposes
related and personal problems? If so, what
including assistance with Gases: organizational
are they?
change, and diversity training (Russell-Chapin &
Mental health consultation has provided the Stoner, 1995; Shosh, 1996).
foundation for the development of consultation as
service delivery approach (Henning-Stout 1905)
HISTORICAL BACKGROUND
Mental health consultation is a part of the commu-

nity mental health concept that asserts that services
should be available as needed within the commu-
nity and should be integrated with other human
of the consultant’s efforts are the “primary agents in services.
Mental health consultation began in the late
preventing mental disorders in a population” (Caplan,
1940s wit he_ federal
1993, p. 41). If the consultant can enhance the effec-
tiveness of the consultee, some emotional problems
will be reduced, making referral to an expert unnec-
essary (Meyers, Brent, Flaherty, & Modafferi, 1993). ublic acceptance for
More precisely, mental health consultants assist their community-based mental health services increased
in the 1950s; the idea that mental health services
consultees with specific work-related problems, such
were limited to treating severely disturbed indivi-
as a difficult case or glitches in a mental health-related
duals 1 1 atment centers waned. I
program.
which provided federal funds
for the construction of mental health facilities in
local communities and called for consultation and
education services to the community.
The concept of the prevention of mental illness
note, writers in the field need to “underscore the im-
became very important both because there was a
portance of mental health consultation in the service of large discrepancy between the need for services and
primary prevention” (1994, p. 6). the ability to meet those needs (Caplan & Caplan,
Mental health consultation has been used in 1993) and also because the efficacy of psychotherapy
schools, nursing homes (Meeks, 1996), hospices in treating mental illness was under criticism. The
(Lindberg, 1996), religious settings (Maloney, 1991), ability of local mental health centers to provide
preventative services thus became one of the criteria
medical settings (Quirk, Strosahl, Kreilkamp, &
for being considered for these federal fu
Erdberg, 1995), police hostage negotiation teams
(Butler, Leitenberg, & Fuselier, 1993), community
residences for people with developmental disabilities
CHAPTER 9 MENTAL HEALTH CONSULTATION AND COLLABORATION 177
with three people, would indirectly affect the lives

- Consultation was to be a method for of over 90 students in a relatively short time.
helping non-mental health professionals to learn the Contrast this with the idea of having the practi-
mental health skills necessary to assist those people for tioner work individually with all 90 students, or
whom they had professional responsibility (Watson even working in each of the three different class-
& Robinson, 1996). xe)
A trend that paralleled public and federal inter-
est in preventative services was a shift in the
conceptualization of consultation. Before 1950, Caplan’s 1970 book, The Theory and Practice of
consultation in agencies was considered to be an Mental Health Consultation, reflects his experiences as
extension of clinical psychiatric consultation. In a consultant and his research in consultation.
other words, consultation was viewed in terms of Caplan relates that his interest in mental health con-
the medical consultation model: the psychiatrist sultation began around 1949 when he was a mem-
examines the patient, makes a diagnosis, and_pre- ber of a team of psychiatrists, social workers, and
scribes treatment to the professional in cha psychologists at a child guidance center in Israel.
Part of the team’s duties was to attend to the mental
health needs of over 16,000 immigrant children
who were cared for in about 100 residential centers.
Referrals to the team far outweighed its ability to
provide direct services to the children.
The operation of the team under these circum-
stances led to five discoveries by Caplan. Fist, the
caretakers seemed to have a very restrictive percep-
articles incorporating these trends began to appear
in the early 1950s, and evidence increased substan-
tially in the mid-1950s.
Around this time, Gerald Caplan arrived on frequently quite upset, and their personal concerns
the scene. A psychiatrist by training, Caplan’s affected their ability to be objective about the chil-
name has become synonymous with mental health dren with whom they were working. Fourth, their
consultation. In fact, mental health consultation 1s narrow perceptions, stereotypic attitudes, and per-
frequently referred to as the Caplanian model. He is sonal issues could be ameliorated by particular con-
often credited with “discovering” the usefulness of sultant attitudes and interventions. Finally, the team
mental health consultation and describing its vari- could learn a substantial amount of relevant infor-
ous forms mation about the children and caretakers by visiting
the institution, rather than by bringing the care-
takers and children to the team’s central office.
Out of Caplan’s experiences in Israel, the
rudiments of his model began to take shape.
consultants work with consultees to serve their cli-

ents better, mental health would be promoted more
widely than possible by a mental health practitioner
The consultant woul
working individually (Kelly, 1987). For example, if
a mental health constiltant helped a group of three to be especially observant of the consultee’s per-
ceptions and would look for possible distortions,
teachers raise the self-esteem of the students in their
stereotypes, and personal issues that might adversely
classrooms, the consultant, by working directly
affect working with the client. The consultant mental health professionals and parents as well as
would be objective yet sympathetic and would fo- non-mental health professionals such as teachers.
cus on the client as a person with problems, not as Learning to conduct mental health consultation
a problem who happens to be a person. When the can be a challenge (Pinkerton & Temple, 2000).
team members working with the children were Some experts consider it more difficult to master
treated in this way, they seemed to be able to re- than psychotherapy (Iscoe, 1993). °
turn to their duties with renewed enthusiasm and
a broader perspective on working with clients
(Caplan et al., 1994).
After his experiences in Israel, Caplan contin-
MENTAL HEALTH
ued to develop his model of consultation at
Harvard’s Schools of Public Health and Medicine, CONSULTATION DEFINED
where he began to_us the term “mental health
”
Case Example
Consider this relatively simple form of mental
Techniques of group consultation
health consultation:
emerged, along with the idea that consultation You are a social worker who consults with psy-
need not occur only in a crisis situation, but could
chiatric nurses on dealing with relatives of
also be used for preventative measures. Through
Alzheimer’s disease victims. One of your consultees
Caplan’s efforts, mental health consultation became is having difficulty with a family of a certain patient.
conceptualized as a “method whereby a small group
As you listen to the consultee describe the case, you
of mental health specialists would guide and support
get the impression that the patient’s “Jekyll-
...non-mental-health-specialist caregivers, such as
and-Hyde” personality is keeping the family off
doctors, nurses, teachers, clergymen, and welfare
balance. You suggest that the nurse teach the family
workers, in mastering the cognitive and emotional
some self-talk strategies they can use when the pa-
challenges of ... their traditional duties” (Caplan,
tient is acting out. You refer the nurse to several
1993, p. 45). Professionals in the human service
sources of information on self-talk strategies and
professions were now able, through consultation,
agree to provide the consultee with a training
to work at a systems level. Caplan continued updat-
session. ;
ing his views over the years (Caplan, 1974, 1977),
This example erroneously suggests a relatively
including a revision of his first text entitled Mental
simple definition of mental health consultation.
Health Consultation and Collaboration (Caplan &
Various attempts have been made to detine mental
Caplan, 1993, 1999).
health consultation. The most consistently recog-
Mental health consultation has expanded over
nized definition of mental health consultation is
the years in spite of federal spending cutbacks. Most
from Caplan and Caplan, who describe it as
models remain adaptations of Caplan’s although the
theoretical bases underlying these adaptations vary. a process of interaction between two pro-
There has been a move away from the psychody- fessional persons—the consultant, who is a
namic orientation toward other approaches; thati specialist, and the consultee, who invokes
the consultant’s help in regard to a current
work problem with which he is having
some difficulty and which he has decided is
within the other’s area of specialized
common perspectives is the ecological perspective competence. The work problem involves
covered later on in this chapter. In addition, mental the management or treatment of one or
health consultants now regularly consult with other more clients of the consultee, or the
planning or implementation of a program the freedom to choose whether or not to apply the
to cater to such clients. (1993, p. 1) assistance provided in consultation and remains re-
sponsible for the client or the program.
Subsequent attempts at defining mental health
consultation (for example, Hodges & Cooper,
1983; Mannino, MacLennan, & Shore, 1975) elab-
orated on the type of help the consultant provides KEY CONCEPTS OF MENTAL
while holding to the basic ideas in Caplan’s defini-
HEALTH CONSULTATION
tion. Notice this emphasis in the following defini-
tion by MacLennan, Quinn, and Schroeder:
Basic Characteristics
Mental health consultation is the provision From Caplan’s point of view, mental health consul-
of technical assistance by an expert to in- tation has several basic characteristics, awareness
dividual and agency caregivers related to of which is essential for understanding his view:
the mental health dimension of their work. (The following list is adapted with permission
Such assistance is directed to specific work- of Waveland Press, Inc. from Caplan & Caplan,
related problems, is advisory in nature, and Consultation and Collaboration,
Mental Health
the consultant has no direct responsibility pp. 21-23. Long Grove, IL; Waveland Press, Inc.
for its acceptance or implementation.
[reissued 1999]. All rights reserved. Reprinted by
(Bloom, 1984, p. 155) permission of the publisher.)
Mental health consultation is a method used
by two professionals in respect to a lay client
or a program for such clients.
Hodges and Cooper expanded on Caplan’s The consultee’s work problem must be de-
definition by adding some of the specific role be- fined by him or her as being mental health
haviors the consultant uses in helping consultees: related, such as a mental disorder or person-
Community mental health consultation ality idiosyncrasy of the client, the need to
can be defined as the process by which promote mental health in the client, or in-
a mental health professional interacts terpersonal aspects of the work situation.
with community-based professionals and The consultant must have expert knowledge
other service providers (the consultees) to in these areas.
supply information, skill training, and The consultant has neither administrative
individual process change or system change responsibility for the consultee’s work nor
in order to help the consultee or the sys- professional responsibility for the outcome of
tem better serve the mental health needs the client’s case. She or he is under no com-
of the people in the community. (1983, pulsion to modify the consultee’s conduct of
pp. 19-20). the case.
The consultee is under no compulsion to
accept the consultant’s ideas or suggestions.
The basic relationship between the two is
chul & coordinate; there is no built-in hierarchy or
1993). The consultant uses knowledge and authority-subordinate tension, which in our
Schulte,
the consultee with the specific concern culture potentiates the influence ofideas. The
skills to assist
and, in addition, attempts to improve the consultee’s
consultees’ freedom to accept or reject what
the consultant says enables them to take
ability to function in the future. The consultee has
quickly as their own any ideas that appeal to successful consultation, as will their capacity to
them in their current situation. deal in a reality-based socially acceptable way
with certain life difficulties. In other words,
The coordinate relationship is fostered by the
successful consultation may have the secondary
consultant’s membership (typically) in another
effect of being therapeutic to consultees.
profession and his or her arrival into the
consultee’s institution from the outside. Consultation does not focus overtly on per-
sonal problems and feelings of consultees.
The coordinate relationship is further sup-
ported by the fact that consultation is usually
given as a short series of interviews—two or
¢¢ It respects their privacy. The consultant does
not allow discussion of personal and private
three on average, which take place intermit- material in the consultation interview. This
tently in response to consultees’ awareness of does not mean that consultants disregard the
their current need for help with a work feelings of the consultee. They are particularly
problem. The relationship in individual con- sensitive to the feelings and to the disturbance
sultation is not maintained and dependence is of task functioning produced by personal
not fostered by continuing contact. In group problems. They deal with personal problems,
consultation there may be regular meetings, however, in a special way, such as by dis-
but dependence is reduced by peer support. cussing problems in the context in which they
relate to the client’s case and the work setting.
Consultation is expected to continue indefi-
nitely, for consultees can be expected to en- Consultation is usually one of the professional
counter unusual work problems throughout functions of a specialist—even if he is titled
their careers. Increasing competence and “consultant.” He should use the consultation
sophistication of consultees in their own method only when it 1s appropriate. At other
profession improves the likelihood of their times he should use different methods.
recognizing mental health complications and Sometimes the demands of the situation will
asking for consultation. cause him to put aside his consultation. For
instance, if he gets information during a con-
Consultants have no predetermined body of sultation interview that leads him to judge that
information that they intend to impart to a the consultee’s actions are seriously endanger-
particular consultee. They respond only to ing the client (such as failing to prevent a sui-
the segment of the consultee’s problems that cide or to pursue treatment for a dangerous
the consultee exposes in the current work psychosis), he should set aside his consultant
difficulty. The consultant does not seek to role and revert to the basic role of apsychiatrist,
remedy other areas of inadequacy in the psychologist, or social worker. He will then
consultee but instead expects other issues to give advice or take action that the consultee is
be raised in future consultation. not free to reject. This destroys the coordinate
The twin goals of consultation are to help relationship and interrupts the consultation
consultees improve their handling or under- contact in favor of ahigher goal. Such dramatic
standing of the current work difficulty and occasions are rare, but the possibility demon-
through this to increase their capacity to strates the realistic limits of this method.
master future problems of a similar type.
Finally, it is worth emphasizing that mental
The aim of consultation is to improve consul- health consultation is a method of commu-
tees’ job performance, not their sense of well- nication between a mental health specialist
being. It is envisaged, however, that, because and other professionals. It does not denote a
the two are linked, consultees’ feelings of per- new profession, merely a special way in which
sonal worth will probably be increased by existing professionals may operate.
These fourteen characteristics represent the ba- behavioral manifestations of a person’s problems
sis for the practice of mental health consultation only results in the emergence of another problem
from Caplan’s perspective. Although the consultant because the core problem has not been adequately
is the expert, the relationship is an equal one. The addressed. This phenomenon is often referred to as
nature of the consultant—consultee relationship 1s symptom substitution.
crucial: the consultant assists with work-related pro- Not every difficulty a consultee has with a case
blems only and does not deal directly with the con- or program is due to inner conflict. A difficulty
sultee’s personal concerns. The consultee’s work might stem from a lack of appropriate professional
problems may be viewed from a psychodynamic dge about some aspect of the case. But from
perspective, and the goal of consultation is to en-
hance the consultee’s current and future ability to
function professionally. The consultant does not
take any supervisory authority over the consultee’s
actions and has no responsibility for the client/pro-
gram (Caplan, 1993). Further, it is essential that the Changing overt behaviors will only provide tempo-
consultant take organizational influences into ac- rary change. Because the consultant does not pro-
count when conducting consultation (Conoley & vide psychotherapy to the consultee, the consultee’s
Wright, 1993). inner conflicts must be dealt with indirectly.
In his recent writings (e.g., Caplan et al., 1994),
Caplan has stressed the importance of taking into
Psychodynamic Orientation consideration not just the psychodynamics of the
individuals involved but also those forces operating
The Caplan model uses a psychodynamic approach to in the organizations represented by the consultant
consultation, for, as a trained psychiatrist, Caplan and consultee in addition to those in the commu-
influenced b the work of Sigm nity itself. Hence Caplan’s thought has evolved into
one that takes into consideration the larger systems
context of consultation.
Conoley, 1992). (A detailed discussion of the psy- Transfer of Effect

chodynamic approach is beyond the scope of this
nsf
Traof er
effect refers ept
to the concthat what is
book. Those interested in reviewing Freud and his
learned in onesituation should be usable in similar,
modifiers should consult a good text on theories of
future situations, which is central to the Caplanian
counseling and psychotherapy, such as Corey’s
model. Consultee-centered consultati on improves
Theory and Practice of Counseling and Psychotherapy
the consultee’s capacity to function effectively and
to benefit current clients as well as similar ones in
the future. By listening to the consultee’s perceptions
of the client or program and extrapolating the perti-
nent information concerning the consultee’s difh-
. Because these culty, the consultant by indirect means can help
the consultee be more objective. In addition, by re-
inner conflicts are usually unconscious, we are of
taining responsibility for the case or program, the
ten unaware of the causes of our behavior. True
consultee is set up for optimal learning and general-
behavioral change must deal with these unresolved
ization to future cases (Erchul & Schulte, 1993).
conflicts from the past; merely dealing with the
182 PART IIl MODELS OF CONSULTATION
TABLE 9.1 Caplan and Caplan’s Consultation Classification in Terms of Level,

Target, and Goal
CLIENT-CENTERED CONSULTEE-CENTERED PROGRAM-CENTERED CONSULTEE-CENTERED

CASE CASE ADMINISTRATIVE ADMINISTRATIVE
Level Case Case Administrative Administrative

Target Client Consultee Program Consultee
Goal Behavioral change — Enhanced consultee per- More effective delivery Enhanced consultee per-
in client formance in delivering of program formance in programming
services to clients
Types of Consultation Each of the four types of consultation has a

different level of intervention, an identifiable target,
The manner in which mental health consultation 1s
and an identifiable goal (Bloom, 1984). Table 9.1
conceptualized is a critical factor in terms of how it
presents Caplan and Caplan’s (1993) classification as
is practiced. The consultant should have a system to
defined by these three factors.
anticipate what is likely to happen in each consul-
tation situation and to identify effective strategies
with which to approach the consultation. To ac-
complish this end, Caplan (1970) devised a classifi- THE CONSULTATION
cation system with two major divisions. The first
concerns whether the consultant focuses on a case PROCESS
(e.g., a client at a halfway house) or focuses on an
administrative problem dealing with a mental- Next we'll examine these four types of mental
health-related program (e.g., helping a health sci- health consultation in terms of their goals, the con-
ence teacher implement a unit on substance abuse). sultant’s function and role, the consultee’s experi-
The second division concerns whether the ence in consultation, and the use of consultation
consultant’s primary goal is “giving a specialized techniques and procedures. Because of its unique
opinion and recommendation for a solution” nature and its impact on the development of mental
(Caplan, 1970, p. 32) (e.g., observing a client and health consultation, consultee-centered case con-
recommending a specific therapeutic technique) or sultation is covered in more depth than are the
“attempting to improve the problem-solving capac- other three types.
ity of the consultees and leaving them to work out
their own way of solving it” (Caplan, 1970, p. 32)
(e.g., helping a parole officer be more objective
about a case with a parolee). The goal is thus to
change either the client (or program) or the consutltee.
These two divisions make up four types of con- Consultation Goals. Client-centered case con-
sultation: client-centered case consultation, consultee- sultation is the most commonly used form of men-
centered case consultation, program-centered administrative tal health consultation. It typifies what most human
consultation, and consultee-centered administrative consul- service professionals think of when they hear the
tation (Caplan & Caplan, 1993). This classification word consultation. The consultant is viewed as an
formed the early organization of consultation types, expert or specialist who can diagnose and recom-
and most reconceptualizations of types are summaries mend an intervention. The consultee presents a case
of Caplan’s work. in which a client has mental health problems that
are causing the consultee some difficulty. The pri- The consultee’s primary responsibility is to adapt
mary goal of this type of consultation is to develop a and carry out the consultant’s recommendations,
plan to help the client. Secondarily, the consultee 1s but the consultee is free to accept or reject any or
better able to handle similar cases alone in the fu- all of them. The consultee may require the assis-
ture as a result of contact with the consultant. tance of the consultant in implementing a given
However, only limited educational benefit to the recommendation but must ask for such assistance.
consultee is expected from this type of consultation Finally, the consultee participates in a scheduled
because the consultant spends very little time with follow-up session with the consultant.
the consultee.
Consultant Function and Roles. The consul- Application: Consultant Techniques and Pro-
tant functions primarily as an expert in assessing cedures. It is not unusual for a written note to
the situation, diagnosing the client, and making re- accompany a consultee’s request for consultation,
commendations for the consultee’s use in the case. and it is best for the consultant to respond to the
Specifically, the consultant builds a relationship with consultee with some form of personal contact so as
the consultee (in ways previously discussed); assesses to build a relationship, clarify what the consultee
the client’s difficulty by gathering information from desires from the consultant, and obtain more infor-
the client and other sources; assesses the consultee’s
mation on the client.
strengths, weaknesses, and work setting by visiting In assessing the client, the consultant has two
the consultee at work; and files a written report, basic questions: Should the client be referred for
usually a letter or a case record, which should (if specialized treatment? What can the consultee do
possible) be reviewed in a meeting with the consul- to help the client in the consultee’s work setting?
tee. In this way, the consultant can improve the These are answered by listening to the consultee
consultee’s functioning 1n similar cases in the future. (and perhaps the client and his or her significant
It is the consultee’s responsibility to use the written others when applicable; see Karg & Wiens [2005]
for interviewing hints).
report and the conference with the consultant in
It is quite risky to provide client-centered case
dealing with the case. In other words, the consultee
takes the consultant’s report and develops and im- consultation in the consultant’s office. Otherwise
plements a plan of action. Finally, the consultant the consultant can rely only on the client’s report
about the consultee and the work setting. Because
plans for a follow-up session with the consultee.
the consultant needs to know about the strengths
Consultee Experience in Consultation. Con- and weaknesses of the consultee and the consultee
sultees in client-centered case consultation focus institution to make effective and realistic recom-
the consultant should visit and per-
on providing the consultant with as much pertinent mendations,
information and professional opinion as possible reform consultation in the consultee institution.
garding the case, such as the consultee’s role relative One of the consultant’s major tasks in client-
to the client system and any constraints that have centered case consultation is writing a report for
been laid upon the consultee. the consultee. This report, typically supplemented
Even though the consultant is likely to observe, by a face-to-face meeting with the consultee to clar-
interview, or test the client, the consultant wants to ify the report and answer questions related to it,
know how the consultee views the case. The con- should be written in language appropriate to the
consultee’s institution, should be practical, and
sultee, then, is not only a link between the consul-
should avoid condescending terminology.
tant and client, but is also a professional collaborator
The main body ofthe report should focus on how
who knows the client better than the consultant
the client is or is not coping in major areas of life
and knows how to best deal with the client within
and include some recommendations as to how the
the consultee institution.
consultee can facilitate improved client functioning vides feedback on how the consultant’s
in appropriate areas. interventions affected the consultee in the
case under discussion, which could be
useful to the consultant in improving fu-
A Sample of a Consultant’s Written Report. The ture interventions; and it conveys consul-
following is a portion of a consultant’s report pre- tant interest to the consultee and improves
pared by a counselor working with a teacher having their relationship so that the consultee may
difficulty with Dana, a third-grade student who actively seek additional consultation about
steals from other children in the classroom: the current (or some other) case.
The stealing behavior is most likely caused
by Dana’s need for security. The objects Case Example of Client-Centered Case Consul-
taken are usually food (for example, tation. Tracy is a resident psychologist consulting
snacks) or school supplies (for example, with Kim, an activity therapist, concerning a patient
pencils). The fact that Dana makes little in a residential psychiatric hospital. The therapist
attempt not to get caught perhaps suggests reports that the patient, a 15-year-old, refuses to
that there is the perception on her part of engage in any activity therapy. The client shows
too little attention. Stealing objects thus up on time but just sits and watches as the other
helps Dana feel more secure and get patients engage in the therapy.
attention. Tracy observes the patient in several hospital
I recommend that the teacher make a settings, including activity therapy, and interviews
deliberate attempt to praise Dana through- the patient’s primary therapist concerning the case.
out the school day for appropriate classroom She determines that the patient appears to have few
behaviors. In addition, she could be assigned friends at the hospital but is friendly and approach-
some classroom responsibilities (for exam- able. She also concludes that Kim has the ability and
ple, erasing the board) and then be rein- motivation to assist the patient to begin participa-
forced for acting responsibly. Dana’s secu- tion in activity therapy.
rity might be increased if the teacher Tracy writes a brief report suggesting a “buddy
frequently communicated to her that she system” for the patient. Kim would implement the
belongs in the classroom taking care ofall program, in which one or two higher-functioning
the children. Such verbalizations can reduce patients could become friends with and accompany
insecurity. the patient to the activity therapy group, where
Implementation of the consultant’s they could perform the activities together. Tracy
recommendations is the consultee’s pre- shares this recommendation in a final consultation
rogative because he or she has responsi- session with Kim, who agrees to the recommenda-
bility for the case. However, the consultant tion, and takes steps to implement the program.
can help determine whether the consultee Tracy follows up after two weeks to monitor the
has the knowledge and skills required to intervention.
perform the suggested interventions. Such
a judgment is best achieved by having a
history of sustained contact with the con-
sultee so that an assessment of consultee
strengths and weaknesses 1s possible before
the formulation of recommendations. Consultation Goals. The primary goal of
Follow-up by the consultant is crucial: consultee-centered case consultation is improve-
it provides the consultant a rough evalua- ment of the consultee’s ability to work effectively
tion of the effects of consultation; it pro- with a particular case as well as with similar cases in
the future. “In consultee-centered case consultation task is to enter into the consultation relationship and
the consultant’s primary focus is upon elucidating discuss a case that is causing difficulty. Under the
and remedying the shortcomings in the consultee’s consultant’s guidance, the consultee elaborates on
professional functioning that are responsible for his the particulars of the case. When the consultant
difficulties with the case with which he is makes interventions to assist the consultee, it is up
seeking help” (Caplan & Caplan, 1993, p. 101). to the consultee to implement those recommenda-
Improvement of the client is the secondary goal. As tions, which often include ways the consultee can
in client-centered case consultation, the case is the improve professional functioning. The consultee
focus of discussion, although usually the consultant maintains full responsibility for the case under
does not see the client because the goal is to help the discussion,
consultee. The consultant helps the consultee by fo- During the initial stages of consultation, the
cusing on his or her subjective view of the case. consultee may have a very narrow view of the
case. Indeed, consultees often do not know why
Consultant Function and Roles. In consultee- they are having difficulty with cases. In responding
centered case consultation, the consultant plays the to the consultant’s judicious questioning, the con-
roles of detective, expert, and educator. In the role sultee’s perceptions of the case are enriched and
of detective, the consultant seeks out the consultee’s broadened so that the “cognitive grasp and emo-
cognitive and emotional problems through active tional mastery” (Caplan & Caplan, 1993, p. 101)
listening and judicious questioning. The consultant of the particulars of the case are increased.
discusses the case with the consultee in the role of
an expert mental health professional. As an educa- Application: Consultation Techniques and Pro-
tor, the consultant provides the consultee the infor- cedures. There are four approaches to consultee-
mation and/or training needed to solve problems centered case consultation, one for each of the four
with this and similar cases in the future. Thus, the reasons that consultees may have difficulty with
consultant builds a relationship with the consultee, cases: lack of knowledge, skill, self-confidence, and
assesses his or her problem with the case, and interprofessional objectivity. Now we'll consider each of
venes to alleviate the problem. these four approaches, which can be performed in-
The consultant asks the consultee to discuss the dividually or in groups.
case, and the remainder of the consultation rela-
tionship involves such discussions. The consultant, led a When the difficulty with a case
however, is more directive than in client-centered is due to lack of knowledge, the consultee might
case consultation in that the consultee is asked to not have sufficient understanding of the client’s
client characteristics, or
discuss selected aspects of the case, which provides problem, some important
the consultant information about the consultee’s both. According to Caplan, the consultee may
work difficulty. As the consultee discusses the lack either factual or theoretical knowledge needed
case, the consultant categorizes the consultee’s to deal effectively with the case. The consultant
work difficulty as a lack of knowledge, skill, confi- imparts the missing knowledge to the consultee in
dence, or professional objectivity. The consultant a manner conducive to the consultee’s success in
intervenes to resolve the consultee’s particular the case under discussion as well as for possible sim-
work problem. The so-called “grist for the mill” ilar cases in the future. It is very important that the
in consultation comes from the consultee’s “subjec- consultant provide this information without violat-
tively determined story” (Caplan & Gaplan, 1993, ing the coordinating nature of the relationship, a
p. 101), not from the real facts about the case. task best accomplished by capitalizing on the con-
sultee’s motivation to learn information relevant to
Consultee Experience in Consultation. In the case at hand. The consultee’s education results
from applying the needed knowledge to the current
consultee-centered case consultation, the consultee’s
case, which also maintains the desired consultant- among consultees who work in institutions that
consultee relationship. have a knowledgeable, skilled staff and a supervisory
system; hence, most consultee-centered case consul-
“Lack of Skill. The consultee may well have the tations are ofthis type. The consultee’s lack of pro-
knowledge required to understand a case but lacks fessional objectivity is a defective judgment—an in-
only the skill to intervene effectively. In this situa- ability to maintain an appropriate professional
tion, the consultant should avoid the temptation to distance. The consultee’s role functioning, percep-
supervise the consultee’s conduct of the case. tions, and judgments are impaired by subjective fac-
Procedurally, the consultant and the consultee tors that make him or her unable to apply existing
conduct a joint appraisal of the case: they explore knowledge and skills to the case effectively.
the problems, what the consultee has tried so far to By the time the consultee seeks out consultation,
help the client, and what the consultee could yet do confusion, frustration, incompetence, and declining
to resolve the issue. Such a procedure broadens the self-esteem are often evident and can cause a lack of
consultee’s perspective on the case, provides a professional poise. The coordinate nature of the
broader context for perceiving subsequent similar consultant-consultee relationship is in greatest jeopardy
cases, maintains the coordinate nature of the rela- in consultee-centered case consultation because the
tionship, and preserves the consultee’s self-esteem. consultant appears to be in control of personal issues
The consultant determines the degree of the con- in the professional setting, whereas the consultee 1s
sultee’s skill deficit, describes what skills are needed not. Therefore, the consultant should indirectly help
to deal effectively with the case, and explores with the consultee recapture professional objectivity by dis-
the consultee the means to get the appropriate skills cussing the client, the consultant, or some fictitious
training within the consultee institution. If such chent in a story or parable. The consultee’s problem
training is not available within the consultee insti- should not be dealt with directly. The consultee’s con-
tution, the consultant can provide the training. fidence,and poise must be maintained (Caplan, 1993).
Lack of objectivity in even the most knowl-
Lack of Self-Cony e. Lack of self-confidence edgeable and skilled consultees can result from
can cause confusion and uncertainty about how to five somewhat connected reasons: direct personal
handle a case. It can result from consultee inexperi- involvement, simple identification, transference,
ence (for example, being assigned a particular client characterological distortions, and theme interfer-
problem for the first time or being a beginner on ence (Caplan & Caplan, 1993).
the job) or be a generalized trait within the consul- When a consultee loses professional objectivity
tee that manifests itself in reduced on-the-job due to direct personal involvement, the relationship
functioning. changes from a professional toa personal one. An
The goal ofthe consultant is to provide support obvious example is when a consultee falls in love
and encouragement by fostering hope, confidence, with a client. Because of the emotional nature of
and courage by affirming the consultee’s strengths personal relationships, objectivity is lost. Profes-
and capabilities. Reassurance, which damages the sionals should keep a certain distance from their cli-
nonhierarchical nature ofthe relationship, should be ents to maintain objectivity, and personal involve-
avoided. The consultant’s second goal is to help the ment alters the balance ofthat relationship by causing
consultee find a peer support group within the con- the consultee to be either too close or too distant
sultee institution. from the client. Consultees are frequently unaware
of their personal involvement with their clients and
piel aa naeeate The consultant do not realize they are fulfilling their own personal
considers lack of objectivity only after lack of knowl- needs at the expense of those of the client.
edge and lack ofskill are eliminated (Erchul, 1993a). Simple identification occurs when the consultee
Lack of objectivity is the most common problem does not merely empathize with but instead iden-
tifies with the client (or some person in the client’s together, no progress can be made in this case.” For
life) and loses the sense of neutrality so essential to whatever reason, the consultee has identified with
maintaining objectivity. The consultee identifies some aspect of the client’s case.
with some real characteristic of the client (or person According to Caplan and Caplan (1993), theme
in the client’s life) such as race, gender, or some interference develops in the following manner:
behavior pattern the consultee considers idiosyn- “A conflict related to actual life experiences or to
cratic. For example, a consultee who is a minister fantasies in the consultee that have not been satisfac-
might over-identify with a client who is also a min- torily resolved is apt to persist in his preconscious or
ister. The client is then described in a positive, sym- unconscious as an emotionally toned cognitive con-
pathetic manner, while others in the case are stellation which we call a ‘theme’” (p. 122). The
viewed in derogatory terms. The consultant can theme is a recurring symbol of an unresolved prob-
relatively easily identify simple identification be- lem and has a preemptory quality. When suffering
cause of the obvious similarities between the con- from theme interference, the consultee sees the case
sultee and some person in the case. as being hopeless and makes several inappropriate
A transference distortion occurs when the con- problem-solving efforts (Erchul & Schulte, 1993).
sultee transfers onto the client feelings and attitudes Themes generally repeat themselves, carry a nega-
from key relationships in the past. Once the con- tive emotional valence, and take the form of a syl-
sultee’s predetermined attitudes and feelings are logism. This syllogism has two statements that
imposed on the client and objectivity is lost, the constitute a prejudicial stereotyped notion and are
consultee is unable to assess the client’s real situa- perceived by the consultee to be linked in such a
tion. For example, a consultee who has difficulty way that they are inseparable: an “initial category”
with authority figures due to her childhood rela- followed by an “inevitable outcome.”
tionship with her mother might have difficulty The initial category is a statement that signifies
dealing with a female client who is the head of a the condition that was characteristic of the original
large company. The transference relationship tends unresolved problem in the consultee’s life. In real-
to be repeated over time in similar cases. ity, the client may or may not fit the stereotype, but
Minor disturbances in consultees, often referred still the consultee applies the stereotype to the cli-
to as characterological distortions of perceptions and ent. The stereotype is imposed when consultees
behavior, can cause consultees to lose their profes- form their impressions of the client; certain pieces
sional objectivity. Caplan defines these distortions as of information are put together and the initial cate-
personality problems that interfere with the effec- gory is formed. Placing the client in the initial cat-
tive delivery of human services to the client. To egory leads to expectations that are typified in the
illustrate this point, Caplan (1970) tells of a teacher, inevitable outcome, which is a rigid assumption that
with a tendency toward sexually acting out, who the worst case scenario will occur. When put to-
anxiously attributed harmful sexual behaviors to gether, the initial category and inevitable outcome
several of her students that a consultant later de- take the following form: if A (initial category) hap-
scribed as quite normal. pens to anyone, then B (inevitable outcome) must
Caplan’s concept of theme interference is a special occur. One example might be, “If my client doesn’t
type of transference reaction that causes consultees deal with his anger, we will never make any prog-
to lose their professional objectivity. Theme inter- ress in therapy.” In such cases the consultant must
ference becomes apparent to a consultant when the assume that the consultee has a problem in dealing
consultee is “blocked” from progressing with a case with anger and that the client may or may not have
for no explicable reason. For example, a consultee the same problem.
who has difficulty dealing with anger might impose The problem with theme interference is that,
this trait on the client, in effect saying, “Unless by losing objectivity, the consultee is unable to
this client deals with his anger during our sessions see that there are many possible outcomes to any
problem and that several possible interventions are reducing the likelihood that the theme will be dis-
available. This lack of objectivity causes inconsis- placed onto subsequent cases.
tent, sometimes panicky behavior in the consultee, Several techniques are effective in theme inter-
and the subsequent lack of progress in the case reference reduction, and all of them have the follow-
affirms the beliefin the inevitable outcome. Thus, a ing steps occurring over a three- or four-week
vicious cycle develops. There is, however, one period: assessment of the theme, the consultant’s
source of consolation for the consultee: the inevita- intervention, and ending and follow-up (Caplan
ble outcome happens to the client, not the consul- & Caplan, 1993). The expression ofintense feelings
tee. Theme interference tends to recur as long as by the consultee is permitted as long as the consul-
the theme is manifest. tee expresses feelings about the case and does not
There are two basic methods the mental health believe that the feelings are about him- or herself
consultant can use to relieve theme interference in (Caplan, 1993). Part of the consultant’s job is to
consultees. These methods are subtle and designed help the consultee feel safe while expressing emo-
to “alter the emotional theme underlying the lack tionally sensitive material.
of objectivity” (Henning-Stout, 1993, p. 21). First, In assessing the theme, the consultant examines
the consultant helps the consultee reassess the cues the consultee institution, the affective and cognitive
in the client’s case that led to placement in the reactions of the consultee to the case, indications of
incorrect category in the first place. Such a reeval- an initial category and inevitable outcome, and the
uation helps the consultee see that the original per- possibility that there is more than one theme. Once
ceptions were erroneous and return to professional the existence of theme interference has been estab-
objectivity because the inevitable outcome is no lished, the consultant can make one or more of the
longer pertinent. Caplan and Caplan (1993) label following interventions (Caplan & Caplan, 1993):
this technique unlinking (p. 125) because it unlinks
# verbal focus on the client
the client from the consultee’s theme.
Whereas unlinking attempts to invalidate the # ~~verbal focus on an alternative object—the
initial category, the second approach, called theme parable
interference reduction, attempts to invalidate the inev- =" nonverbal focus on the case
itable outcome. The consultant invalidates the “If
#® nonverbal focus on the consultation
A, then B” syllogism by helping the consultee re-
relationship
examine the evidence on which the inevitability of
the outcome is based. The consultee is then able to A verbal focus on the client is the most commonly
view the previously inevitable outcome as merely used technique in theme interference reduction.
one of an array of possible outcomes (and not nec- The consultant discusses with the consultee the evi-
essarily a very likely one at that). The influence of dence for the inevitable outcome by examining in
the consultee’s theme then begins to wane. significant detail the facts concerning the case, by
Theme interference reduction affects the con- which the so-called inevitable outcome is seen in-
sultee on both cognitive and affective levels. Theme stead as one possible outcome among many others.
interference reduction techniques neither exacer- The likelihood of the inevitable outcome’s occur-
bate resistance nor cause a loss of face because the rence is explored specifically and in depth to ensure
consultant accepts the consultee’s view of the initial that the consultee does not consider the consultant
category: the consultant does not try to deal with to be prejudiced against that outcome. By such a
the consultee’s inner conflicts directly but rather thorough examination, the consultee realizes that
through their discussion of the case. When properly the inevitable outcome is not even among the
carried out, theme interference reduction helps most likely outcomes. For example, when a consul-
consultees by lowering their level of tension, raising tee thinks a client must deal with the issue ofavoid-
their level of objectivity, weakening the theme, and ance of competition, a consultant might help the
consultee consider several other therapeutic ap- consultee nervously relates the specifics of a case,
proaches to pursue with the client. the consultant would maintain a calm demeanor.
Parables are used when the consultant thinks it A nonverbal focus on the consultation relationship 1s
important to create greater distance between the needed when the consultee transfers themes not
consultee’s growing awareness of the theme and onto a case but onto the consultant, particularly
its connection to the personal issues in his or her when the consultation relationship is well devel-
life. It must be remembered that consultation is not oped and contains emotional connections between
psychotherapy; the consultee’s personal issues are the two parties. If the consultee transfers a theme by
not to be discussed, even though they may be af- ascribing a certain role to the consultant and then
fecting the case. Once the consultant identifies the plays the complementary role, the consultant needs
initial category and the inevitable outcome and de- to show the usual acceptance of the initial category
cides that the case under consideration is not a good and then invalidate the inevitable outcome through
vehicle to break the connection between the two, discussion of the case. However, the expectation of
they can discuss alternatives. the inevitable outcome should be dealt with in a
In using a parable, the consultant artistically cre- nonverbal manner, that is, by remaining calm, ob-
ates a believable story concerning the identified jective, and free from anxiety. By staying “cool,
theme but uses a fictitious client in a fictitious case calm, and collected” both about the case and the
(Caplan & Caplan-Moskovich, 2004; Mang, 2004). transference occurring in the consultation relation-
The details of the current case are used as a spring- ship itself, the consultant is working on both planes
board for creating the anecdote, but details are simultaneously. For example, when a consultee
changed significantly so that only basic similarities suggests that the consultant should be as upset about
the case as the consultee is, the consultant shows
to the client and consultee remain. Discussion of
the fictitious case then results in the realization that appreciation for his or her view but remains calm
the so-called inevitable outcome was only one of about what is happening in the consultation session.
many possible outcomes and that the fictitious case
did indeed have a different outcome. Thus, for ex-
ample, when a consultee suggests that a client must Innovations in Consultee-Centered
agree to assertive training to overcome shyness, the Consultation
consultant might relate a story about a fictitious cli-
ent who overcame shyness by going through a cog- Consultee-centered consultation has received a great
nitive behavioral form of counseling. deal of attention in the first decade of the new mil-
lennium. Consultee-centered consultation — has
Because the consultee is likely to consider the
the consultant evolved over time beyond Caplan’s original concep-
consultant a role model, the ways
tualization, creating the need for a new definition.
responds nonverbally to the consultee’s anxieties components.
This new definition has two important
about the case can be a very powerful tool in theme to “pinpoint
First, the consultant assists the consultee
interference reduction. When the consultant uses a multiple views
critical information and then consider
nonverbal focus on the case, the consultant's nonverbal nal, inter-
about well-being, developme nt, intraperso
behavior demonstrates to the consultee, in a relaxed
personal, and organizational effectiveness appropri-
state free of anxiety, that the consultant is not really
ate to the consultee’s work setting. Ultimately, the
worried that the inevitable outcome must occur.
consultee may reframe his or her prior conceptuali-
This technique works only if the consultee per-
zation of the work problem” (Knotek & Sandoval,
ceives that the consultant has dealt with the case
2003, p. 245). The second point deals with the goal
seriously and thoroughly and has appreciated both
of consultee-centered consultation which is “the
the consultee’s concern for urgent action and the
joint development of anew way of conceptualizing
client’s situation. In a simple example, when a
the work problem so that the repertoire of the Case Example of Consultee-Centered Case
consultee is expanded ... As the problem is jointly Consultation. A mental health consultant is
reconsidered, new ways of approaching the problem working with a social worker whose caseload consists
may lead to acquiring new means to address the work primarily of indigent families. The consultee brings
dilemma” (Knotek & Sandoval, 2003, p. 245). As a up a case about the members ofaparticular family the
result, the working relationship between the consultee consultee thinks are “just plain lazy” and are becom-
and the client system is improved (Sandoval, 2003). ing more so because ofthe welfare they are receiving.
Knotek and Sandoval (2003) point out the signifi- The consultee notes that the middle class is the ulti-
cance of these changes to the definition of mate loser. The consultant listens carefully to the con-
consultee-centered consultation. First, rather than a sultee’s subjective view ofthe case, notes the consul-
psychodynamic orientation, the process employs a tee’s defective judgment, and determines that the
constructivist approach that emphasizes constructing consultee’s difficulty in working effectively with the
conceptual change, that is, how the consultee (and often family is due to theme interference.
the consultant) understands and views the problem The consultee views hard work and effort as
(Sandoval, 1996, 2004). Second, the consultee- vehicles for achievement. The theme interference
centered consultation now encompasses more than takes the form of the syllogism: unless the family
metal health consultation (e.g., instructional consulta- overcomes its laziness (initial category), family
tion) and can occur in a variety of settings beyond members will never amount to much (inevitable
mental health clinics (Caplan & Caplan-Moskovich, outcome). The consultant notes that the consultee
2004). appears to be fixated on the “laziness” of the family.
In the new consultee-centered consultation, In attempts to reduce the theme interference,
consultants build strong relationships with consultees the consultant calls this case a tough one and sug-
and help them tell their stories about their experi- gests that three consultation sessions over a three-
ences with their clients. Through judicious question- week ‘period might help alleviate the problem.
ing, the consultants determine their consultees’ During the consultation sessions, the consultant lis-
conceptualization of the problem and their efforts tens and reacts calmly to the consultee’s frustrations
to date in resolving the problem (Sandoval, 2003). concerning the case. The consultant then describes
Consultants then share their view of the problem two cases involving “lazy” families in which thera-
with consultees and make their thinking transparent peutic benefits were attained, even though the fam-
and explicit. By explaining their views and their ra- ilies remained “lazy.” As a result of these fictitious
tionale for reconceptualizing the problem, consul- case examples, the consultee feels more comfortable
tants help consultees to begin to think differently about working on the case and begins to consider
about the client system. At this point consultants ofalternative approaches to it, such as training in
ten point out anomalous (e.g., atypical) data that may child-rearing practices. The consultant agrees to
cause dissonance for the consultee that can lead to follow up at a later date concerning the consultee’s
richer and deeper thinking on the part of the consul- progress with the case.
tee. This leads to a mutual reconstruction ofthe focus
of consultation and answering why the client system
is behaving in a particular manner.
Caplan and Caplan-Moskovich (2004) have
modified consultee-centered consultation to in-
clude a range of techniques that consultants can
use given the specific consultation situation. They Consultation Goals. [In program-centered ad-
have also made the point that theoretical concep- ministrative consultation, the consultant comes into
tualizations beyond psychodynamic theory are le- an organization and consults with an administrator
gitimate for the consultant to use. with regard to the mental health aspects of some
program or the internal functioning of the organiza- Consultant Function and Roles. The consul-
tion. The consultant enters the organization, assesses tant needs sufficient data-collecting, action planning,
and defines the problem, and makes a written report and communication skills to be able to make findings
that includes a series of recommendations. It is up to and present recommendations in a form understand-
the consultee to adapt the consultant’s report and able to the principal consultee and other members of
implement it within the organizational setting. the consultee institution. The consultant should be a
Consider this example based on an article by Petti, content expert, that is, have a thorough knowledge
Cornely, and McIntyre (1993): The mental health of the problem area in which the program admin-
unit of auniversity medical center was asked to con- istrator (principal consultee) requests assistance. The
duct an assessment of amental health program for at- consultant also should be knowledgeable and expe-
risk children and adolescents in a rural county. The rienced in organizational theory and practice, pro-
scope ofthe consultation was to evaluate the services gram development, fiscal policy, administrative
of the local mental health center to the county, ex- procedure, and personnel management.
amine independent service providers as supplements The consultant must be particularly careful to
to the programs of the local mental health agency, create effective relationships with staff members of
and recommend a scope of services for at-risk chil- the consultee institution because their help might
dren and adolescents. The consultation resulted in a be needed in gathering data. For example, the con-
five-year plan developed by the mental health center sultant may obtain significant amounts of informa-
in conjunction with representatives from the county. tion from individual and group interviews with staff
A follow-up study after the implementation of the including information about the internal and exter-
five-year plan indicated separate service units for nal forces working on the organization.
children and adolescents and a successful mechanism The consultant must consider two issues when
for coordinating services by all mental health provi- performing program-centered administrative con-
ders in the county. In another example, Cowles and sultation. The first concerns being responsible for col-
Washburn (2005) describe a consultation on program lecting and analyzing the data required to solve the
design of intensive management units in juvenile problem and make recommendations. Therefore,
correctional facilities. the consultant must do more than merely help the
The specific goals of this type of consultation organization’s staff determine what data they want to
depend on the nature of the consultation request collect since they may lack the knowledge, skill, and
and could include recommendations to deal with confidence necessary to make that determination.
problems in program development, organizational Because the consultant bears responsibility for the
planning, or program functioning. A secondary content ofthe assessment and the recommendations,
goal is that the consultee will learn to deal more the amount, type, and timing of data collection
effectively with similar program problems and issues should ultimately be based on his or her expert
in the future. Just as client-centered case consulta- knowledge and objectivity.
tion makes recommendations for working with a The second issue relates to the consultant’s au-
given client, administrative-centered program con- thority among the organization’s staff members
sultation makes recommendations for an administra- affected by the consultation. In program-centered
tive plan of action. As with client-centered consul- administrative consultation, the consultee is the ad-
tation, a minimum of time is spent in direct contact ministrator who requested the consultant. This ad-
with the consultee. The goals of program-centered ministrator, like any consultee, needs a coordinate
administrative consultation are met in a relatively
relationship with the consultant and is free to accept
brief time, generally ranging from several hours to or reject any or all of the consultant’s report and
recommendations. The consultant’s relationship to
a few days. The consultant is seen as an expert who
comes in, assesses the situation accurately, and writes the administrator’s subordinates, however, is not
knowledgeable recommendations. coordinate. Therefore, in this type of consultation,
192 PART IL NODELS OF CONSULTATION
the sanctioning proces should guarantee that the Application: Consultant Techniques and Pro-
consultant’s requests for information and coopen- cedures. How does the consultant proceed in
ton will be honored by all involved. program-centered administrative consultation? In
the beginning of consultation, needs are explored,
Consultee Experience in Consultation. The the contract is negotiated, the administrator is iden-
consultee in program-centered adminstagve con- titied as the principal consultee, and the approxi-
sulation is the" program adminstmater who expe- mate amount of time the consultant and the
dites the hinng of the consultant in the first phe. consultee will spend together is established,
(This may or may not be the person who initally In obtaining an overview of the problems and
contacts the consultant.) The adminstator should their ramifications, the consultant makes a rapid ini-
be the principal consultee because of the power of tial asessment of the consultees Institution’s structure
that position to both sanction the consultation and and culture and the nature of its problems. At this
ensure that the consultant's recommendations are stage, the consultant is interested in forming general
cared out at the end of consultation. impressions and hunches that will provide a proce-
The consultee’s task & to meet with the con- dural blueprint for the remainder of the consultation.
sultant to discuss the main reasons the consulant & Once the principal problems are identified, the
being hired, any strategies for clanifving the prob- consultant must gather additional information to
lem that involve some of the organization’s staff, shed light on them and to formulate potential solu-
the ume frame for consultation, as welll as the selec- tions Data are gathered by conducting formal and
tion of methods to approve the consultant's activi- informal interviews with both individuals and
ties throughout the organization. groups, by observing the behavior of the organiza-
Because the consultant needs conudenble tion’s members in theit routine work patterns, and
knowledge about the organization to determine by occasionally using questionnaires.
which dat to collect and make reahstic recommen- Based on the information gathered, the consal-
danons, the adminstrator should make available as tant begins to develop interim recommendations
much information as possible conceming the orga- which are then provided to the principal consultee
nization’s nature and methods of operation, The and other authorized parties-atinterest. The con-
adaunistaator abo produces a rnk-ordered bist of sultant incorporates the received reactions into pro-
adnunstative problems about which the consul gresmvely more detailed, complex, and sophisticated
tant’s assistance 8 being requested. recommmendahans,
Danng the consultation the consultee should During asesment and the reformulation of in-
have as much contact with the consultant as the con- * term recommendanens, the consultant should
sultant deems necessary and should complete ove maintain as mach contact with the primary consul-
pnmary tasks provide the consultant an ongoing tee as & feasible. Such contact provides the
broad view of the organization and the interactive consultant with reactions from the organization’s-
nature of its subsystems, and react to the consulaant’s adminstavion, maintains the consultee’s interest in
tentative findings so that he or she can modify the the consultation, and increases the likelihood that
recommendations at key times dunng the consulta- some of the consultant’s skills will “rub off” on the
TOR Process. consultee, By progressively modifying the recom-
After the consuitant’s report has been filed, the mendations made to solve the problem, the consul-
consultee is responsible for the degree to which the tant has used a collaborative approach.
recommendations are accepted and implemented. The tmal recommendations should have both a
Finally, during follow-up the cansultee is expected short-term and a long-term feces and should
to assist the consultant in asessing the impact of detail, procedurts required to implement the
consultation. recommendavons,
Because the consultant’s report is typically dis- lowing is part of the consultant’s final written
tributed widely and throughout several levels in the report:
consultee institution, it should be written in a for-
mal style and should cover the issues and problems Problem 1.1. The image of the dropout
investigated well enough to be understandable to prevention program is poor among stu-
parties-at-interest who had no direct contact with dents and many staff members. The inter-
the consultant. views conducted by the consultant suggest
Finally, the consultant should set up a follow- that most students view the dropout pre-
up schedule before terminating the consultation vention program as “not a cool place to
and should arrange to receive the results of the im- be.” Students in general perceive students
plementation of the recommendations. associated with the program as “rejects.”
The school counselors see the program as a
Case Example of Program-Centered Adminis- “dumping ground” for students who are
trative Consultation. Marilyn, a mental health having a difficult time adjusting to school.
consultant, is working with an administrator, the The teachers tend to think of the program
head counselor, and the dropout prevention coor- as one more “non-academic” activity at
dinator of a large urban secondary school. The school. The administration and dropout
focus of consultation is the school’s dropout pre- prevention coordinator see the program as
vention program. The dropout rate for the school being adequate.
is one of the highest in the state and is still increas-
ing in spite of the dropout prevention program, The following suggestion is made: The ad-
which has been in existence for three years. ministration of the school should appoint a
Marilyn has been asked to make recommendations Dropout Prevention Program Advisory
to improve the program. Before the onset of con- Committee with representatives from the adminis-
sultation, Marilyn made a thorough study of other tration, the program, students, the counseling de-
dropout prevention programs in the state. partment, and teachers. The dropout prevention
She spent one day in the school to get a feel fora coordinator would present the committee an an-
typical school day and during the next week con- nual plan for working with potential dropouts as
ducted in-depth interviews with the administrator, well as methods of promoting the program’s image
the head counselor, and the dropout prevention co- throughout the school. Special attention needs to
ordinator about their perceptions of the program. A be paid to student views of the program.
few “high-rise” public housing students and some The consultant followed up three months later
teachers were also interviewed. The results of these and found that the school was actively engaged in
interviews led Marilyn to conclude that the program carrying out these recommendations. The dropout
was viewed as a stigma or as “Mickey Mouse” by prevention coordinator was enrolled on a part-time
virtually everyone except the school’s principal and basis in a master’s degree program in counseling.
the program coordinator. The program coordinator
ear
was viewed as being inadequately trained, as having a
“cake” job, and as not being sensitive enough to the
needs of the students in the program.
Based on these findings, the consultant made
some interim recommendations for changing the Consultation Goals. Consultee-centered admin-
program’s image and for getting the coordinator istrative consultation is the most complicated,
additional training. These recommendations were interesting, and demanding type of consultation.
shared with the appropriate staff members and The consultant is hired to work with an organi-
were modified according to their input. The fol- zation’s administrative-level personnel to help solve
problems in personnel management or the imple- problems and gathering data. Consultants present
mentation of organizational policy. The goal 1s to ideas to consultees and encourage them to discuss
enhance the professional competency of an admin- and act on them.
istrative staff (Erchul & Schulte, 1993). The consul- Recent trends in consultee-centered adminis-
tant gathers information from within the organiza- trative consultation suggest that consultants should
tion to identify its problems and help consultees focus on trying to achieve lasting organizational
overcome them. The consultant can work with change (Caplan et al., 1994). This can be accom-
an individual, although most often there is more plished by attempting to reduce stressors in the or-
than one consultee. ganization, by assisting in developing programs that
The primary goal of consultee-centered admin- deal with crises that may arise, and by creating me-
istrative consultation is an increased level of consul- chanisms such as EAPs that permit individuals to
tees’ professional functioning with regard to program seek psychological assistance on an easily accessible
development and organization so they help the insti- basis.
tution accomplish its mission in the future—this form
of consultation is educative in nature (Mendoza, Consultee Experience in Consultation. The
1993). A secondary goal is producing positive pro- principal consultee in this type of consultation 1s
gram change. the administrator who hired the consultant. This
administrator has the job of helping the consultant
Consultant Function and Roles. In consultee- decide whether additional forms of consultation are
centered administrative consultation, the consultant required, whether there are to be other consultees,
may work with one or more administrators referred and how they are to be involved in the consultation
to as principal consultees. The consultation 1s expected process. As in consultation of any kind, the princi-
to be long-term, ranging from a few months to pal consultee negotiates the contract, assists in get-
more than a year. Depending on the size of the ting sanctions from the top administrator, and
consultee institution and the nature of the requested provides the consultant logistical support for study-
consultation, more than one consultant may be ing the organization’s social structure.
used. The consultant needs the same skills required The consultee must determine the extent of
for program-centered administrative consultation, contact with the consultant and arrange meetings
including expertise in group consultation and spe- at which the consultant can present findings to all
cialized knowledge of social systems, administrative consultees involved. It is important that consultees
procedures, and organizational theory. In particular, know from the start that the consultant will discuss
the consultant must be able to understand how these the findings with them for their consideration and
skills relate to individuals and subgroups within the input. Although the primary focus of consultation is
consultee institution, as well as to how the institu- on organizational problems, an important goal is for
tion relates to the broader community. A final skill consultees to use the consultant’s input to further
needed is the ability to scan the entire organization develop their own skills.
and make quick judgments about portions of the
organization to examine in more depth. Application: Consultant Techniques and Proce-
Upon determining who the consultees are, the dures. The beginnings of consultation are the
consultant enters the organization, performs same as in the other types of mental health
relationship-building activities, studies the social consultation and more or less follow the entry
system of the institution, plans an intervention, in- procedures discussed in Chapter 3. The consultant
tervenes at the individual, group, or organizational in consultee-centered administrative consultation,
level, and then evaluates and follows up. however, has two unique problems at the onset of
The consultant is more or less “free to roam” consultation. The first is determining who, in addi-
through the organization and assists in defining tion to the administrator, will be consultees. The
administrators may want the consultant to have the freedom to collect data about any aspect of the
contact with subordinates so that they can inform organization, they would do well to focus on issues
the consultant about the organization. The consul- that are both important to the staff and related to
tant would then use this information while changes the staff would like to make.
consulting with the administrator. However, the In planning the intervention, the consultant
administrator may want the consultant to consult should avoid the temptation to intervene too quickly
with the subordinates concerning issues and pro- and should review the findings, set some goals, and
blems within the organization. Whichever is the determine how these goals are to be met. Each inter-
case, it is very important for the consultant to be vention has a time limit, should be related to a prob-
sure that everyone involved is aware of the nature lem the consultee thinks is important, and targets an
of the consultant’s role. individual, a group, or an organization.
The second problem is to ensure that members As in all types of consultation, the consultant
of the consultee’s institution understand that the schedules a follow-up session in which to evaluate.
consultant is an independent agent of change who If the consultation is ongoing, the consultant is then
can move freely within the organization. Members free to move on to another problem.
of the organization may suspect that the consultant
Case Example of Consultee-Centered Adminis-
is a spy for the administrator, an agent who will use
trative Consultation. A community counselor
psychological influence to get them to do what the
was consulting with the staffof acommunity mental
administrator wants, or an outsider who wants to
health center that was working with an increasing
mold the institution into some preconceived form.
number of clients with special problems, including
This perceived threat can be minimized by building
AIDS. A former staff member had, in fact, recently
proper relationships, including maintaining coordi-
contracted the disease. The staff members seemed
nate relationships, communicating openly, and pro-
familiar with the controversies surrounding AIDS,
ceeding cautiously when introducing interventions.
but were ill at ease about such problems because of
As the consultant studies the organization’s social
denial of the disease by some patients. The consultant
system, problems and issues are identified and then
decided to use a consultee-centered approach but did
presented to the consultees concerned. The consul-
not focus directly on the AIDS issue until some con-
tant’s intervention is a neutral one that is restricted to
sultees brought it up. Once the subject was broached,
“Increasing the range and depth oftheir [consultees’|
the consultant attempted to extend the consultees’
understanding of the issues and to augmenting their
knowledge ofdenial in some AIDS patients.
emotional capacity to use such knowledge produc-
The consultant met with the group of consultees
tively. It is then up to them to work out solutions in
for four sessions to discuss coping with client denial
the light of their own personal and role-related
and shared information on the feelings helpers often
choices” (Caplan & Caplan, 1993, p. 272). The
have when working with chronically ill patients.
most effective way for the consultant to remain neu-
After the four sessions, the consultant evaluated the
tral is to keep in mind the consultation processes of
consultation process with the principal consultee and
collecting information, making a consultation plan,
arranged for a follow-up in six months.
and intervening to implement the plan.
Data collection has more constraints in consultee- Modifications of the Caplanian Model
centered administrative consultation than it does in
program-centered consultation. First, staff participa- Caplan and Caplan have recently updated the ideas
tion in data collection is voluntary, even though it is expressed in The Theory and Practice of Mental Health
administratively authorized. Second, because the peo- Consultation in a text entitled Mental Health
ple from whom the consultant is collecting data are Consultation and Collaboration (1993, 1999). The
potential consultees, relationship building must be ac- vast majority of Caplan’s original ideas remain the
complished as well. Third, although consultants have same, though several have been expanded.
In addition to developing the concept of col- behavior modification, and human ecology (Gutkin
laboration as an alternative to consultation, Caplan & Curtis, 1999; Smith et al., 1997). Termed the eco-
and Caplan have modified the earlier model in logical approach, this view emphasizes that behavior is
some relatively minor ways. For example, they a function of the interaction of the characteristics
more strongly support consultation with groups of of the environment and those of the individual
consultees so that members can assist one another. (Conoley & Haynes, 1992; Kloos et al., 1998). This
The support that group members can provide one trend implies less emphasis on case-oriented models
another allows the consultant to maintain a peer and more on those concerned with ecology and
relationship with the consultees. events (Jason et al., 2005; Thomas, Gatz, & Luczak,
The consultant roles—mediator and conciliator 1997). As Jason et al., (2005) note, “The ecological
—have been advocated by Caplan and Caplan for perspective helps school and community consultants
use in specific situations, such as helping divorcing consider and work with the broader social systems
parents form a collaborative relationship in order to and institutions within the community that reflect
safeguard their children’s rights. community norms and ultimately people’s lives”
Some of Caplan and Caplan’s techniques, such as (p. 207). Hence, mental health consultants are in-
theme interference reduction, have received criti- creasingly moving into the area of organizational
cism for being manipulative in nature. For example, consultation.
Henning-Stout (1993) recommends referral to other The ecosystem, the interacting systems related
mental health professionals in the case of loss ofpro- to individuals and their environments, provides the
fessional objectivity. However, Caplan and Caplan context for understanding human behavior. The
(1993) argue that the intention of the consultant is ecological perspective provides consultants with
what determines whether or not the manipulation 1s ways of making changes within a given system,
unethical and that the consultant and the manipulator helps individuals contribute significantly, and helps
both try to note the other person’s weaknesses—the people’ adapt to the setting in which something is
manipulator to undermine the person, the consultant expected of them.
to help the consultee overcome those weaknesses. The ecological perspective suggests that a strong
Thus, they conclude that if the consultee knew about consultation relationship and shifts in consultee atti-
the benign nature of the consultant’s manipulations, tudes are insufficient to effect change (Kelly, 1983).
he or she would judge the manipulation as positive. Rather, the resources in the organization must be taken
Furthermore, Caplan and Caplan suggest that when into account. In such models, the consultant becomes
consultees seek consultation, they are giving tacit part of the community’s system and changes the eco-
or explicit consent for any interventions, including logical interactions to produce a-milieu that promotes
benign manipulation. These authors also conclude mental health. Prevention is a key goal of the ecologi-
that not every consultee is suitable for consultee- cal perspective. The setting constitutes the client
centered consultation and that, in such cases, consul- system in this perspective and is usually either an orga-
tants should move to a client-centered method that nization or the community at large. Interventions are
excludes any manipulation. They also note that many “aimed at developing long-term adaptive processes for
of the principles and basic techniques of mental the betterment of the setting and its members”
health consultation are quite appropriate for use by (Trickett, 1986, p. 189). Interventions and strategies
consultants outside of the mental health field. for any model of consultation can be used when ap-
propriate. Consultation is successful when the organi-
zation or community is able to locate and develop its
The Ecological Perspective
own resources, which are then linked to external re-
New models of mental health consultation are in- sources (Kelly, 1987). Each setting is viewed as having
creasingly examining the human-environment inter- its own unique physical and social characteristics. In its
face, which has led to greater emphasis on systems, own way, the ecological perspective has several of the
characteristics ofthe doctor-patient model discussed in = The purpose of a preventative intervention is to

Chapter 11, namely, an emphasis on diagnosis and the activate and develop resources (Kelly, 1987, p. 3).
attempt to tailor intervention to the setting. The eco-
The role of the consultant is to identify the
logical perspective is radically different from the
social resources of the setting and help members
doctor-patient model in that it has a preventative ori-
help one another. This is accomplished in part by
entation, a strong emphasis on the consultant—consul-
the consultant being as aware of the setting and its
tee relationship, a strong focus on ecological variables, a
external environment as the individuals in that set-
consideration of the way an organization is conceptu-
ting. Such mutual assistance helps the organization
alized, and a focus on collaboration throughout the
or community adapt, cope, and become empow-
consultation. Two guiding principles for the consultant
ered. In short, the ecological perspective provides
are that the client system is a part of afunctioning social
consultation that nurtures the opportunity to ac-
system, and disturbances are not things inside the indi-
quire competencies for self-development in the
vidual but rather discordances in the system. The term
presence of social support.
“discordance” refers to the differences between the
There are several principles that guide the be-
individual’s abilities and the demands of the environ-
havior of the parties involved in consultation from
ment (Conoley & Haynes, 1992).
an ecological perspective (Kelly, 1987). I have se-
Proponents ofthe ecological perspective (Tindal
lected five of these to provide an overview of this
et al., 1990) suggest that a great deal of mental health
approach:
consultation fails to consider the environmental con-
text within which it takes place. For example, » People, settings, and events are resources for the
whereas consultants typically realize that consulting development ofthe consultation, which takes
in a school is vastly different from consulting in a into account the fact that these features are
hospital’s human resource development program, present in all social settings and make up the raw
they rarely consider that one school differs vastly material from which change occurs. Thus, con-
from another (Kelly, 1987). Consider a second ex- sultants scan the entire social organization for
ample in which a consultant helps a therapist effec- resources to develop preventative actions within
tively assist a client, but the client returns because he the everyday life of the organization (Kelly,
or she is unable to fit into the community. 1987). For example, a consultant notes that the
In contrast, to think ecologically is to consider teachers’ lounge in a school may be an excellent
how people, settings, and events can become re- setting for teachers to discuss innovative ideas.
sources for positive developments in individuals and # The ecological paradigm advocates the con-
total organizations, as well as how these resources can servation and management of resources, which
be managed and conserved (Trickett, Kelly, & taps the vast social energy within the indivi-
Vincent, 1984). This model assumes that consultee duals in a given setting so that they become
power is needed to effect true change—for example, resources for each other. Thus, the consultant
in reducing the constraints due to social structure and assesses the resources within an organization
processes within an organization. The ecological with an eye toward developing those that are
model is based on principles that emphasize the inter- used extensively while saving those that are
actions between individuals and their environments. overused. For example, a consultant determines
There are three premises of the ecological per- how sensitive topics can be discussed with im-
spective that guide the consultant: punity in a human service agency.
» €ach social setting has a finite number of re- = The positive qualities of people, settings, and
sources to maintain and develop itself. events in every organization can be activated to
» An adaptive environment has members who empower the membership. Activating qualities
have a variety of competencies. such as enthusiasm, informal settings such as the
coffee room, and events such as birthday cele- ecological perspective, the consultant had a lot of
brations should be encouraged. Thus, consul- leeway in how she might proceed. Realizing that
tants identify and employ such qualities as per- each family service center is a unique setting, the
sonal initiative, social settings, and informal consultant investigated how the people at the cen-
events as growth opportunities for the organi- ter interacted within their work setting.
zation. For example, a consultant organizes a She reviewed the history of the center, observed
series of “brown bag” luncheon meetings whose the people in their work environment, and conducted
topics emerge from the informal interactions of interviews to determine how newly hired people
the participants. were oriented and how employees were acknowl-
edged during the everyday course of events. The con-
=» The dominant means of growth and change
sultant provided a survey that assessed the workers’
are coping (how members ofthe organiza-
views of their real and ideal work settings. In noting
tion deal with stress) and adaptation (how
discrepancies between the real and the ideal, she found
they undergo changes in “fitting into” the
that employees had issues with the degree of auton-
organization). Thus, consultants maximize
omy they felt, the amount of work-related stress they
the qualities of coping and adapting, for exam-
ple, by sponsoring a series of wellness activities
experienced, and the quality of communication with
such as stress management or exercise programs. supervisors. Areas of strength included reward for pro-
ductivity, acknowledgment for effort, and opportu-
# Consultation isa flexible improvisational process nities for professional development.
with no set way of proceeding. Thus, consultants Based on her findings, the consultant and staff
may want to maximize networking within the engaged in a variety of interventions to enhance the
setting to identify resources and strategies. center’s quality of life. First, they capitalized on in-
# Inconclusion, the ecological perspective informal elements of the center. People were encour-
volves all members ofthe setting in preventative aged to take breaks together, flexible work schedul-
measures by identifying its strengths and weak- ing was introduced, and a staff volleyball team was
nesses. With a systems view, the resources are formed. Quality circle problem-solving groups with
then developed so that the setting is self- participation at all levels of the center were created.
enhancing. The goal is the creation of an eftec- Finally, a community advisory group for the center
tive social setting in which all members contrib- was created and an internal network was formed to
ute to its maintenance and growth by serving as smooth the flow of communication. These empow-
resources for each other. As you might have ering interventions were designed to prevent the
surmised, this approach to consultation is very center from experiencing major problems.
demanding and can be quite time consuming. The consultant’s final report noted that assisting
The ecological perspective is just that—a per- the center from an ecological perspective would have
spective. It does not attempt to be a model of been much more difficult ifthe director had not been
consultation. Therefore, it is up to consultants to supportive of change. Further, it appeared that the
interpret the principles of this perspective as center staff were now involved in daily operation of
guidelines for effective practice. The ecological the center to a degree that they could be self
approach, although valuable, has yet to reach its supporting.
promise as a way to aid communities and com-
munity groups (Trickett, 1993).
COLLABORATION FROM A
Case Example of the Ecological Approach to MENTAL HEALTH PERSPECTIVE
Consultation. A community psychologist was
consulting with a family service center concerned As you may recall, Caplan developed his model of
about its work environment. By coming from an consultation in the context ofan external consultant
who becomes a temporary member of the consultee As you can see, in collaboration, the collabo-
organization. As increasing numbers of mental health rating specialist takes primary responsibility for the
professionals such as school psychologists and school mental health outcome of the case or program and
counselors were hired in the schools and started pro- equal responsibility for the overall outcome of the
viding consultation services, there were some strong case or program (Caplan et al., 1994).
effects on Caplan’s original consultation model. The major implication of Caplan and Caplan’s
These effects included the idea that it would be recent ideas for practicing consultants seems to be
more difficult for the consultee to reject the consul- the necessity for the human service professional to
tant’s recommendations; that the level ofexpertise of determine at the outset of the helping relationship
the consultant would make a nonhierarchical rela- whether consultation or collaboration is in .order.
tionship impossible; and that an in-house mental This determination can be made by assessing the
health expert would, under normal circumstances, skill level of the consultee: if high, then perhaps
be expected to participate in the intervention and consultation is in order; if low, then the consultee
thereby would be responsible to some degree for can either be trained to manage the case and then
the outcomes of the case (Caplan et al., 1994). Asa consulted with, or the human service professional
result, Caplan and Caplan (1993) have expanded the can suggest a collaborative relationship and take part
concept ofcollaboration into a process complementary in the treatment. In any case, the counselor or
to, but different from, consultation. psychologist may want to consider collaborating
Collaboration does not take away from consulta- in all cases and programs by the very fact of being
tion but adds to it (Erchul, 1993a). The difference is an in-house professional.
this: In collaboration, the mental health practitioner Mental health collaboration can be particularly
determines which cases to discuss, takes responsibility suitable for school-based human service professionals
for the mental health outcomes ofthe cases, and typi- (Caplan et al., 1994). Caplan and Caplan (1993) use
cally joins in the treatment of the client and seeks the terms “collaborating professional” and “collabo-
changes in the host organization that will benefit the rating specialist” to describe the counselor or psy-
chents. In consultation, the consultee chooses which chologist in a school providing collaboration. For
cases to discuss, remains responsible for the interven- example, a school-based mental health professional
tions and outcomes of the cases, and does not seek might consult with a teacher about classroom man-
changes in the host institution unless asked to do so. agement procedures for an acting-out student while
Caplan and Caplan (1993) make the distinction collaborating with the teacher by providing counsel-
between collaboration and consultation in this way: ing services to the student to help reduce the behav-
ior. As this example demonstrates, there is no inher-
The essential difference between collabora- ent conflict between collaboration and consultation.
tion and consultation, as I use the terms, is this: In addition, as this example suggests, the mental
In collaboration, the mental health specialist health professional is responsible for certain aspects
joins the care-giving team inside the com- ofthe case (helping the student adjust to the situation
munity institution, such as a school system behaviorally), as is the teacher (making sure appro-
or a general hospital, and accepts responsi- priate academic learning occurs). Caplan’s recent
bility for the mental health outcome ofits writings strongly suggest that mental health collabo-
cases. The specialist may fulfill his or her ration should replace consultation as the method of
mission by ensuring that the other team choice by mental health workers who are staff mem-
members deal effectively with the clients, in bers of an organization. At the same time, Caplan
line with his or her,assessment oftheir needs, cautions against ignoring the differences between
or else he or she may undertake to imple- human service and for-profit organizations
ment part or all of the diagnostic and re- when considering mental health collaboration
medial plan him- or herself. (p. 46) (1993). Table 9.2 summarizes the differences
200 PART III MODELS OF CONSULTATION
TABLE 9.2 Mental Health Consultation and Mental Health Collaboration Contrasted on Key
Dimensions
DIMENSION MENTAL HEALTH CONSULTATION MENTAL HEALTH COLLABORATION
Location of consultant's home base External to the organization Internal to the organization
Type of psychological service Generally indirect with little or Combines indirect and direct ser-
no client contact vices, and includes client contact
Consultant—consultee relationship Assumes a coordinate and non- Acknowledges status and role dif-
hierarchical relationship ferences within the organization and
thus the likelihood of a hierarchical
relationship
Consultee participation Assumes voluntary participation Assumes voluntary participation, but

acknowledges the possibility of
forced participation
Interpersonal working arrangement Often dyadic, involving consultant Generally team based, involving sev-
and consultee eral collaborators
Confidentiality of communications Assumes confidentiality to exist, Does not automatically assume con-
within relationship with limits of confidentiality (if any) fidentiality, given organization real-
specified during initial contracting ities and pragmatic need to share
relevant information among team
members
Consultee freedom to accept or Yes Not assumed to be true, as a colla-
reject consultant advice borator’s expertise in his or her
specialty area is generally deferred
to by team
Consultant responsibility for case/ No Shares equal responsibility for over-
program outcome all outcome, and primary responsi-
bility for mental health aspects of
case or program
SOURCE: From Caplan, G. R., Caplan, R. B., and Erchul, W. P. (1994). Caplanian mental health consultation: Historical background and current status.
Consulting Psychology Journal, 46, p. 7. © 1994 by the Educational Publishing Foundation and Division of Consulting Psychology. Reprinted with permission.
between mental health consultation and mental sultee. Consultee-catered case consultation is suit-
health collaboration. able for consultees wanting assistance from a knowl-
edgeable authority figure. Ingraham (2003, 2004)
points out that consultee-centered consultation can
be effectively used in multicultural consultation to
MULTICULTURAL ASPECTS help consultees construct culturally sensitive under-
standings of problems. The focus of both of these
RELATED TO MENTAL
types of consultation on the case (and not the con-
HEALTH CONSULTATION sultee) makes them safe for consultees from cultural
groups that do not value self-disclosure. Caplan’s
Just as organizational consultation offers more than model is flexible enough to account for other
one type of consultation, so too does mental heath worldviews due-to the coordinate, nonhierarchical
consultation. Caplan’s client-centered case model relationship between consultant and consultee
allows for minimal disclosure on the part of the con- (Harrison, 2004). As a result, mental health consul-
CASE 9.1 Mental Health Consultation for School Consultants
Micheline is a school counselor assigned to a large ur- a support group, Micheline would be the one who
ban junior high school. The school has been would be the leader and the expert, while others
experiencing an increase in gang behavior along with wondered why Micheline kept the group focused on
an alarming increase in the number of students bring- work even when some members brought up very per-
ing weapons onto campus. Micheline was asked by re- sonal issues.
presentatives from a group of language arts teachers On hearing this feedback, Micheline suggested
to consult with them on stress management. that she and the group renegotiate her role and had
In a meeting with the teachers, it was apparent to each member write down and then read what he or
Micheline that they were experiencing a great deal of she expected from the group and from Micheline. As it
stress over possible violence in the classroom. Teachers turned out, most members wanted Micheline to be
noted that the increase in stress had begun to affect more active and directive. There was also a trend
the quality of the group’s communication adversely, among the members to discuss how to make their
had increased the number of teacher leave days, and classrooms more secure from gang activity and
had led many of the teachers to leave school at the weapons.
earliest possible moment after student dismissal. The Micheline agreed to the group’s request, moving
teachers related their concerns that the school admin- away from stress management training and toward
istration had neither taken a strong enough stand with teachers’ concerns about particular students with re-
the gangs nor implemented adequate security proce- gard to gang behavior or potential violence. She acted
dures to prevent weapons on campus. Having discussed as a resource on gang behavior and ways of minimiz-
the matter with the principal and been told that the ing violence in the classroom. The group’s evaluation
procedures for making the school secure were appro- of the consultation experience reflected a very positive
priate, adequate, and approved by the local superin- attitude toward Micheline’s role as a resource person.
tendent’s office, the teachers concluded that their only The evaluation also indicated that the teachers felt
recourse was to create a self-help group to cope with very supportive of one another even though the con-
the ongoing stress. cept of a direct support group had been abandoned.
Micheline agreed to meet with the group for one
hour after school once every two weeks to form a peer Commentary
support group and train teachers in stress manage- Regardless of the initial contract and expectations of
ment strategies. The first two meetings dealt with the the parties involved in consultation, things change.
nature of peer support groups among teachers, and Micheline showed both flexibility and resiliency in her
subsequent meetings were divided between stress work with the group as indicated by her willingness to
management training and dealing with issues individ- renegotiate the nature of role with the group mem-
ual teachers raised. bers. This case also brings out another very important
Micheline began to feel that the teachers tended point about mental health consultation: even though
to look at her as the ultimate authority in the group the consultant can make group-focused interventions
instead of focusing on how to help one another, per- such as stress management training, it is typical for in-
haps because she was training the group. In bringing dividual consultees to want assistance with their own
up her concern, she was very surprised at the reaction: agendas, in this case, strategies for dealing with par-
several of the teachers felt that although they were in ticular students.
a nn en, EEE EEIEEEIEEEEIEISnEEI EEE
tation may be seen as desirable by disenfranchised ables and modifications of the process to meet the
groups. The move toward eclecticism on the part needs of culturally diverse groups. Harrison (2004)
of mental health consultation allows for a broad noted one criticism: The concept of theme interfer-
conceptualization of the problem and a wealth of ence and its related issues of control over one’s psy-
interventions for assisting the client system. The chodynamic issues may be discrepant from the
increased breadth and flexibility that has emerged worldview of groups such as Native Americans,
in mental health consultation has created the condi- Inuits, women, and racioethnic minorities.
tions that allow for sensitivity toward cultural vari-
CASE 9.2 Mental Health Consultation for Community Consultants
The consultee, Clover, is a family resource coordinator home visit. Della questioned Clover about alternative
for a New Start program for low-income single approaches to focusing directly on the client’s goals.
mothers. The program provides support in such areas Della mentioned that she saw the client as reluctant
as finding work; raising children; developing budgets; rather than resistant. Perhaps taking the first step to-
personal, career, and family counseling; and advocacy. ward accomplishing her goals was just too much for
The program helps women set and meet goals that the client.
lead to self-sufficiency. Clover is a support person for Della then wrote a detailed report that contained
the women and maintains contact with them over a recommendations on how Clover might manage the
two-year period. She was having some difficulties in case, a brief analysis of the client including her lack of
helping one client meet her program goals and had any type of social support system, and the conclusion
asked Della, a community counselor with a local men- that such a support system should be the primary goal
tal health center, to consult. Clover had made several for Clover to help the client develop. Della listed sev-
home visits with the client, who avoided any significant eral interventions that she knew Clover was familiar
discussion of her problems and had difficulty being as- with or could obtain resources for, among which were
sertive. The woman also had difficulty with minor peer counseling, a singles support group, strength
bouts of depression and exhibited self-esteem issues. bombardment, and goal attainment scaling.
Clover had asked Della for assistance in building Della met with Clover one more time to go over
stronger rapport and for methods to promote asser- the report and encouraged her to follow through.
tiveness and motivation with the client.. They agreed to meet in a month to discuss Clover’s
Della took time during the first session to build progress with her client, and Della encouraged her to
rapport with Clover, and then asked how she had pro- call if any glitches showed up in the plan.
ceeded with the case so far—in particular what inter-
ventions had already been implemented to resolve the Commentary
problems. In looking for any lack of skill, confidence, or This case illustrates the skill of determining which type
objectivity in Clover, Della determined that client- of mental health consultation to employ. Notice that
centered case consultation was appropriate. Clover this decision, although not irrevocable, did guide Della
admitted that she had resorted to persuasion and a in her work with Clover. If Della had determined that
few gentle confrontations. In looking over the client's consultee-centered case consultation was in order, she
written goals and history, Della wanted more data so would have proceeded in a very different manner.
she could further determine Clover’s strengths and Notice that Della was not reluctant to share her ex-
limitations in managing the case and better assess the pertise with Clover and that she based her recommen-
client's difficulties. She asked Clover to contact the cli- dations on direct observation of the client. Such ob-
ent for a home visit and for permission to go along. servations are time consuming and raise the issue of
During the home visit Della took a low profile, whether alternative ways of observing through audio
observing Clover and the client as Clover again went or videotapes are as legitimate as direct observation.
over the client’s goals and the lack of progress being This case also highlights the importance of assessing
made toward them. As Della drove back with Clover to the consultee’s skills to ensure that the consultant’s
her office, they discussed what happened during the recommendations are possible.
SUMMARY
In mental health consultation, a mental health expert 2004) and has its origins in the psychodynamic
(consultant) helps a human service worker or admin- school of psychotherapy. This model stresses the im-
istrator (consultee) with a work-related problem. portance of the consultant-consultee relationship
The approach is historically identified with Gerald and emphasizes enabling consultees toapply what
Caplan (1970, 1974, 1977; see also Caplan & they learned in consultation to similar situations in
Caplan, 1993, 1999; Caplan & Caplan-Moskovich, the future.
The combination of two levels of mental health confidence, or objectivity. Depending on the type of
consultation (case and administrative) with two possi- consultation and the nature of the consultee’s diff-
ble targets (the client or program and the consultee) culty, consultants have at their disposal a broad array
produces the four types of mental health consulta- of techniques, including the most innovative and
tion: client-centered case, consultee-centered case, controversial of these techniques—theme interference
program-centered administrative, and consultee- reduction. All of these approaches to mental health
centered administrative. Consultees can have work- consultation share the common goals of helping the
related concerns due to a lack of knowledge, skill, consultee be more effective in the present and future.
RECENT TRENDS
Several trends have occurred in mental health con- 1988; Parsons & Meyers, 1984; Schmuck, 1983) have
sultation since Caplan published his inaugural work modified Caplan’s original formulations.
in 1970. It is to his credit that many of these trends The issue of whether the consultant should di-
involve adaptations of his model, such as reconsid- rectly confront consultee defenses has received some
eration of who may qualify as a consultee and inattention. Some authors (Dougherty et al., 1996;
novations in methods of working with them. Parsons, 1996) take a positive view of such confron-
One trend, described earlier in this chapter, is the tation. These authors disagree with Caplan’s conten-
move toward using collaboration when internal con- tion that direct confrontation takes away a consul-
sultants need to take some direct responsibility for part tee’s defenses and that the time available in
of the plan to help the client system. This is a rather consultation for providing defensive coping strategies
dramatic move away from traditional consultation, in is too short. Proponents ofdirect confrontation argue
which the consultee maintains responsibility for the that it is time effective, much less dangerous than
outcome ofthe plan. The concept of reciprocal con- Caplan implies, and does not diminish self-esteem.
sultation, which is implicit in collaboration, is not well Theme interference reduction has also been
developed in Caplan’s writings. Rather than focusing modified. Heller and Monahan (1983) reconceived
on how professionals working with the same client theme interference as being due to stereotypes and
system can consult with one another about the client produced a method for alleviating these stereotypes
system, Caplan’s writings emphasize each professional without having to focus on manipulating the con-
implementing a part of amutually agreed-upon plan. sultee or on the psychodynamic influence that orig-
Another trend in mental health consultation is the inated the theme interference reduction methods.
continued inclusion of nonprofessionals as consultees. Theme interference can be reconceptualized in
Parents, volunteers (such as hospice workers), and terms of irrational beliefs and corrected using the
paraprofessionals (such as mental health technicians) principles of Rational Emotive Therapy (RET) de-
all work with people in ways that can loosely be developed by Albert Ellis (Harrison, 2004).
scribed as providing human services. Consultants can Group consultation has received positive atten-
help these workers deal more effectively with the peo- tion because ofits cost-effectiveness and the realiza-
ple they serve by using essentially the same methods tion that it may be as effective as individual consulta-
used with professionals. However, Caplan’s consultee- tion, particularly in promoting innovation (Caplan,
centered model does not apply to parents because it 1s 1OVA 1977; iCaplan 6a “Caplan, 1993.9 e929;
unlikely that they can be objective about their chil- Counselman & Weber, 1994; Davis & Hartsough,
dren. Over the years, experts in the field of mental 1992). For example, school-based and external
health consultation (Altrocchi, 1972; Heller & consultants are involved in teacher retention through
Monahan, 1983; Hodges & Cooper, 1983; Knotek the use of support groups using a consultee-centered
2003, 2004; Kuehnel & Kuehnel, 1983b; Osterweil, model to group consultation (Babinski & Rogers,
1998). Drum and Valdese (1988) developed a system Also on the increase is the technical assistance
for determining levels of client system needs and mental health consultants provide agencies (Lewis
the degree to which advocacy is appropriate for et al., 2003; Sears et al., 2006). Such assistance fre-
each level. Advocacy consultation can also be linked quently takes the form ofoutreach consultation and
to network-building consultation in which human involves the direct dissemination of knowledge and
service consultants work with community groups skills to human service agencies (Sullivan & Rapp,
and/or agencies for the purposes of sharing informa- 1991). For example, mental health consultants are
tion, promoting linkages, and developing a unified increasingly being called on to assist in programs
response to mental health issues that arise. For exam- that lead to independent living, are designed to de-
ple, a mental health professional might proactively crease psychiatric hospitalization, and whose objec-
assist. a small rural community in developing a tives are to increase the number of clients served by
network for assisting the community’s AIDS patients. human service agencies. In another example, consul-
Advocacy can also be involved in grassroots consulta- tants engage in psychoeducational group interven-
tion, in which mental health consultants assist groups tion that addresses the needs ofadults caring for aging
and/or agencies in dealing with issues that have men- parents (Schwiebert & Myers, 1994, 1997). Finally,
tal health implications for them or their community. in yet another example, mental health consultants
For example, a mental health worker might help may serve as key members of the multidisciplinary
neighborhood groups develop strategies for keeping team with hospice organizations (Lindberg, 1996).
drug pushers out oftheir neighborhoods. The onset of managed care has also impacted
Mental health consultants are getting more in- mental health consultation. Having to “do more with
volved in staff development. Mental health consultants less” has created opportunities, particularly for psychol-
are also increasingly working with different types of ogists, in providing consultation (such as that based
support groups for, parents, teachers, families with spe- on personality assessment) to other therapists and cli-
cial needs, and others. For example, consultants assist ents’ families (Quirk et al., 1995; Sears et al., 2006).
support groups for families of the mentally ill, families Increasingly, psychologists are marketing themselves
being served by hospice, teachers under stress, and and the clinical utility of their assessment skills with
workers considering career changes. This trend capita- organizations such as HMOs. Even mental health cen-
lizes on the increasing popularity of the mutual help ters themselves are increasingly seeking organizational
movement. In addition, there is a demand for mental consultation from mental health providers (Backer,
health consultants to increase their skills in helping 1993). Caplan’s administrative consultation models
groups organize, recruit members, and make them- can be particularly appropriate for mental health cen-
selves known to the larger community (Werner & ters because the models are user-friendly for practi-
dylend993). tioners and can be adapted to deal with the impact of
Another trend 1s the increasing amount of mental managed care yet still remain innovative. “The adapta-
health consultation performed in medical settings tion of organization development concepts in mental
(Sears et al., 2006). For example, a mental health con- health organizations has made those organizations
sultant may be asked to assist a physician concerning a amenable to consultation in their attempts to manage
patient’s unwillingness to take medication. In another the change that is happening anyway” (Backer, 1993,
example, administrators of nursing homes often rely p. 157). Increasingly, organizational constructs such
on mental health consultants to assist with issues re- as culture are being used to assist consultants in helping
sidents present such as depression, combative behav- human services agencies cope with change.
ior, and confusion (Crose & Kixmiller, 1994). Mental There has been an increase in the involvement of
health consultants are increasingly being asked to personnel from counseling and psychological services
conduct organizational consultations in medical set- centers in post-setondary education settings to partic-
tings, such as the areas of program development or ipate in consultation with other units in the educa-
communication between hospital departments. tional institution (Knotek, 2006; Silverman, 1993).
Consultants provide guidance on retention efforts, health model which focuses on prevention (Nastasi,
students in academic difficulty, — relationships 2004). These mental health services will be based in
between culturally different groups, and issues sur- the school and focus on health and competence at
rounding fraternities and sororities. Particular atten- the class or school level, thus moving away from a
tion is being paid to working with faculty and admin- “deficit” model (Cummings et al., 2004b)
istrators concerning disruptive students (Amada, Finally, there is a trend for consultants to look
1993) and student-athletes (Gabbard & Halischak, beyond the problem-solving paradigm, as well as
1993). increasing support for the concept of empowering
There has been a move toward increased use of consultees, with the consultant taking on the role of
mental health consultants in business and industry resource person (Lewis et al., 2003). For example, a
settings, particularly through Employee Assistance consultant may act as a resource person for assisting
Plans (EAPs) (Shosh, 1996) and organization devel- the administrators of a domestic violence program
opment initiatives (Sears et al., 2006). One of the and the administrators of asubstance-abuse program
most common tasks for consultants is in helping em- communicate more effectively. In reality, this is
ployees adjust to major changes in companies, such as what consultants who take on a collaborative
changes from line production to team production, mode do when they are with a very skillful con-
and in outplacement activities (see Chapter 8). sultee. There is a corresponding move away from
There is a trend for mental health consultant to the problem-solving approach, which places the
work with schools and school systems using a public consultant in the expert mode.
CONCLUSIONS
Mental health consultation has contributed signifi- and reestablishes a state of equilibrium (Caplan
cantly to the psychological well-being of our soci- et al., 1994). This position has tempered the ten-
ety. First, it has made possible increased and better dency on the part of consultants to give in to the
delivery of human services to client systems through time constraints placed on them and their consul-
the use of apyramid structure in which consultants tees’ efforts in organizations such as schools where a
assist consultees working with clients or programs. quick fix is often considered better than nothing.
Thus, a relatively large segment of the population Finally, it has reemphasized the notion that personal
can be served by a relatively small number of pro- issues can affect our work lives for better or worse.
fessionals. Second, it has promoted mental health Indeed, human service professionals may bear the
and has helped to create positive public attitudes following dictum in mind throughout their careers:
concerning the delivery of human services. A sig- “Physician, heal thyself.”
nificant portion of our society now views mental Even though there is no doubt that mental
health as everyone’s business. Third, it has allowed health consultation has had a broad and positive
untold thousands of human service professionals to impact, it is not without criticism. One basic criti-
improve and refine their skills, which has benefited cism is that even though “mental health consulta-
the clients with whom they work. Fourth, mental tion” has been defined, it has been done so more in
health consultation has taught us a hard lesson in terms of what consultants do than in terms of what
regard to our fast-paced society: namely, unhurried the concept itself means. This has led to some con-
and systematic reflection increases the consultee’s troversy over the boundaries of consultation. Long
awareness of the range of options available, coun- ago, Mazade (1983) contended that the boundaries
teracts premature and emotionally based closure, of mental health consultation are too broad: until
there is a better definition of mental health consul- spective in that it assumes there is something
tation and a more consistent set of expectations wrong with the consultee. Hence, the model fo-
concerning what mental health consultants do, re- cuses on problem solving rather than prevention
search and attempts to define relevant delivery of and has thus not developed a larger plan to assist
services to consultees will suffer. communities in creating structures that prevent
Bloom (1984) related several criticisms of mental illness (Trickett, 1993). Although Caplan
mental health consultation that are, unfortunately, views his model as preventative, there is little
still all too true today. First, because mental health about prevention in his writing regarding
consultation focuses on clients and their issues, consultation.
consultees seek new cases rather than perform pre- Caplan also underestimates the amount of
ventative measures. Hence, mental health case time needed to build relationships with individual
consultation may work at cross-purposes with pri- consultees, particularly in consultee-centered ap-
mary prevention. Second, the value of consulta- proaches to consultation. Even the psychodynamic
tion is limited when the individual consultee (in- assumptions underlying theme interference reduc-
stead of the consultee institution) is the target for tion have been questioned, and theme reduction
change. Third, mental health consultation can er- techniques have been criticized as being manipu-
roneously assume that consultees are not function- lative and unsupported by research. Henning-
ing effectively with their cases and programs when Stout (1993) and: even Caplan (1993) himself
in fact they are (Caplan & Caplan, 1993). have suggested that Caplan was perhaps too pre-
Most of the criticisms of mental health con- occupied with theme interference reduction when
sultation have been directed at Caplan’s model. he developed his model.
For example, some authors criticize Caplan for Furthermore, consultants who are also thera-
creating a model that only works in an ideal situ- pists may have much more difficulty than Caplan
ation that is rarely, if ever, obtained. Caplan’s suggests in avoiding direct therapeutic interventions
model has also been described as elitist, a vestige to consultees who are too emotionally involved in
of a time when consultees had limited training in their cases. The transfer of effect, discussed earlier
their field and few well-trained consultants were as a key concept, has been increasingly questioned;
available to assist them. A more preventative per- only minimal research supports this concept’s exis-
spective would characterize consultee-centered tence. Finally, Caplan’s view of a coordinate, non-
case consultation, for example, as the development hierarchical relationship is criticized because con-
of knowledge, skill, confidence, or objectivity in sultants, particularly in consultee-centered case
the consultee (Knotek, 2003, 2004; Meyers et al., consultation, do not always act-as if the relationship
1993). As it stands, the model has a deficit per- were equal.
# Listen to how the consultees describe the = Consider the importance of administra-
situation for which they requested assistance tive consultation, even though the pri-
as a guide to determine whether to use mary work you will do will be case
client-centered or consultee-centered consultation.
consultation.
# Don’t do for consultees and fellow collabora-
# Avoid using techniques like theme interference tors what they can do for themselves.
reduction unless you have been trained and
directly supervised in their use.
1. How did the psychodynamic perspective in- 6. What ethical issues are raised by the use of
fluence Caplan? techniques for reducing theme
2. Do you believe that the transfer of effect really interference?
takes place in mental health consultation? On 7. Is manipulation ever a legitimate consultant
what do you base your belief? intervention? Why or why not?
3. What does Caplan mean when he describes the = 8. Which of Caplan’s four types of consultation
consultation relationship as coordinate and would you feel most comfortable using?
nonhierarchical? Why?
4. What are three basic differences between 9. Do you feel that the consultee-centered case
program-centered administrative consultation type demands too much skill on the part of the
and consultee-centered administrative consultant to be used effectively by the ma-
consultation? jority of mental health consultants? Justify your
5. To what extent do you agree that mental position.
health collaboration is the service of choice for 10. What does the ecological perspective add to
in-house mental health practitioners? mental health consultation?
If you are interested in more detail and depth about — Caplan, G., & Caplan, R. B. (1999). Mental health con-
mental health consultation, the following selected sultation and collaboration. Prospect Heights, IL:
readings are recommended: Waveland. (Onginal work published in 1993).
The first part of this text is a reprint of the
Caplan, G. (1970). The theory and practice of mental health majority of Caplan’s 1970 text. The latter part is
consultation. New York: Basic Books. This classic on filled with Caplan and Caplan’s ideas on mental
mental health consultation was the primary source health collaboration and methodological and
for this chapter and presents a nice blend of theo- technical issues. New material includes
retical and practical aspects. Of particular interest 1s discussion of the significance of manipulation,
Caplan’s discussion of consultee-centered case con- when to use consultation, and key modifications
sultation. Many of today’s mental health profes- in Caplan’s theory since 1970. The ideas and
sionals have used Caplan’s ideas as a basis for de- case studies on collaboration are quite
veloping their own particular style and approach to informative.
consultation.
10
HK
Behavioral Consultation
and Collaboration
n 1977, John Bergan introduced behavioral consultation as a way to provide

more service to larger numbers of clients (Watson et al., 1997). Behavioral
consultation evolved from the behavioral.paradigm based on_ positivism
(Henning-Stout, 1993). Behavioral consultation 1s a popular approach to consul
tation that applies behavioral technology to the consultation process (Elliott &
Busse, 1993) and is most likely the most frequently used model of consultation ,
(Anton-LaHart & Rosenfield, 2004). The expanding application of behavioral
technology to mental health and educational concerns has led to behavioral con-
sultation’s immense popularity (Noell, 1996). While behavioral consultants spe-
cialize in this approach, all consultants make at least occasional use of behavioral
approaches to consultation. In essence, the consultant in this model assists the’
consultee to be specific about behaviorsto be changed. This allows for the de-
termination of the contingencies controlling the behavior, thus permitting the
development of specific interventions to accomplish behavior change. ©
A consultant functioning within this framework needs to be skilled in be-
havioral theory and practice (Kratochwill & Bergan, 1990) and should become
familiar with the work of such leaders in behavioral psychology as B. F. Skinner
and Albert Bandura. Because behavioral consultation places heavy emphasis on
assessment and evaluation, you may want to review the various methodologies
for data collection described in Chapter 4, the discussion of treatment integ-
rity covered in Chapter 5, and the various evaluation methods described in
Chapter 6. :
This chapter presents three models of behavioral consultation suggested by
Vernberg and Reppucci (1986) and, most recently, Kratochwiill, Elliott, &
208
CHAPTER 10 BEHAVIORAL CONSULTATION AND COLLABORATION 209
Stoiber (2002). In behavioral case consultation, the con- you can implement and appropriate positive behav-
sultant helps as consultees apply behavioral principles ioral supports. You agree to implement the pro-
gram, and the school counselor agrees to help you
to a case. Behavioral technology training teaches specific
measure the subsequent frequency of the child’s in-
behavioral technology skills to consultees. Behavioral
appropriate behavior.
Chances are excellent that the school counselor
ana | in this example was using a model of behavioral
nology principles, Because ofits popularity, I provide consultation. Behavioral consultation is based on
the majority of the coverage to case consultation. behavioral psychology, which has had a tremendous
influence on all areas of human services. Behavioral
As you read this chapter, consider the follow-
psychology applies theory and research findings to
ing questions: behavior change techniques in systematic, problem-
1. What makes behavioral consultation solving procedures (Gmeinder & Kratochwill, 1998;
“‘behavioral’’? Martens, 1993). It stresses the principles of learning
What unique ethical issues, if any, might arise

in understanding how behavior is acquired and
tO
from the use of behavioral consultation?

changed. Behavioral models of consultation are
based on the idea that because most behavior is
3. Is this model’s emphasis on measurement an learned, it can be unlearned and new behavior can
asset or a liability? take its place. The result of consultation is some
4. What are the basic differences among the three change in the consultee and/or the client system’s
approaches to behavioral consultation described behavior. Therefore, the principles of behavior
in this chapter? change are combined with indirect service by the
5. What special skills does a behavioral consultant consultant to form the basis for consultation.
need? When the behavioral consultant uses principles
of learning to help consultees bring about desired
changes in themselves or their clients, these princi-
INTRODUCTION ples are translated into empirically validated behay-
bt ge: Het Se Ooy i)
ioral techniques. Two key aspect is type
The following is an example of behavioral consultation are a focus sonbeharianacianee ant an
FA ty = Sy A pe SANS
'
consultation: extensive use of the scientific method.
Behavioral consultation can be used in a variety
of settings, including mental health centers, schools,
Case Example and other human service organizations. In addition
to its wide applicability, behavioral consultation is
You are a schoolteacher who asks a school coun-
one of the most frequently practiced forms of
selor to consult with you concerning one of your
consultation (Kratochwill et al., 2002). It is, for ex-
students who causes disturbances by talking at inap-
ample, the most frequently reported method for
propriate times throughout the school day. The
working with other professionals in school class-
counselor asks you to describe exactly those beha-
room management (Schottle & Peltier, 1996).
viors you consider to be “inappropriate” as well as
your and the child’s behaviors immediately before
and after the undesirable behavior occurs. Based on
HISTORICAL BACKGROUND
your description and direct observations of the
child, the school ceunselor leads you through a
problem-solving process to eliminate the child’s in- Behavioral consultation has its roots in behavior ther-
appropriate behavior. You discuss strategies that apy: it developed out of experimental psychology,
which encompasses not only operant and classical In the mid-1970s, the cognitive-behavioral
conditioning but also social, developmental, and therapy movement became popular. This move-
cognitive psychology. ment asserts that what we think or say to ourselves
In the early 1900s, John Watson founded the can affect our behavior for better or worse, and
behavioral school of psychology, which shunned co- there is a connection between what someone thinks
vert events such as cognitions and restricted the para- and whether or not a personal problem is likely to
meters of psychology to observable behaviors only. develop.
As behaviorism became a strong force in experimen- Donald Meichenbaum (1977, 1985), a leader
tal psychology, it was applied to the study of peo- in this field, has shown that changing | self-
ple’s personal problems (Lutzker & Martin, 1981). statements in an appropriate way can lead to desir-
Behaviorism strongly influenced operant condition- able behavior change. For example, people who
ing, classical conditioning, modeling, behavioral instruct themselves to cope with perceived stress
ecology, and cognitive-behavior modification. are more likely to be able to manage it effectively
In the 1940s behaviorism became the dominant than are people who engage in self-talk that ex-
force in psychology under the guidance of Harvard presses doubt in their ability to deal with stress.
psychologist B. F. Skinner. In developing the con- The behavior therapy movement has grown to
cept of operant conditioning, Skinner researched include nationwide societies such as the Association
such principles of behavior change as reinforce- for the Advancement of Behavior Therapy. At the
ment, punishment, and shaping, as well as their ap- same time, this growth and expansion have pro-
plications to humans (Skinner, 1953). From the duced such diversity that it is more accurate to
1950s through today, many behaviorists have ap- speak of multiple behavior therapies rather than
plied learning theory in developing treatment tech- one, and consequently behavior angi has be-
niques for a variety of personal problems. come a difficult concept to define. The unifying |
Psychotherapists such as Wolpe, Lazarus, and factoryaaa mediagioual nee
Eysenck were pioneers in applying the Pavlovian
model of classical conditioning to the treatment of
human psychological disorders. Until the 1960s, ihe BARR assessment of b
behavior therapy was based primarily on the learn- (Kazdin, 2001).
ing principles known as operant and _ classical As the effectiveness of behavioral therapy be-
conditioning. In the late 1960s Albert Bandura pop- came increasingly apparent, there occurred a paral-
ularized modeling, a powerful social learning theory lel increase in requests from human service provi-
based on observation and imitation of certain beha- ders for assistance in the design and implementation
viors (modeling) under conditions of reinforcement of behavior change programs. The role of the be-
(Bandura, 1977). His views related to cognitive havioral therapist or counselor was therefore ex-
events as influencing human behavior set the stage panded to include that of behavioral consultant.
for cognitive behavioral interventions. Behavioral consultation was first practiced in orga-
In the 1970s and early 1980s, behavioral ecol- nizations that require high levels of client control,
ogy (Willems, 1974) and systems theory (Morasky, such as state mental hospitals (Gallessich, 1985). As
1982) began to receive attention. In behavioral behavior therapy came to be used in a variety of
ecology, people are considered a part of amultilay- settings, behavioral consultation was increasingly
ered Siegal environment. The settings in which used in mental health centers, schools, and other
people behave are interactive, and a change in be- human service organizations. Most of the consulta-
havior for one setting could affect behavior in tion provided by behavioral consultants consists of
another setting. For example, the assertiveness be- casework; that is, the consultant helps a consultee
haviors a client learns in the workplace may pro- apply behavioral principles to a specific problem so
duce different results when used in the home. as to help a chent or group of clients. Recently,
there has been a movement to call behavioral con- to Keller (1981), behavioral consultation involves a
sultation “problem-solving consultation” to reflect “relationship whereby services consistent with a be-
the increasing diversity of approaches that extend havioral orientation are provided to a client through
behavioral consultation (Kratochwill et al., 2002). the mediation of important others in that client’s
Bergan’s (1977) text was the first definitive expres- environment, that is, indirect service” (p. 65).
sion of behavioral case consultation. Although this Note that this actually defines behavioral case con-
model tended to focus on interventions that relied sultation because its major emphasis is on helping a
on behavior modification, it has expanded to include consultee help a client. Keller’s (1981) definition
interventions from diverse theoretical ongins reflects a traditional classification scheme: mental
(Kratochwill, Elliott, & Callan-Stoiber, 2002). The health consultation focuses on the consultee so
influence of behavioral ecology and behavioral train- that the client willbe helped; behavioral consulta-_
ing models in the 1970s broadened the role of today’s tion focuses onthe client so that the client can be
behavioral consultant to include behavioral system helped; and organizational consultation focuses on
consultation and training in behavioral technology. helping the system so that the client system can ,
Proponents of behavioral consultation tend to lead function bere
the way in designing and conducting research related Four characteristics typify behavioral consul-
to consultation with most of the focus being on tation of any form (Kratochwill et al., 2002;
school-based consultation. In fact, behavioral con- Vernberg & Reppucci, 1986):
sultation has done much to establish consultation
# the use of indirect service delivery models
itself as a legitimate service for human service profes-
sionals. For an interesting description ofthe develop- = a reliance on behavioral technology principles
ment of behavioral consultation as it relates to its use to design, implement, and assess consultative
in the schools, consult Bergan (1995). interventions
# a diversity of intervention goals ranging from
solving problematic situations to enhancing
competence to empowering
BEHAVIORAL
= changes aimed at various targets (e.g., indivi-
CONSULTATION DEFINED duals, groups, organizations, and
communities) in different settings (from
Behavioral consultation “encompasses a wide variety single to multiple)
of activities conducted in a broad range of settings
with diverse populations” (Vernberg & Reppucci, In effect, these characteristics broaden behav-
1986, p. 65). Because the conceptual framework ioral consultation from a case-oriented concept to
that underlies behavioral consultation (behavior one that includes the training and system forms of
therapy) has become diffuse, behavioral consultation consultation.
does not possess a central theory of consultation. Combining Keller’s (1981) definition with ideas
According to Keller (1981), “behavioral consultation suggested by Vernberg and Reppucci (1986) pro-
is based upon a theory ofchange that is derived from a duces the following definition of behavioral consul-
broad-based social learning model encompassing di- tation that is still used today: a relationship whereby
verse streams of psychological and social science re- services consistent with a behavioral orientation
search and theory” (p. 64). When all these factors are are provided either indirectly to a client or a sys-
taken into consideration, defining behavioral consul- tem (through the mediation of important others
tation clearly becomes a difficult task. in the client’s environment or of those charged
In its broadest sense, behavioral consultation is a with the system’s well-being), or directly by training
problem-solving process that has its foundation in be- consultees to enhance their skills with clients or
havioral theory (Kratochwill et al., 2002). According systems.
Py \72 PART IIl MODELS OF CONSULTATION
Such a definition is consistent with nine description of the problem in behavioral terms
characteristics or assumptions that typify behavioral 2. a functional analysis of the problem’s antece-
consultation and account for its uniqueness dents and consequences
(Henning-Stout, 1993, pp. 25-26): 3. selection of a target behavior(s)
s All behaviors are learned.

generation of behavioral objectives
design and implementation of a behavior
# The establishment, maintenance, and change
of social behavior can be explained through change plan
observation of functional interactions of the 6. evaluation of the process.
individual, his or her behavior, and the
It might occur to some that the behavioral
environment. technology training form of consultation does not
=» Assessment, intervention, and evaluation of the fit this sequence perfectly. In this form of consulta-
intervention’s effectiveness are directly linked. tion, the implementation step of the sequence con-
# Behaviors of focus must be observable, mea- sists of the training sessions. (Steps 1 through 4 will
surable, and quantifiable. already have been accomplished prior to the
training.)
# Environmental antecedents provide powerful
points for initiating change.
= Because learning histories vary, intervention is
necessarily idiosyncratic. KEY CONCEPTS OF
» Understanding and intervening with any be-
BEHAVIORAL CONSULTATION
havior are guided and modified according to
systematically collected data reflecting the fre-
Next we'll discuss the following key concepts of
quency, intensity, or duration of that behavior.
behavioral consultation: its scientific view of behav-
» For one person’s behavior to be changed, be- ior, its emphasis on current influences on behavior,
haviors in other individuals interacting within and the principles of behavior change. An under-
the environment of focus must also be standing of these key concepts will help clarify why
modified. behavioral consultation proceeds as it does.
Recent additional characteristics include a

problem-solving orientation, emphasis on a colle-
Scientific View of Behavior
gial relationship, and a focus on a structured inter-
view process (Bergan & Kratochwill, 1990; Behavioral consultation, like the behavior therapy
Sheridan, Kratochwill, & Bergan, 1996). For exam- that spawned it, is grounded in a scientific view of
ple, emphasis on the collegial relationship focuses human behavior which implies the use of asystematic
on the idea that the behavioral consultant is a con- and structured approach to the delivery of human
tent expert and the consultee is an expert on the services such as consultation. Because knowledge ob-
situation at hand. These characteristics and assump- tained from empirical research is valued so highly by
tions reflect behavioral consultation’s emphasis on behavioral consultants, such research is subjected to
quantification and measurement, as well as its per- scientific validation, or in other words is putto the
spective regarding how behavior is learned and
changed.
All three forms of behavioral consultation
tend to follow a set problem-solving sequence (Vernberg & Reppucci, 1986). The emphasis on sci-
(Kratochwill, Elliott, & Callan-Stoiber, 2002): entific investigation also leads behavioral consultants
to use empirically validated consultation interven-

tions because they believe that such methods increase
the likelihood that consultation will be successful
(Bergan & Kratochwill, 1990). tant helps the consultee select nec principles for
use in the problem-solving process (Bergan &
Kratochwill, 1990).
Emphasis on Current Influences Behavior consultants use such principles as rein-
forcement, punishment, extinction, shaping, and
on Behavior
modeling in the behavior change process. The
Behavioral consultation focuses on current behavior consultant uses these principles to examine and un-
as well (Kazdin, 2001). For the most part, behav- derstand the client’s behavior, to examine the con-
ioral consultation takes the position that because sultee’s behavior, and to determine how to proceed
certain current behaviors constitute the problem with the course of consultation (Bergan &
in a particular situation, behavioral consultation Kratochwill, 1990). These principles can also be
should focus on those behaviors. Behavioral consul- used by consultees in their own work with clients.
tation, as Bergan notes, “defines problems presented There has been a trend to use social learning
skin.of the cl to integrate different learning por
(Gresham et al., 2001). y the standards of

behavioral consultation it is better to describe a cli- even "Social | earning
2 theory s major
ent’s hitting behavior in terms of its environmental Eonmnbudone is its recognition of multiple influences
antecedents and consequences than to describe the (such as cognitions and the environment) on behav-
client as aggressive. ior while at the same time offering a framework for
By focusing on current beh explaining behavior (Kazdin, 2001). For an excel-
lent, detailed introduction to the principles of be-
havior, consult Kanfer and Goldstein’s Helping
Kratochwill, 1990). Such People Change (1991) or Kazdin’s Behavior
consultation Modification in Applied Settings (2001). Table 10.1
illustrates common techniques based on the princi-
ples of behavior change.
THE CONSULTATION
Past Pacer is viewed as important palitto ie
degree that it assists in present interventions. As a PROCESS
result, behavioral consultants do little to help consul-
tees or the consultees’ clients gain insight into their Behavioral consultation can take three forms: be-
_problems or concerns. Rather, they concentrate on havioral case consultation, behavioral technology
directive and active treatment of current behavior training, and behavioral system consultation. All
(Kazdin, 2001). three forms have the following characteristics:
indirect service to the client system, use of behav-
ioral technology principles throughout the consul-
Principles of Behavior Change tation process, a problem-solving orientation, and
consultation assumes that behavior is empirical validation of interventions (Vernberg &
Behavioral
Reppucci, 1986).
lawful (that is, orderly, following a set of rules)
TABLE 10.1 Common Behavioral Methods
METHOD PROCESS
Positive reinforcement To increase the occurrence of desirable behavior, the application of positive
conditions (praise, attention, privilege, tokens) if the subject’s performance
warrants it
Negative reinforcement The removal of an aversive condition if the subject engages in desirable behavior
Punishment To decrease the occurrence of undesirable behavior, the application of aversive
conditions depending on the subject’s performance
Extinction Eliminating an undesirable behavior by terminating the conditions that reinforce
the subject’s performance
Ignoring Eliminating the subject’s undesirable behavior through inattention to it
Shaping Changing the subject’s undesirable behavior through the positive reinforcement
of successive approximations of the desirable behavior
Differential reinforcement Increasing the subject’s performance of desirable behaviors through the selective
reinforcement of desirable behaviors and ignoring the undesirable behaviors
Environmental cues Environmental stimuli that prompt the subject’s behavior
Inadvertent reinforcement Inadvertently or unintentionally reinforcing the subject’s behavior by creating
conditions that have an effect opposite of that anticipated
Contingency contracting The process of formalizing an agreement that specifies the behavioral conditions
or plans associated with behavioral change
Behavioral rehearsal An educational learning process in which subjects practice new, adaptive
behavior in a controlled setting
SOURCE: From Wallace, W.A. & Hall, D. L. (1996). Psychological consultation: Perspectives and applications, Table 1, p. 77. Copyright 1996 by Brooks/
Cole-Thomson, Pacific Grove, CA. Reprinted with permission.
Next we'll examine each of the three forms of | models such as the social learning théory developed
behavioral consultation in terms of goals, the con- — by Bandura (1977). By far the most comprehensive
sultant’s function and role, the consultee’s experi- approach to behavioral case consultation is that of
ence in consultation, and the use of consultation Bergan and Kratochwill (1990); indeed, most other
techniques and procedures. models are basic variations of Bergan’s original
model (1977).
)
Behavioral case consultation consists ofa series
Behavioral Casé»Gonsultation
of four stages that provide form and focus to the
% 7 : |
Peer
serrate problem solving engaged in by the consultant and
hehavioral case consultation a consultant provides
direct, behavior-based service consultee
to a con- _ j consultee _(Kratochwill, Elliott, & Callan-Stoiber,
cerning the management of a client or group of ‘ 2002). These four stages deal with identifying
-
¢
chents. Behavioral consultation requires an effective _ problem, analyzing it, implementing a treatment,
analysis of the problem and related intervention and 1 evaluating the treatment. According to Elliott
an effective implementation of the intervention — and Busse, the challenge of behavioral consultation
(Noell & Witt, 1998). Most case approaches to be- is to “select treatment strategies from a pool of
havioral consultation (e.g., Bergan & Kratochwill, potentially effective strategies that can be ... man-
1990) still rely heavily on operant conditioning. aged by people who have not had specific training
However, more recent modgls use a variety of in behavioral change methods” (1993, p. 180).
As Sheridan notes: “Compared to other forms the consultee is the primary instrument of change in
of consultation, behavioral consultation is charac- the client, the consultant avoids dictating the con-
terized by (a) the use of a standard four-sta ‘ sultee’s behavior.
pile oe process,(b) adherence to behav:
SoS Sidon ‘on behavioral interven--
(d)
4) evaluation of outcomes based
sis and related methodolo-
s. In some cases, the consultant must train the
ae ene ine the onebiegs Rnheine it, intervening consultee in the use of strategies based on principles
to treat the problem and evaluating the treatment— of learning. However, Bergan’s model does not
all from a behavioral context. nanan consultee training to a great degree! To |
In behavioral case consulta-

tee presentsawork-related concer
witl acre ientto the eae who uses.
s his or her
expertise in the principles ‘of learningtto manage the Thus, the consultant makes sure that problem
identification occurs, but the consultee controls its
consultee’s management of the case; that is, to help the
consultee make positive changes in the client’s en- process. The consultant must inform the consultee
vironment (Feld et al., 1987) and therefore in the about the use of this form of management at the
client’s behavior. Recently, some authorities on be- outset of consultation and be satisfied that he or she
is seeking services voluntarily.
havioral consultation (e.g., Bergan & Kratochwill,
1990) have suggested that a second, complementary
goal is to effect change in the consultee.
Consultant Function and Roles. Behavioral

consultants use a systematic problem-solving pro- Verbal Interaction Techniques. Because consultation
cess to assist consultees with their clients (Bergan can be reduced to a series of verbal interactions
consultants fre- between the consultant and the consultee, these
& Kratochwill, 1990). Behavioral
quently act as experts to ensure that the stages of interactions must not be left to chance (Bergan &
The consultant controls not
problem identification, problem analysis, plan im- Kratochwill, 1990).
plementation, and problem evaluation occur and only his or her own verbalizations, but also those
are adequately accomplished. of the consultee. There is some evidence that con-
Although the consultant is called on to provide sultant verbalizations are related to successful con-
(Busse, Kratochwill, & Elliott,
expertise, most behavioral consultants take a collab- sultation outcomes
orative vue to the consultation ean 1999). There is some empirical support that the
content of the consultee’s responses tends to match
that of the consultant’s questions, thus providing
the consultant with a tremendous amount ofinflu-
ence in controlling all aspects of the consultation
process (Turco & Skinner, 1991).
hat said, the behavioral consultant
is typically more in control of the relationship than a
consultant coming frorn a mental health a
rchul et al., 1999). The consultant
does not attempt to control the specific content of
ecause the consultee’s verbalizations during consultation,
216 PART II] MODELS OF CONSULTATION
but rather attempts to encourage him or her to

produce the various type of verbalizations needed
to achieve the task at hand in the consultation havior. For sens iix major focus of consulta-
process. tion is the client’s adjustment at work, a consultant
Bergan produced a classification system to assist might ask for information on a client’s home life or
consultants in controlling the verbalizations in con- for a developmental history of the client’s Pee ea
sultation (see Table 10.2). Verbal interchanges can be
classified in terms of message source, content, pro-
cess, and control. Judicious use of this classification
system can enable the consultant to successfully guide
the consultee through the consultation process.
Message Source. The message source simply indi-

cates whether the verbalization comes from the Antecedent conditions occur just before the beha-
consultant or the consultee. viors under discussion, so the consultant might ask
the consultee to describe exactly what happens just
Message Content. Message content refers to what before the client’s behavior occurs. Consequent
the consultant and the consultee discuss. The consul- conditions occur just after and may reinforce the
tant usually controls the content of verbalizations 1
in behavior in question; they reflect the patterns of
consultation, which includes sever antecedents and consequences or the timing of
the client’s behavior. For example, sequential con-
ditions can become clear when the consultant asks
other. \The verbalizations that occur in behavioral about the events leading up to the client’s behavior,
case consultation are to be controlled by the consul- when ‘and how frequently the behavior tends to
tant because what is talked about in consultation di- occur, and any special conditions that may be
rectly relates to the course and degree of success of pertinent.
the consultation. By determining what to discuss and
when, the consultant can help the consultee work
with the client more efficiently and effectively. uch verbalizations can also help iden-
tify which environmental factors affecting the client’s
behavior should be investigated. Verbalizations of
TABLE 10.2 Classification of Verbal Interchanges
MESSAGE SOURCE MESSAGE CONTENT MESSAGE PROCESS MESSAGE CONTROL
Consultant Background/Environment Specification Elicitor

Consultee Behavior-setting Evaluation Emitter
Behavior Inference
Individual characteristics Summarization
Observation Validation
Plan
Other
this type include descriptions of the client’s thoughts, make many other kinds of verbalizations during
feelings, overt behaviors, and their intensity, as well consultation. Therefore, a catchall subcategory,
as discussions of written records concerning the cli-
ent’s behavior (for example, baseline behavior or example, the
eraphs). As an example, the consultant and consultee consultant and consultee might “talk about the
might discuss a client’s written autobiographical weather” or make statements only indirectly related
statement, or the consultant might ask the consultee to client behavior or to the consultation process.
to describe as specifically as possible what happens
when the client engages in a problem behavior. ‘RPRBRRETHTEEMOiisilates ‘contkalinotronly: the!
Consultant—consultee verbal exchanges can
be categorized by type of verbal process. As noted
eee discus- by Bergan (1977), “the message-process category
sion of clients’ attributes and traits can range from classifies verbal messages in accordance with the kinds
basic matters like age and weight to more complex of speaker actions they describe vis-a-vis the content
personality characteristics and handicaps. For exam- of conversation” (p. 38). Process, then, refers to the
ple, the consultant and the consultee might discuss type of verbal action conveyed in a message. The five
the age, weight, and shyness of a teenage boy as it message-process subcategories are specification, eval-
relates to his being the “‘class clown.” uation, inference, summarization, and validation.
Often the consultant—consultee interaction
produces a decision to obtain more information or
data about the client’s behavior. Verbalizations in Information about some behavior’s back-
ground, setting, nature, or occurrence could be
.ing client behaviors. For example, a consultee specified. This subcategory is used when more pre-
might determine that data should be collected to cision or detail is needed to assist the consultee. For
compare the number of negative self-references a example, a consultant might ask a consultee to
client makes in group therapy with those made dur- specify exactly how an intervention will be imple-
ing individual therapy. In another example, a con- mented or to describe the consequences ofa given
sultant might help a consultee determine the best client behavior.
way to record observations of a client’s tahye
or example, a consultee might judge a plan to

Planning in this context be ineffective, or a consultant might praise the consul-
typically refers either to general strategies for the tee’s behavior in implementing a selected strategy.
consultee to consider or the tactics for intervening
with some specific strategy. However, any verbali-
zation about a plan—how it should be implemen-
ted, how it should be evaluated, or how well it
worked—falls under this category. For example,
the consultant and consultee might plan a strategy
called a “token economy system” to help a child act For example, a consultant might think or
stay on task when doing schoolwork, or discuss feel a certain plan will be effective and might tell
this to a consultee, or a consultee might surmise
how well such a plan worked.
No classification can be fully comprehensive that a client is acting out because of some kind of
inappropriate child-rearing practice.
and concise, and in fact consultants and consultees
licitors
usually take the form of either direct or indirect
review what has been seeorseKNeS during a given questions that ask the consultee to engage in speci-
consultation interview or ask a consultee to review fication, evaluation, inference, summarization, or
his or her perceptions of the client’s aus, validation in one of the message content subcate-
gories. The consultant could ask the consultee to
use a verbal process about the conditions affecting
Pn career and maintain consensus_ the client’s behavior, the behavior itself, related ob-
between the consultant and consultee concerning _ servations, or pertinent plans. There is some evi-
each stage in the consultation process. They can be dence that specificity when questioning consultees
used at any time to make sure that the consultant and is related to the effectiveness of consultation
consultee are on the same “wavelength.” For exam- (Bergan & Kratochwill, 1990). Four examples of
ple, a consultee might review some implementation elicitors and their classifications in terms of content
strategy and ask the consultant if he or she agrees on and process follow:
it, or a consultant might ask if there is agreement on
# A consultant asks a consultee to describe the
the kind of observation that needs to be performed
most problematic situation about the client’s
on a client’s behavior. There is some evidence that
behavior (behavior-specification).
the use of validating statements by the consultant
early on in the consultation relationship may encour- # A consultant asks a consultee to validate a plan
age consultees to move prematurely through the that is to be implemented (plan-validation).
consultation process (Martens et al., 1989). # A consultant asks a consultee how he or she
Thus, there are five message processes that can feels about making a series of observations of a
describe what is occurring in each of the content client’s behavior (observation-evaluation).
subcategories. Consider the content subcategory
# A consultant asks a consultee forsome hunches
“plan.” By using each of the processes, the plan
on why the client is acting in a certain way
could be specified, evaluated, inferred about, sum-
(background/environment-inference).
marized, or validated. The consultant, then, should
know not only what to talk about, but the way in ion from the
which it should be talked about.
onsider the following examples of

this end, the consultant must deter- emitters and their classifications according to content
mune not only what (content) and how things are to be and process:
discussed (process), but also who is going to talk about # A consultant summarizes the individual char-
them (control). In effect, the consultant uses message
acteristics of a client for the consultee (indi-
control to either give input or to get input from the
vidual characteristics-summarization).
consultee. (The consultee can also use message control
for the same purpose.) In message control behavior, the » A consultant’summarizes for the consultee
speaker’s verbiage is classified in terms of whether or some plan they have agreed to use to help
notit will have a direct effect on the receiver's response. the client (plan-summarization).
# A consultant makes a statement agreeing with consultee is to continue to work with the client.
the consultee regarding the consequences of a Such work can include performing a particular
given client behavior (behavior setting- care-giving role relative to the client (e.g., teacher
validation). to student or counselor to client) and collecting
# A consultant shares hunches with the consultee data regarding the client’s behavior. Frequently,
about suspected traits and habits that the client the consultee’s work with the client will be adapta-
might have (individual characteristics- tions of the consultant’s recommendations
inference).
In summary, the behavioral consultant controls is is frequently ac-
the verbal communication in consultation so as to complished by having the consultee discuss with
help the consultee use the consultation process with the client what the consultant and consultee are
maximum effectiveness and efficiency by control- considering in regards to the client.
ling who should talk, what should be discussed, and
how the discussion should proceed.
Consultee Experience in Consultation. The owever, the consultee may also su-
consultee is expected to work with the consultant pervise the involvement of other people working
toward the successful completion of the consulta- on the client’s treatment. For example, a teacher
tion process and be actively involved in the who is a consultee may supervise a teacher’s aide
problem-solving process (Martens, 1993). As in who is collecting baseline data on a student’s (the
other forms of case consultation, such as Caplan’s client’s) behavior.
(1970) client-centered case consultation, the con-
sultee is a link between the consultant and the client Application: Consultant Techniques and Pro-
and functions as a professional collaborator cedures. Both types of behavioral case consul-
tation—developmental and problem centered—
concern changes in client behavior (Bergan, 1977).
Developmental consultation deals with more-or-less
he consultee should long-term behavior change, whereas problem-
describe as specifically as possible the details of the centered consultation deals with problems that call
case and the nature of the work-related problem. for immediate attention (for example, crises). Most
The consultee should respond to the consultant’s of the literature on behavioral case consultation refers
prompts and probes as accurately as possible and to developmental consultation because it is by far the
provide him or her with the most comprehensive, more extensively used, and thus our discussion of
detailed picture of the work-related concern possi- behavioral case consultation will be limited to devel-
ble. The consultee’s role as evaluator or decision opmental consultation.
maker reflects the peer nature of all consultation: According to Bergan and Kratochwill (1990),
there are four stages to the behavioral consultation
rocess. The first stage consists of the
Bergan (1977) relates an example of this consultee

role in noting that the consultant might help the
consultee select a method for measuring client be-
have to evaluate (Kratochwill, Elliott, &
havior, but the consultee would
that measurement’s effectiveness in achieving de- Busse, 1995, p. 87). Problem analysis and plan im-
sired outcomes. Of course, a primary role of the plementation are dealt with through the Problem |
# Discern the discrepancies between current and

desired client performance.
These steps are accomplished by two
consultant-led interviews, the first being a problem
ratochwill, Elliott, & Busse, 1995, p. 88).
identification interview in which Steps 1 and 2 are
The third stage, plan implementation, involves
accomplished. Step 3 is accomplished by the con-
sultee. The second is a follow-up interview in
(Kratochwill, lott, an- 8 Me
which Steps 4 and 5 are accomplished. The prob-
The consultant is “on call” as the consultee imple-
lem identification stage ends once the discrepancy
ments the plan.
between current and desired client behavior has
been specified (Bergan & Kratochwill, 1990).
cally three to four sessions between the consultant

and the consultee in this model.
his stage provides the

When successfully accomplished, the problem
momentum for the entire consultation process
identification stage results in a well-specified prob-
(Kratochwill et al., 1995). The term problem identifi-
lem defined by the discrepancy between current
cation sounds quite simple, but from a behavioral
performance (as measured by collected data, includ-
perspective, defining the problem can be a complex
ing baseline data) and desired performance (as indi-
and difficult matter. This stage is crucial; what oc-
cated by stated goals) (Kratochwill et al., 2002).
curs here will determine the direction that consul-
Successful problem identification sets the stage for
tation takes and affects whether or not consultation
problem analysis.
Wi ful (Kratochwill et al., 2002). In fa
Problem Analysis Stage. In this stage, the consul-
tant determines the conditions that maintain the
Kratochwill et al., 1995). Bergan and
client’s problem behavior and formulates a plan to
Tombari (1976) found years ago that if the problem
alleviate that behavior. The consultant jointly pur-
identification stage was not successfully completed,
sues these two tasks with the consultee.
the entire consultation process might be irreversibly
damaged.
This stage can thus be divided into two phases
that contain a total of five steps:
During the problem identification process, the
consultant helps the consultee accomplish the fol- Phase One: Problem Analysis
lowing steps:
1. Choose a procedure for analyzing the problem.
# Designate the general and specific client per-
2. Conduct a conditions and/or skills analysis.
formance goals to be achieved in consultation.
# Determine how to measure the designated Phase Two: Plan Formulation
goals. 3. Develop plan strategies.
= Assess current client performance in terms of 4. Develop plan tactics.
the designated goals.
Establish procedures for assessing the plan’s
= Examine the results of the assessment. effectiveness.
These steps are accomplished by means of one consultee develop a plan that is acceptable both
or more interviews, during which the client’s prob- objectively (i.e., empirically sound) and subjectively
lem behavior is examined from one of two perspec- (i.e., mutually acceptable) (Sheridan, Kratochwill,
tives: internal and external conditions related to the & Bergan, 1996).
be In the problem analysis stage, as in the earlier
problem identification stage, the consultant uses
more elicitors than emitters and more specifications,
validations, and summarizations than inferences and
Bergan and Kratochwill (1990) suggest that a evaluations. Whereas the problem identification
conditions analysis be performed if the problem be- stage has a balance of verbalizations in the behavior,
havior tends to be variable over conditions; if the behavior-setting, and observation subcategories, the
problem behavior remains constant over conditions, problem analysis stage has a balance of verbaliza-
then a skills analysis is recommended, as in the case tions in the behavior, behavior-setting, and plan
when increased self-direction on the part of the subcategories. The problem analysis stage builds
client is desired. Once the consultant and consultee naturally on the problem identification stage
decide on which type of analysis to perform, Step 1 (Kratochwill, Elliott & Carrington Rotto, 1995;
is accomplished. Kratochwill, Elliott, & Callan-Stoiber, 2002).
The result of successful

problem analysis is a plan designed to assist the cli-
ent system. In this stage, what was planned dunng
Consultation next enters Step 3, developing the problem analysis stage is put into effect. Good
plan strategies, during which a systematic course planning does not necessarily lead to good imple-
tion ith the client is developed mentation, and thus the consultant’s task is to en-
sure adequate implementation. To this end, the
In general,
the consultant and consultee determine which prin- This stage is different
ciples of learning should be used and convert them from the previous two stages in that there is no
into strategies to help the client. For example, a formal interview between the consultant and the
consultant might suggest using positive reinforce- consultee.
ment as a strategy to change the client’s behavior,
onsultee flexibility in its use.
e consultee generally
takes the roles of the plan implementation director,
If a conditions anal- plan executor, and observer of client behavior. The
ysis was performed, then those same techniques are consultant is responsible for determining the need
used for assessment purposes. If a skills analysis was for training and providing it to the consultee (or a
performed, then methods for measuring skill acqui- designee of the consultee) so they can adequately
sition need to be used. Bergan and Kratochwill perform these roles. Training can be very time con-
(1990) suggest that items used in the skills analysis suming, so any plans should take the strengths of
should be adapted tp measure skill acquisition. consultees into consideration (Kratochwill, Elliott,
Once assessment procedures have been established, & Callan-Stoiber, 2002). Often, the consultant
consultation moves to the plan implementation trains the consultee in techniques like those in
stage. The bottom line is that the consultant and Table 10.1. Once the appropriate roles have been
assigned and arrangements for use of materials made, the problem identification stage to reexamine goals;
the consultant and consultee implement the plan, on rare occasions, he or she mig mend ter-
during which the consultee attempts to help the
client with the consultant’s guidance. Plans should
be time efficient, have few restrictions, and carry a
low level of risk to the client system (Kratochwill, Behavioral consultants beliéve that even
Elliott, & Busse, 1995). though the goals of consultation have been
achieved, an appropriate design must be used in
evaluating the plan so as to demonstrate that the
plan was indeed responsible for the success of con-
onsiderable n effectiveness is determined

time is spent evaluating the goals of consultation and by applying an appropriate evaluation design that
the effectiveness of the plan, which determines what states when client behaviors are to be measured
happens next in the consultation process. and when plan implementations are made relative
The problem evaluation stage has three steps: to those measurements. (Interested readers should
evaluating goal attainment, evaluating plan eftec- consult Bergan and Kratochwill (1990) for a discus-
tiveness, and postimplementation planning sion on evaluation design; a detailed discussion of
(Bergan & Kratochwill, 1990). In reality, plan eval- this subject is beyond the scope of this book.)
uation is often not as rigorous as that used in re- Step 3 in problem ev ion. lemen-
search, but nonetheless there needs to be adequate tation planning.
support to verify outcomes. For example, outcome
criteria should involve measures of the degree to Such a plan prevents the problem
which desired behaviors were demonstrated over from recurring and provides a way for the consultee
time, such as with single case study designs to reestablish contact should the problem behavior
(Kratochwill, Elliott, & Busse, 1995). return to undesirable levels. Sometimes this plan is
left intact and maintained, especially when it is rel-
atively easy to implement and when there is some
call that the prob- likelihood that the client’s behavior would return
lem was defined in terms of a discrepancy between were the plan eliminated.
current and desired levels of behavior. In evalua- The implementation of a new plan often occurs
tion, the degree to which desired and observed be- when it is determined that it is equally effective as,
haviors coincide is judged in order to determine but more convenient than, the first plan. Moving
whether the goals of consultation have been met. from tangible to non-tangible reinforcers is a com-
There are three possibilities in terms of goal attain- mon example of this type of strategy. Finally, a pro-
ment: no progress, some progress, and accomplish- gram can be removed once it has been determined
ment. that it is no longer needed to maintain the perfor-
mance levels desired of the clien
postimplementation
situations, consultation may be terminated and re-

placed by another type of service. If there is some When the goals of consultation and the imple-
progress in goal attainment, the consultant usually mentation plan have been evaluated and postimple-
suggests a return to the problem analysis stage. On mentation plans made, consultation is terminated.
occasion, the consultant might suggest a return to During this stage, the consultant uses a balance of
elicitors and emitters; more specifications, summar- systematic desensitization) or groups (e.g., In train-
izations, validations, and inferences (instead of eva- ing special education teachers in token economy
luations); and more verbalizations in the behavior, procedures). The education/training model of con-
plan, and observation subcategories. On occasion, sultation discussed in Chapter 11 is similar to the
the consultant may want to formally communicate process involved in behavioral technology training.
the results of an intervention program to a consul- Behavioral technology training has several jus-
tee. Figure 10.1 illustrates the format for such a tifications for its existence (Watson & Robinson
report. 1996).
An Example of Behavioral Case Consultation.

A counselor working as a mental health consultant
assists a family therapist with a family. The consul-
tant has expertise concerning runaway youths. Two
of the family’s three teenagers have run away. The
family therapist wants to consult with the counselor
before using certain interventions with the family.
Together, the consultant and consultee define The goal of behavioral technology training 1s
what is meant by “running away” behavior. They increased consultee competence in the use of gen-
functionally analyze the behavior in terms of what eral and/or specific behavioral technolo roce-
occurs before and after its occurrence, and then
devise a plan based on rewarding responsible behav-
ior. The consultee then implements the strategy
with the family and evaluates it at its conclusion. s is the case in most types of
education/training consultation, the steps involved
are conducting a needs assessment, planning the
Behavioral Technology Training training, performing it, and evaluating it.
Behavioral technology training usually consists of
behavior modification procedures and, more re-
cently, a variety of other behaviorally derived
onsultees tend to be professionals methods. It has been provided to a variety of hu-
such as teachers or parents (Kratochwill and man service professions, especially schoolteachers. It
Pittman, 2002). Consultants train consultees in gen- has also been used with a variety of nonprofessional
eral behavioral principles or specific behavioral caretaking roles such as parenting and paraprofes-
technology skills (Bergan & Kratochwill, 1990; sional services in human service settings. There is
Watson & Robinson, 1996) or both (Elhott & strong empirical evidence that behavioral technol-
Busse, 1993; Vernberg & Reppucci, 1986). For ogy training of consultees leads to improved client
example, Kratochwill and Pittman note: “One behavior
common format for technology training is teacher
skill development that focuses on teaching spe-
cific information such as assessment techniques, dis-
cipline or child management tactics, the process
(2002, p. 79). lhott & Busse,
of consultation, or a combination”
Technology training with parents can also cover a 1993). Consultants who use behavioral technology
broad array of topics. Behavioral technology train- training must decide what form of this training 1s
ing can be formal or informal and be given to 1n- best for which type of consultee and under what
dividuals (e.g., in training a therapist to perform conditions. Behavioral technology training can be
|. Background Information
A. Demographic Information on the Child
B. Ecological Context of the Problem
Il. Problem Definition

Referral Problem
Target Behavior
Desired Outcome Behaviors
Critical Setting/Situations for Change
cs Preliminary Functional Analysis
SO)
Ill. Problem Analysis
A. Description of Assessment or Data Recording Procedures
B. Rationale for Use of Data Collection Procedures
C. Presentation and Discussion of Data
IV. Intervention Plan
Basic Design
Contingencies
Criterion for Contingencies
Acceptability of Interventions to Teacher/Parent and Child
Personnel Involved in Intervention Implementation
Setting and Time
Resources
. Procedures for Promoting New Behaviors
Procedures for Increasing Existing Behaviors
Procedures for Reducing Interfering Problem Behaviors
Procedures for Facilitating Generalizations
Ase.
COE
2
Ss:
Se Treatment Integrity Checks
V. Plan Evaluation
Change in Behavior via Direct Observation
Change in Teacher/Parent Performance Ratings
Mainstreamed Peer Comparison
Outcome Interview with Significant Adults
Fee
eeIntervention Side Effects
VI. Summary and Recommendations
A. Summary and Results Obtained
B. Discussion of Effectiveness
C. Suggestions for Increasing Program Effectiveness
D. Suggestions for Future Follow-Up
FIGURE 10.1 Outline for writing a behavioral consultation case report

SOURCE: From Kratochwill, T. R., Elliott, S. N., and P. Carrington Rotto (1995). Best practices in school-based behavioral
consultation. In A. Thomas and J. Grimes (Eds.), Best practices in school psychology (3rd ed., pp. 519-537). Washington,
DC: National Association of School of Psychologists. Copyright 1995 by the National Association of School Psychologists.
Reprinted with permission.
a particularly important intervention in the schools, work. Behavioral consultants are advised to develop
though some authors (e.g., see Rosenfield, 2002a) behavioral technology training with the consultee’s
suggest that teachers tend not to use its interventions frame of reference in mind. When working with
in the classroom, or, if they do, they give up on them teachers, the consultant should plan the training to
early before the desired outcomes have developed. accommodate their daily classroom routine incorpo-
This happens because (1) teachers using behavioral rate behavioral technology training (via direct in-
technology are responsible for solutions to the prob- structional methods) into traditional behavioral con-
lem, though not for the child’s problem, (2) teachers’ sultation (Watson & Robinson, 1996).
working knowledge ofbehavioral technology is lim-
ited, and (3) the underlying assumptions of behav- An Example of Behavioral Technology Train-
ioral technology may be at odds with teachers’ ex- ing. A school counselor acting as a consultant con-
planations of human conduct. Rosenfield (1985) ducts a three-session workshop for teachers on
cites an example in which an elementary school “Catching Students Being Good.” The workshop fo-
teacher gave up on a successful classroom manage- cuses on effectively using the principles of extinction
ment project agreed to in consultation because her and positive reinforcement and covers an overview of
aide didn’t like it. the concepts and what to expect in using them, situa-
tions from the classroom that illustrate how the prin-
Implications for Consultants. Rosenfield (1985) ciples can be used effectively, and general rules for
has made some suggestions for consultants regarding using these kinds of reinforcement. The teachers
behavioral technology training. They should be then practice using the principles in comparable class-
seen as resources for classroom practice and need room situations and receive feedback on their perfor-
to encourage teachers to be resource persons among mances as well as hints for remembering to use the
themselves. Teachers should be encouraged to use principles in the classroom. Finally, the consultant
agrees to observe each teacher applying the principles
in the classroom and to provide feedback.
Behavioral System Consultation

In behavioral system consultation, behavioral tech-
nology principles are applied to a social system
Other research Lewis and Newcomer, 2002; Williams, 2000).
suggests that teachers are not well trained in behav-
ioral interventions as they relate to instruction
(Grone et‘al., 2007).
Because the language of behavior modification
can cause a clash of values, consultants need to or example, a behavioral
choose meaningful and acceptable words in behav- consultant might interact with the staff at a
ioral technology training. Time should be provided substance-abuse clinic and the staff at a halfway
at the outset of training for discussion and experi- house for substance abusers to assure proper coor-
ential learning related to values regarding behavioral dination oftreatment efforts. The goal of behavioral
technology. system consultation is to enhance the efficiency and
Teachers need to be in control ofthe use ofbe- effectiveness of a system in terms of its stated func-
havioral technology and see interventions as congru- tions and to focus on the process and structure of
ent with their values. Consultants need to actively the system itself (Curtis & Stollar, 1996), whereas
promote their suggestions rather than thinking tea- behavioral case consultation focuses on an individ-
chers will use them only because they think they will ual client within a system.
Behavioral system consultation is influenced by In system definition, the consultant and consul-
the research and theory of behavioral ecology and tee gather information about the behavior of mem-
systems theory. Behavioral ecology, which states bers of the system relative to the system’s goals and
that humans are part of a multilevel system called structures. There are the two steps of defining the
an ecological environment (Willems, 1974), is a system structure and defining the system process! In
mix of individual approaches derived from tradi- determining the structure of a system, the consultant
tional behavior modification and ecological ap- and consultee or the collaborators define the sys-
proaches that study environments and social systems tem’s parameters with regard to time and space,
(Jeger & Slotnick, 1982). including such variables as physical setting and
Behavioral ecology assumes that the settings in boundaries (e.¢., where the system is located), en-
which individuals operate are interdependent. For vironmental design (e.g., the system’s physical plant),
example, what happens to people in their work number of system members (that_is, demographic
can affect their home life. The primary goal of be- data), and policies and procedures (e.g., rules and
havioral system consultation is to help a social sys- regulations).
tem function more effectively in terms of its stated In determining the, process of a system, the
mission. This goal is accomplished through a com- consultant and consultee or the collaborators de-
bination of individual, group, and system-wide fine the system’s parameters in terms of the behav-
interventions, the last of these being the most prev- ior of the system’s members, including such
alent. The system itselfisthe client, and the people variables as assessment functions (i.e., how behav-
with whom the consultant works are the consultees. ior of various systems’ groups will be measured),
For example, in a school setting, the classroom is the intervention functions (i.c.,,.how.the system tries to
client system, not an individual student. change on its own), evaluation functions (i.e., how
Consultees’ increased future functioning rela- the quality of the system’s functions is deter-
tive to their job duties within the system can be a mined), and communications functions (that is,
secondary goal. As in the other types of behavioral who talks to whom, in what manner, and how
consultation, the consultant acts as an expert, but in often).
behavior system consultation the consultant must Once the system’s structural and process factors
be an expert in the specifics of systems theory and are known, it is time to assess the system in terms of
behavioral ecology. The consultant guides the con- those factors. Assessment is a joint effort of the con-
sultee through a systematic problem-solving process sultant and consultee or the collaborators to gather
and ensures that the steps of system definition, as- appropriate information concerning the interrela-
sessment, intervention, and evaluation are_accom- tionships among identified structures and processes
plished. Even though the consultant is an expert in using direct observation, interviews, and appropri-
behavioral technology, systems, and_ behavioral ate standardized instruments. Based on the system’s
ecology, the nature of the consultation relationship structural and process limitations, the parties in-
is collaborative; consultees participate to the degree volved can then decide which parts of the system
their skills and. knowledge permit. are operating adequately and which are “dysfunc-
The consultee’s most important function is that tional” (Maher, 1981, p. 502). The consultant and
of decision maker. Although the consultee and consultee or collaborators then use three steps in
consultant are peers, in the end it is the consultee system intervention to eliminate structural and pro-
who decides how consultation is to proceed. The cess limitations: they prioritize system needs, specify
consultee is charged with providing the consultant behavioral outcomes goals, and-design and imple-
with fully accurate information, which can include ment an intervention program.
descriptions of the problem or of the system’s para- In system ‘evaluation, the consultant and the
meters, suggestions for gathering data, or feedback consultee evaluate the intervention program opera-
on the feasibility of possible interventions. tions and system change. In evaluating the operations
of the intervention program, the parties involved de- vantages and disadvantages, and decide that the
termine whether the program was implemented in consultant will be a participant/observer at the first
the way intended and with the results expected. This meeting.
in turn helps to determine which activities were re- Based on feedback from the consultant, the
sponsible for the outcome and how to modify the group will decide how to modify procedures for
program for future use. In an example, Cooper and conducting subsequent staff meetings. Following
Newbold (1994) report an effective use of behavioral this intervention, the consultee agrees to monitor
systems consultation in which a small and large group staff meetings on a regular basis to make sure the
feedback was employed to help employees develop desired changes in “top-down” communication in-
more safety with regard to lifting, equipment use, deed occur. The changes in the system are evalu-
and hand/body positioning. For school-based exam- ated six months later by surveying the staff.
ples see Sugai and Horner (1999) and Putnam,
Luiselli, and Jefferson (2002).
CONJOINT BEHAVIORAL
An Example of Behavioral System Consulta-
tion. A human service professor from a university CONSULTATION
is consulting with a human service agency about
enhancing its effectiveness. The consultant and the
designated consultee first define the system in terms
of its structure and process. Although the first of (Auster et al., 2006; Sheridan, 2000; Sheridan &
these is easy, it takes them quite a bit longer to Kratochwill, 1992; Sheridan, Kratochwill, &
define the system’s process. They examine each of Bergan, 1996). This method consists of involvement
the agency’s subsystems (e.g., the technological sub- of teacher—parent pairs who together (simulta-
system, which consists of the case workers) in terms neously rather than individually) serve as consultees
of how communication takes place, how the be- (Sheridan, 2000), considering both school and home
havior of the subsystem is measured and evaluated, settings (Grissom, Erchul & Sheridan, 2003;
and how the subsystem attempts to solve its own Sheridan, Clarke, Knoche, & Edwards, 2006). The
problems. process parallels havioral case consultatior
After defining the system, the consultant guides (Guli, 2005).
the consultee in assessing the interaction between
the identified structural and process factors. They
determine that part of the system’s limitations is
due to poor “top-down” communication and
lack of adequate autonomy for the agency’s case is approach has been a
workers. In intervening to rectify the matter, they logical step in attempting to link the significant set-
identify poor “top-down” communication as the tings in a student’s life such as home, school, and
most important problem. They set the objective primary community arenas and their reciprocal in-
of having a regular weekly staff meeting in which fluence (Auster et al., 2006; Kratochwill, Elliott, &
all participants are allowed to submit agenda items Carrington Rotto, 1995).
and all important information is discussed. In addi- Conjoint behavioral consultation is defined as
tion, the final 10 minutes of each meeting 1s allo- “a structured, indirect form of service-delivery, in
cated for discussion of any topic that an individual which parents and others are joined to work to-
wants to bring up. The consultant and consultee gether to address the academic, social, or behavioral
generate three possible programs, weigh their ad- needs of an individual for whom both parties bear
some responsibility” (Sheridan & Kratochwill, behavioral collaboration can be increased by indi-
1992, p. 122). Although the addition of more con- vidual organizations making effective use of behav-
sultees complicates this approach, the benefits can ioral technology training. To the degree that other
be more than worth the costs. professionals can become skilled in behavioral inter-
For example, this approach can expedite ventions and accept their use as methods of choice,
change across the home and school settings. This behavioral collaboration can become a frequently
approach starts*to build some empirical validity used service. Another way to increase the use of
(Auster vet al. 2006; Guli, 2005; Sheridan er*al., behavioral collaboration is for the human service
2001; Sheridan, Eagle, & Doll, 2006). For example, professionals to provide direct service to the client
there is some evidence that parents and teachers system while providing consultation to the consul-
prefer conjoint behavioral consultation over paral- tee. In that way, the professional is taking some
lel, one-on-one consultation for each party (Freer specific as well as general responsibility for the
& Watson, 1999), although some initial research outcome of the case. As a caution, experts in be-
suggests that parents may tend to dominate the ses- havioral interventions will want to ensure that
sions more than teachers (Grissom et al., 2003).In they minimize their “expert” role as much as possi-
another example, there is growing evidence that ble to allow for an equal relationship among the
this model accommodates multicultural variables collaborators.
that affect the consultation process (Guli, 2005;
Sheridan, 2000; Sheridan et al., 2006). Research
on this model is promising (Guli, 2005; MULTICULTURAL ASPECTS
Wilkinson, 2005). This consultation approach
serves the two goals of bridging the gap between RELATED TO BEHAVIORAL
the home and the school, maximizing the potential CONSULTATION
of treatment effects in both places. Due to the in-
creased attention this model is receiving, I include a The known effects of cultural issues on behavioral
summary of it here. Bear in mind that this model and conjoint behavioral consultation are very lim-
builds directly upon that of Bergan and Kratochwill ited (Sheridan, 2000). However,
(1990).
COLLABORATION FROM A ecause some cul-

tural groups value the nature of the relationship
BEHAVIORAL PERSPECTIVE more than the expertise of the consultant, behav-
ioral consultants may want to look at how to build
Very little has been written about behavioral col- effective relationships prior to consultation
laboration as distinct from behavioral consultation. (Sheridan, 2000) and develop collaborative proce-
This is most likely due to the fact that much of dures within the consultation relationship (Sheridan
behavioral consultation is practiced in the schools, et al., 2006). Groups that value independence and
and many of the professionals in the typical school individual accomplishment may see value in this
are not familiar with the intricacies of implementing approach. Part of behavioral consultation’s assess-
behavioral interventions to the degree that treatment procedures take into account social and cul-
ment integrity can be ensured. As a result, the hu- tural environments, thus setting the stage for modi-
man service professional often has no choice but to fication ofinterventions due to the cultural context.
take on an expert mode ofconsultation. The use of Behavioral consultation’s focus on monitoring and
CASE 10.1 Behavioral Collaboration for School Consultants
Monica is a school-based consultant in an inner-city The physical education teacher wanted nothing to
elementary school. She has received extensive training do with the attempt to help the boys and said, “If they
in behavioral case consultation and cognitive behav- can’t cut it now, they never will.” So Monica and Jose
ioral interventions. Her consultee is Jose, a fifth-grade determined that the boys needed training in anger-
math/science teacher. Jose has participated in some coping skills but also, and most importantly, the ability
behavioral technology training sessions in the recent to demonstrate the newly learned skills in Jose’s class-
past. room. So Monica agreed to counsel the boys using a
In their first two meetings, Monica and Jose en- cognitive behavioral and coping skills approach to an-
gaged in problem identification and analysis. Jose re- ger control. As far as the consultation process with Jose
ported that he was having difficulties with four ag- went, he agreed to monitor the boys’ behavior in the
gressive boys in one of his classes. Jose was concerned classroom and cue them when necessary to implement
that the children in his class were not learning enough their newly learned skills. When they effectively used
because of the time he had to spend “keeping his their coping skills, Jose would reward the boys with
thumbs on” the boys, who exhibited verbal and physi- tokens that could be used to “buy” a variety of items
cal forms of aggression to their classmates and each Jose had for rewarding good conduct and academic
other. Jose was worried about the harm they were achievement.
causing. He felt that they were well on their way to Jose implemented his monitoring program at the
dropping out, and he wanted to do everything he same time Monica began the coping skills training.
could to keep them in school. Jose’s charts showed slow but steady decreases in the
For one week Monica had Jose write down his boys’ verbal and physical aggression. He contacted
descriptions of exactly what the boys did when they Monica on a couple of occasions to make sure that he
were “verbally and physically aggressive.” In the was accurately identifying the boys’ attempts to use
meantime, she observed the boys in Jose’s classroom their coping skills. After Monica had finished the
on three different days and did the same thing. Based training group, she met with Jose one more time to
on a comparison of their notes, they came to a con- plan how he was going to fade out the cueing and
sensus On operationalizing the behaviors that were reward system over the semester.
problematic. In their analysis they examined the boys’
behavior, the classroom conditions, and Jose’s behav-
ior at the time of the undesirable behaviors. It was Commentary
found that Jose used proximity control and appropri- Notice how this case nicely illustrates collaboration
ate verbal responses to the boys when they were act- using a behavioral model. Both Monica and Jose
ing out, as well as the “assertive discipline” techniques own a piece of the helping “pie.” At the same time
that were prescribed school wide. In analyzing the Monica uses her expertise to assist Jose in developing
boys’ behavior, they came to the conclusion that their a token economy program for the boys. She also
verbal and physical aggression was due to poor anger follows up with him periodically to help him with
coping techniques. The boys came to math class right the details of the program. This case shows how
after a physical education class whose focus was com- consultants, through collaboration, can serve the cli-
petitive sports. The boys seemed to be angry when ent system directly while assisting a fellow collabora-
they or their teammates didn’t do particularly well in tor to work more effectively with that same client
competition. system.
follow-up may be welcomed by those from cultural turnoff to some cultural groups (Sheridan, 2000).
groups that perceive themselves to be disenfran- Further, the consultant’s control of the model can
chised. Consultants are cautioned to be careful be an issue for some cultural groups (Harrison,
with the jargon-laden terminology that can be a 2004; Hoffman et al., 2006).
CASE 10.2 Behavioral Consultations for Community Consultants
The consultee is a qualified mental retardation specialist Based on this and other observations, the consul-
with Washington County Citizens for the Handicapped, tant and consultee developed a program that involved
an organization that operates a six-resident intermedi- a type of “time out” procedure in which Ms. Jones
ate care facility for the mentally retarded (ICF-MR). As a would be escorted to her room any time she attempted
qualified professional, the consultee is responsible for to strike anyone. She would then be free to leave her
ensuring that “active treatment” is provided for each room and join in social activities after a 10-minute
resident in accordance with state and federal regula- period. Ms. Jones was also rewarded with additional
tions governing ICF-MR group homes. The consultant activity therapy time when she fulfilled the token
was asked to help the consultee develop an appropriate economy procedures indicated in her treatment plan.
program for each demonstrated need. The program called for a 90 percent decrease in the
The 30-year-old client, Ms. Jones, has been dem- striking behavior and a 30 percent increase in socially
onstrating aggressive behaviors: striking other home acceptable behaviors.
members and some of the staff, particularly a female The program was approved by the Human Rights
staff member. The consultee wanted assistance in de- Committee and was signed by the client’s guardian.
veloping a behavior program to increase Ms. Jones's The consultee implemented the program with the
positive social behavior and reduce her unacceptable consultant being “on call” for any monitoring that was
behaviors in a nonrestrictive manner that would not needed. It was obvious that within one month of im-
violate her client rights. plementing the plan, Ms. Jones had almost totally
The consultant built rapport with the consultee stopped her striking out behavior and had significantly
during the first session as they discussed Ms. Jones. increased the frequency of her socially acceptable
They defined “striking” as hitting out at another and behaviors.
“socially appropriate behavior” as smiling at others, Further data and information were gathered
being next to others without striking, talking to others and analyzed. Every indication was that the plan
about routine matters, and engaging in social activities was a success. In a final interview the consultant
while following any rules. and consultee reviewed the case. Both were
The consultant then observed the client for five pleased with Ms. Jones's success, but they still won-
consecutive days at 15-minute intervals for one hour dered what part Mr. Smith had played in influencing
each in the morning and during social activities in the her behavior.
evening. A graph of the incidence of striking behavior
showed that Ms. Jones tended to strike out at others in Commentary .
the evening during social activities. Her socially appro- This case nicely illustrates the use of behavioral con-
priate behavior index was fairly average during other sultation in a somewhat delicate situation. The case
times. The consultant and the consultee agreed that it also demonstrates one of the premises of behavioral
would be important to create a reinforcement program consultation, namely, that the cause of a behavior does
for Ms. Jones so as to increase the number of socially not necessarily have to be understood to effectively
appropriate behaviors during the evening hours. change that behavior. Notice how the consultant and
During the next session they discussed Ms. Jones’s consultee worked together in reinforcing the appro-
strengths and skills as well as environmental conditions priate target behaviors exhibited by Ms. Jones while at
that might be influencing her striking-out behavior. By the same time enforcing consequences for inappropri-
applying their mutual knowledge bases to the prob- ate behavior. Clearly, behavioral consultation focuses
lem, they agreed that Ms. Jones tended to sit by Mr. On assessing and operationalizing behavior prior to in-
Smith. Whenever she was not sitting by Mr. Smith in tervening. This strength of behavior consultation sug-
the evenings, she tended to strike at another group gests to consultants the critical nature of knowing
member, typically another female. She did not have a what it is that is to be changed through an
history of striking at Mr. Smith. intervention.
SUMMARY
Behavioral consultation is a process in which a con- was formulated by Bergan in 1977 (Noell & Witt,
sultant uses the principles of learning to assist one or 1996). Behavioral technology training consultation
more consultees having a work-related problem involves preparing the consultee in the use of gen-
with a client or client system. Behavioral consulta- eral or specific behavioral principles for future use
tion owes its heritage primarily to behavior therapy with clients and client systems. In the system ap-
and behavioral psychology. The boundaries of be- proach, a system or some part of it is modified
havioral consultation tend to expand in direct rela- through use of behavioral principles.
tionship to advances in these two areas. The basic assumptions of behavioral consulta-
The result of all behavioral consultation is a tion are that behavior can be viewed scientifically,
change in behavior in the client, the consultee, or overt and current behavior is the focus of change,
both that is accomplished through a systematic and behavior is lawful and subject to systematic
problem-solving process. The consultant—consultee change. Among the procedures advocated by be-
relationship 1s a collaborative one in which the con- havioral consultants are use of direct assessment,
sultant is an expert who guides the consultee operationalization of goals, objective measurement
through the consultation process using the princi- of target behaviors, and assessment of both the goals
ples of learning. of consultation and the consultation plan. Behavior
Behavioral consultation can be performed in consultation has been successfully applied in a vari-
case, training, or system approaches (Kratochwill ety of settings but is most frequently used when
& Pittman, 2002). In the case approach, by far the there are high levels of client or system control. It
most common, the consultant helps the consultee is the best researched model of consultation
manage a client’s case. It has changed little since it (Kratochwill et al., 2002; Sheridan et al., 1996).
RECENT TRENDS
The major trends in behavioral consultation are ing intervention procedures to consultees (Noell,
linked to developments in behavior therapy and 195). EEE cecvin x
behavioral psychology; findings in these areas are Erhardt, 2000; Sterling-Turner et al., 2001
quickly incorporated into the practices of behav-
ioral consultants.
which has allowed the field to move beyond tradi-

tional case consultation (Williams, 2000).
Kratochwill, Elliott, and Stoiber (2002) suggest here is a tendency to include more applied
substituting the term “problem-solving consulta- behavior analysis techniques in behavioral consulta-
tion” for “behavioral consultation” to allow for these tion (Noell & Witt, 1998). One implication of this
expansions. Kratochwill and Pittman (2002) point trend is that there will be more emphasis on direct
out that in system-level consultation there is a trend techniques for assessing behavior (such as observa-
away from school restructuring and toward building tion) and less on indirect techniques (such as recol-
learning communities (see Senge et al., 2000). lections gotten through interviews).
Instead of relying solely on the current abilities Behavioral consultants are increasingly engag-
of the consultee, consultants now are taking in- ing in positive behavior support (PBS) programs
creasing responsibility for assessment and are teach- (Lewis & Newcomer, 2002; Luiselli, 2002;
Martens & Ardoin, 2002). Positive behavior sup- in which the client system behaves (Denton et al.,
port 1s an approach to intervention that uses posi- 2003). All interventions can have a systemic effect
tive, individualized support to promote positive and even though they are responsive to the individual
socially important behavior change using functional client. In school consultation, authors such as
behavioral assessment. Positive behavior support is Gutkin & Curtis (1999) have suggested changing
used at the school system, classroom, and individual the name of behavioral consultation to “ecobeha-
levels. The idea is to create a system for optimizing vioral consultation” in order to expand its para-
the capacity of schools for addressing behavioral is- meters to include distal environmental events such
sues using evidence-based and culturally appropn- as parental pressures affecting the consultation pro-
ate interventions (Sugai et al., 2000). cess. Behavioral consultants are becoming increas-
Another trend in behavioral consultation is an ingly aware that the success of any approach to be-
increased tendency to include other forms of behavioral consultation is in part determined by the
havioral technology in addition to those based on environment in which consultation occurs
operant conditioning, classical conditioning, and (Dickinson & Bradshaw, 1992: Kratochwill &
observational learning in both behavioral and Pittman, 2002).
demic interventions (Kratochwill et In terms of the consultant—consultee relation-
ship,
Cognitive behavioral theory as gre atly expanded

the number of potential interventions available to (Kratochwill, Elliott, & Callan-Stoiber, 2O0Z;
consultants and permits more flexibility in develop- Rosenfield, 1991, 2002b).
ing plans (Lochman et al., 1989). Hughes et al. Behavioral consultation in general, and con-
(2001) report the development of Responsive joint behavioral consultation in particular, places
Systems Consultation (RSC) as an alternative to more attention on multicultural variables
conjoint behavior consultation (CBC). RSC em- (Sheridan, 2000). Issues such as trust, acknowledge-
phasizes a larger menu ofinterventions and a greater ment of diversity, use of jargon, and even the effect
focus on improving client relationships with signif- of interpreters is under examination. More atten-
icant others than does conjoint behavioral consultation is being placed on the potential impact of mul-
tion. Problems seen as being located in the client ticultural variables during all stages of the consulta-
system are reframed as products of the interactions tion process (Sheridan, 2000).
of the client system and the interpersonal contexts
CONCLUSIONS
onsultants can be
taught to perform behavioral consultation in a
straightforward, step-by-step manner, which has re-
inforced the view that consultation is a sequential 3ehavioral consultation’s emphasis on
process made up ofidentifiable stages. There is con- specifics and measurement has encouraged consul-
siderable evidence that behavioral consultation is tants to be more accountable for their consultation
effective (Erchul & Schulte, 1996; Kratochwill & efforts. Further, behavioral consultation’s emphasis
Pittman, 2002). on specifics has allowed it to have the most research
activity and empirical support among consultation

models (Sheridan, Kratochwill, & Bergan, 1996).
Behavioral consultation has also emphasized
treatment acceptability, treatment integrity, and
treatment evaluation. For example, it is one thing to help a teacher
make a plan to control the behavior of a seventh-
grade boy, but quite another to implement the pro-
gram in a classroom with 36 students.
ther contribution o
behavioral consultation is the training of consultants cause some work-related problems
in techniques from behavioral and cognitive- can be addressed simply by using behavioral inter-
behavioral approaches to counseling and psycho- ventions, some behavioral consultants adopt the
therapy. Hence, schoolteachers are frequently able role of expert and perform most of the consultation
to use behavior modification procedures, and many tasks except the intervention. The long-term positive
counselors can use stress inoculation training. effects on the consultee’s future performance are
Behavioral consultation is not without its limita- likely to be negligible as a result. A closely related
tions and criticisms. criticism is that some behavioral consultants rely too
much on pet interventions (e.g., tangible reinforcers)
when designing intervention programs with their
omeren, consultees. Behavioral consultation is also criticized
1995). Additional limitations include lack of focus for not maintaining the integrity ofthe treatment (Elhott
on treatment integrity (Sterling-Turmer et al., 2002) & Busse, 1993; Hughes, 2000). Frequently the
and the fact that behavioral consultation has not really agreed-upon treatment plan is not implemented as
developed over the years (Watson et al., 1997). For planned due to a lack of adequate financial and/or
example, in one study (Bramlett et al., 2002), less than human resources. Therefore, behavioral consultation
one-half of the school psychologists surveyed reported does not always practice what it preaches—adequate
using all of the stages of behavioral consultation. monitoring of program1
Hughes, 2000). Many times oell & Witt, 1996).

consultees have reservations about using behavioral Some authors challenge some of the fundamental
interventions with clients because of perceived tech- assumptions of behavioral consultation, such as talk-
nical problems or manipulative behavioral procedures ing to consultees being an adequate method for
and because of concerns about their ability to imple- getting them to change their behavior and general-
ment the required procedures. Researchers have be- ize the problem-solving skills to similar situations in
gun to address this issue by exploring consultee reac- the future (Witt, Gresham, & Noell, 1996a, 1996b).
tions to consultant language (such as the use of jargon) With one exception, each of these criticisms
and consultee involvement in selecting interventions suggests that the shortcomings of behavioral consul-
as they relate to consultee acceptability of suggested tation result from inadequacies of practicing behav-
interventions (Rhoades & Kratochwill, 1992; ioral consultants rather than from the failings of
Sheridan, 1992). There have also been writings aimed consultation approach. As with the other models
specifically at the use of relational variables in the con- of consultation covered in this text, the remedy to
text of behavioral consultation (Kratochwill, Elliott & this situation may well be better training and a re-
Callan-Stoiber, 2002). finement of approaches to behavioral consultation.
Avoid behavioral jargon at all times. Make the goals of consultation and collabora-
Note the importance of relational issues. tion as concrete and specific as possible.
Consider training prospective consultees in Recall the importance of evaluation of the plan
behavioral interventions as part of their staff and the consultation process.
development training.
Could any individual behavioral consultant Which of the three subcategories of verbaliza-
incorporate the findings from operant conditions would an organizational process consul-
tioning, classical conditioning, observational tant employ most frequently? How would this
learning, the cognitive-behavioral movement, compare with a consultant employing behay-
and behavioral ecology into the practice of ioral case consultation?
consultation? Justify your answer. Which of the three subcategories of verbaliza-
No What are the essential characteristics of any tions would a mental health consultant using
approach to behavioral consultation? consultee-centered case consultation employ
To what degree are the underlying assumptions most frequently? How would this compare
of each of the influences on behavioral con- with a consultant using behavioral case
sultation compatible with each other? consultation?
When would you, as a behavioral consultant, What strengths does behavioral ecology add to
incorporate punishment into a treatment plan? behavioral system consultation?
Justify your answer. Why does a consultant using behavioral tech-
How can a consultant using the behavioral case nology training need to be a “good teacher’?
consultation approach avoid manipulating and 10. When you consider both the contributions and
excessively controlling the consultee’s verbal criticisms of behavioral consultation, what
behavior? conclusions do you draw?

Those further interested in behavioral consul- devote at least a full chapter to each of the
tation should consult the following suggested four stages of behavioral consultation and
readings: provide extensive treatment of verbal interaction
techniques. There is a case study section to
Bergan, J. R., and Kratochwill, T. R. (1990). Behavioral demonstrate precisely how a behavioral
consultation and therapy. New York: Plenum. This consultant would proceed. The major difference
text is, in effect, a second edition of Bergan’s classic in this text from Bergan’s (1977) text is the
text Behavioral Consultation (1977). This is “the addition of a chapter on methodological and
book” on behavioral case consultation. Although conceptual issues in behavioral consultation
the authors assume consultants will be working in a outcome research. Be advised that this
school setting, readers can easily apply the ideas in book is laborious reading but well worth
the text to any human service setting. The authors the effort.
Kratochwill, T. R., and Bergan, J. R. (1990). Behavioral discusses various approaches to working with par-
consultation in applied settings: An individual guide. ents such as parent education. Chapter 3 does an
New York: Plenum. This guide is a fine resource excellent job of discussing the conceptual bases of
for those who want to better understand the basics conjoint behavioral consultation and differentiates it
of behavioral case consultation but who do not de- from traditional behavioral consultation. This is an
sire the in-depth discussion presented in the Bergan excellent resource for those interested in consulting
and Kratochwill text just described. It provides with both parents and teachers from a behavioral
summaries of each of the stages of the behavioral perspective.
case consultation model as developed by
Kratochwill and Bergan, as well as exercises at the http://www.pbis.org/english/ The Technical
end of each chapter to help readers assess their un- Assistance Center on Positive Behavioral Interven-
derstanding of the material. tions and Supports (PBIS) has been established by
the Office of Special Education Programs, a
Sheridan, S. M., Kratochwill, T. R., and Bergan,J. R. division of the U.S. Department of Education,
(1996). Conjoint behavioral consultation: A procedural to give schools capacity-building information
manual. New York: Plenum. This model involves and technical assistance for identifying, adapting,
an expansion of traditional behavioral consultation and sustaining effective school-wide disciplinary
to include conjoint consultation with parents and practices. This is an excellent site for information
teachers. Of particular interest is Chapter 2, which on PBS.
11
HK
Organizational Consultation
and Collaboration
G iven your basic familiarity with organizations and the ways they operate,
we'll now examine how consultants operate within organizations. Why
do consultants work in organizations? As Bellman notes, “in this imperfect world
full of imperfect people, we try to get things done through large, imperfect or-
ganizations—organizations of our own creation” (1990, p. 69). Consequently,
the main goal oforganizational consultation is improvement in the organization’s
effectiveness, and this can take many forms and use a multitude of methods. It
typically emphasizes data gathering, problem identification, and organizational
well-being (Truscott et al., 2000; Zins & Erchul, 2002). Many types of organiza-
tional consultation originated in business and industry settings, whereas the men-
tal health movement was influenced by others.
In this chapter we'll consider the historical development of organizational
consultation and define some important terms. Then we’ll examine a few of its
key concepts, drawing from the discussion of the preceding chapter. We'll con-
sider three specific models of organizational consultation: purchase of expertise,
doctor-patient, and process consultation (Schein, 1969, 1987, 1999, 2006). In
discussing the expertise model, we’ll focus on education/training and program
approaches. In the doctor-patient model, diagnosis is emphasized. In the section
on process consultation, we'll explore Schein’s model.
For each of these approaches we’ll examine the goals, roles, and functions of
the consultant and the consultee’s experience in consultation. We'll explore some
applications of organizational consultation by discussing its techniques and proce-
dures, and we'll note some contributions and criticisms of this kind of consultation.
236
CHAPTER 11 ORGANIZATIONAL CONSULTATION AND COLLABORATION 237
Here are some questions to consider as you read this group of staff develop procedures for evaluating the
chapter: effectiveness of the center’s services.
Increasingly, professionals who provide consul-
1. Why is consulting with organizations more tation (either internal or external) are being asked to
complex than consulting with individuals? assist with organization-wide concerns and issues.
2. Who or what makes up the client system in Organizational consultation is based on the concept
organizational consultation? that an organization can be made to function more
3. How can a consultant evaluate the effects of effectively through the efforts of one or more con-
organizational consultation when the process is sultants who work with some (or possibly all) mem-
so complex? bers of the organization. Thus, the organization itself
or one ofits parts becomes the client and the mem-
4. How should a consultant select from the mul-
bers are the consultees. Consider a school counselor
titude of available interventions?
or school psychologist who assists a group consisting
5. What are the basic differences among the var- of seventh-grade teachers and parents to decrease the
ious approaches to organizational consultation? number of incidents of school violence. Or for an-
other example, a school counselor might be asked to
develop an intervention assistance program to assist
teachers to meet the academic and behavioral needs
INTRODUCTION of their students (Curtis & Stollar, 2002). Managed
care, downsizing, and expanding ecology have cre-
Consider the following example, which covers just ated a variety of opportunities for human service pro-
one of several approaches to organizational fessionals to consult with organizations to assist them
consultation: in coping with these phenomena (Sears et al., 2006;
Sperry, 1996).
Organizational consultants can fulfill the follow-
Case Example
ing functions (Schein, 1987, p. 20):
You are a human service professional who is asked to
# provide information that is not otherwise
consult with a rehabilitation center staff. The center,
available
which serves as a counseling facility for incarcerates
nearing eligibility for parole, is having staff conflicts # analyze information with sophisticated tools
not available to clients or their subordinates
that are adversely affecting the success of its programs.
The center’s head administrator asks you to sit in on # diagnose complex organizational and business
three of the regularly scheduled weekly staff meetings problems
and provide the staff feedback concerning how they train clients or their subordinates to use diag-
®
might resolve their conflicts. As you observe the meet- nostic models that help them make better
ings, you take notes on such things as what and how decisions
things are said, as well as who talks to whom. You
provide feedback to the staff at a special meeting and » listen and give support, comfort, and counsel
then help the group process that feedback. Asa result, during troubled times
three areas of conflict are identified: some staff mem- » help implement difficult or unpopular decisions
bers are perceived as being too hard on the clients, = reward and punish certain kinds of behaviors
some staff members are perceived as being too soft (by using status as an “outsider” as a special
on the clients, and the center has no evaluation system source of authority)
in place to determine whether it really helps its clients.
You agree to spend an additional session with the staff ® transmit information either up the normal
to help them resolve their conflicts and to help a select chain of command or laterally as needed
# make decisions and give directives on how to popular (French & Bell, 1999). Organizations, there-
proceed if for some reason line management fore, no longer needed to be sick to benefit from the
cannot do so; and take responsibility for deci- assistance of a consultant; rather, healthy organiza-
sions, allay anxiety that may attend the uncer- tions could become more efficient and effective in
tainties of consultation, and in other ways meeting their goals by obtaining consultant services
provide the emotional strength to help others in motivation and leadership. Thus, consultants be-
through difficult situations came increasingly involved in serving organizations
in such matters as lines of authority, types ofleader-
Human service professionals, through their spe-
ship, and the distribution of labor (Gallessich, 1982).
cialized training, are particularly suited to provide
The national attention given to the concept of
organizational consultation (Lewis et al., 2003; Sears
mental health and the emergence of mental health
ét al. 2006).
consultation (see Chapter 9) began to influence not
only human service organizations, but business and
industrial organizations as well. Greater emphasis
HISTORICAL BACKGROUND was placed on the psychological well-being of the
worker on the job. Organizational leaders began to
Organizational consultation first emerged in the realize that satisfied workers were crucial to effec-
1890s in industrial settings. Consultants, experts tive and productive organizations. Coincident to
who focused on manufacturing productivity, were the national emphasis on mental health was the
called on to fix production problems. In open sys- emergence of organization development.
tems terminology, the early organizational consul- Organization development is the application of
tants dealt with the technological subsystem of the the behavioral sciences to an organization’s internal
organization. At the outset of organizational con- workings to increase its efficiency, effectiveness, and
sultation, consultants combined industrial engineer- its ability to change (French & Bell, 1999; McLean,
ing with time and motion studies and were often 2006). The organization development effort focuses
referred to as management engineers. “on the characteristics of the workplace as a whole,
During World War I, organizational consul- with the consultant attempting to use a variety of
tants were frequently considered efficiency experts; interventions that can integrate organizational and
they were concerned with functions such as input— individual needs” (Lewis & Lewis, 1986, p. 202).
output ratios and the relationships between humans Organizational consultation developed under
and tools. During the 1920s, organizational consul- the influences of applied behavioral science and man-
tation expanded into other subsystems ofindustrial agerial science (Shultz, 1984): From behavioral sci-
organizations, particularly management and main- ence came laboratory training methods, the use of
tenance. the survey research and feedback method, and auton-
The Great Depression created a crisis in which omous work groups; from managerial science came
many businesses, industrial and non-industrial alike, quantitative analysis of business activities, particularly
were forced to fight for survival. This financial crisis managerial decision making (French & Bell, 1999).
produced conditions conducive to a new consultant The laboratory training methods are a series of
activity: helping “sick” organizations. Although “sick” experimental activities that focus on developing
referred to finances during the Great Depression, the skills for more effective organizational functioning.
term has since come to refer to any aspect of an orga- Development occurs in a laboratory setting in
nization considered to be problematic. which group members experiment with new beha-
With the advent of group dynamics research and viors and are given feedback. The new behaviors
the call to improve work conditions during the 1940s are then supposedly transferred to the work site.
and 1950s, psychology entered business settings, and In the survey research and feedback method, re-
motivation and leadership studies became quite sults of surveys about the organization are conveyed
to the respondents to further pinpoint problem areas nationally. HRD can take place in educational as
and to generate discussion. Such discussions are in- well as business and human service settings.
tended to improve relationships among the partici- A current trend in organizations is to provide
pants and help solve identified problems. counseling for employees on the work site through,
The Tavistock Institute of London developed a for example, employee assistance programs (Hopko
psychoanalytic theory of groups that influenced or- & Hopko, 2003).
ganization development (French & Bell, 1999). The emergence of organization development
Much of this institute’s work focused on study and HRD has given legitimacy to using either inter-
groups formed to examine how participants dealt nal consultants (when present) or outside consultants
with issues such as authority, leadership, and norms. (whenever internal ones are absent or unskilledin the
Participants were to take their newly acquired area of service for which consultation is needed). This
knowledge and apply it in their own organizations. point of view exemplifies the philosophy that satis-
In 1969, Edgar Schein wrote a landmark text fied workers make productive employees and that
entitled Process Consultation. This text strongly influ- democratically run organizations based on relation-
enced the human side of organizational consulta- ships lead to organizational success. Later, Deming’s
tion and gave great momentum to legitimizing TQM (total quality management) concepts influ-
organizational consultation in all types of organiza- enced organizational consultation in all settings.
tions, including educational institutions. This movement gave legitimacy to the concept of
Schein emphasized focusing on process elements continuous improvement in all organizations, irrespec-
such as leadership style, balancing individual needs, tive of their mission.
and organizational goals (Kormanski & Eschbach,
1997). Later, Blake & Mouton (1983) and others de-
veloped their famous “consulcube” which helped
determine the nature of the problem, ORGANIZATIONAL
consultants
the target of change, and the type ofintervention. CONSULTATION DEFINED
Managerial science, which accompanied the
development of management as a profession (Katz In spite of the many attempts to define it, there is
& Kahn, 1990), focuses on finances and quantitative no agreement on a single definition of “organiza-
analysis of all aspects of management. Unlike ap- tional consultation.” What is clear is that there are
plied behavioral science, managerial science focuses many types of such consultation, and how they are
almost exclusively on the tangible and the performed depends on the theoretical orientation of
quantitative. the consultant, the nature of the organization, and
Organization development influenced another the nature of the problem for which consultation is
field called human resource development (HRD), sought (Lewis & Lewis, 1986).
which developed during World War II out of Organizational consultation can be defined in
military and industrial organizations’ needs for com- terms of what the consultant does. Three decades
petent personnel (French & Bell, 1999). The phil- ago, Sinha provided the following definition:
osophical framework of HRD is the development
of human potential. Whereas organizational consul-
tation focuses on the workplace as an entity, HRD
focuses on the individuals within the organization.
HRD consists of the learning experiences “that are
organized, for a specified time, and designed to
bring about the possibility of behavioral change”
(Nadler, 1980, p. 5). HRD gained recognition
when the ASTD emerged and promoted HRD
nization as client, and the fact that process is as 1m-

portant as content.
The Organization as Client

The client system in organizational consultation is
usually the organization or some part of it. In any
case, the goal of organizational consultation is to
enhance the overall effectiveness of the organiza-
tion, making the organization the client system.
This can be a hard concept to grasp because many
consultants are used to viewing the client system as
A synthesis of many authors’ views on organi- either an individual or a relatively small group.
zational consultation might produce the following The more complex the organization, the more
generic definition: organizational consultation is the complex the client system becomes. Organizations
process in which a professional, functioning either are systems made up ofinteractive and interdepen-
internally or externally to an organization, provides dent parts; consulting with one part of the organi-
assistance ofa technical, diagnostic/prescriptive, or zation can affect all of its parts. Organizations are
facilitative nature to an individual or group from made up of people, each of whom possesses a un-
that organization to enhance the organization’s ique set of attitudes, values, beliefs, and behaviors.
ability to deal with change and maintain or enhance Individuals in an organization are affected not only
its effectiveness in some designated way. by these attributes of their coworkers, but also by
Some confusion surrounds the terms “consultee” the social relationships that exist within the organi-
and “client system” in organizational consultation. zation. ‘When consultants provide services to one
Consultees are those people in the organization with part of the organization, the potential impact on
whom the consultant works; frequently they are mid- other parts must be considered.
to high-level managers or those who provide direct Among the concepts important to understand-
services to clients. In the organizational consultation ing the complexity of the organization as client is
literature, the term “client” often refers to the consul- the principle of synergy, which states that the whole
tee, particularly when the discussion concerns those in of a set of products is greater than the sum of its
the organization with whom the consultant is work- parts. When buildings, offices, people, and machines
ing. With respect to organizational consultation in this are put together in a certain way, they become more
text, the term “‘consultees” refers to those with whom than the sum oftheir parts (organizations). This con-
the consultant works directly; the “client system” is cept makes understanding organizations even more
always the organization or some part ofit. complex. By viewing the entire organization as the
cent, consultants will understand the complexity
of the potential ramifications of their interventions
and avoid oversimplified consultation methods.
KEY CONCEPTS IN
ORGANIZATIONAL Process Is as Important as Content
CONSULTATION An important underlying assumption of organiza-
tional consultation is that process is as important as
Most of the key concepts concerning organizational content; that is, Yow something is done can be as
consultation were discussed in Chapter 8. However, Thus, how people com-
two are sufficiently important to highlight: the orga- municate with one another in an organization is as
important as what they communicate, and how consultation, more specific conceptualizations such
an organization goes about solving a problem is as those of Schein (1988, 1999; 2006) have been
as important as the nature of that problem developed.
(Golembiewski, 1993e). If we think of the problem Schein conceived three models of consultation:
to be solved as the content, then the process the purchase of expertise model, the doctor-patient
can be thought of as the method by which the model, and the process model. Both the purchase of
problem is defined and solved (Schein, 1978, expertise and the doctor-patient models are versions
1999). There is even a specific kind of consultation, of “expert” consultation (Schein, 1987, 1999). They
called process consultation, that focuses on the focus on what needs to be done. In the purchase of
process of organizational behavior rather than on its expertise model, the consultee “purchases” a consul-
content. tant who can provide expertise (knowledge or skill)
In organizations, process factors are distin- to solve a previously determined problem. In the doc-
guished from structural factors, such as departments tor—patient model, the consultee “purchases” the con-
and lines of authority. These structures coordinate sultant’s ability to both diagnose a problem and pre-
and control tasks in an efficient and timely manner scribe an appropriate set of solutions for it. The
(Jerrell & Jerrell, 1981), but they are surrounded by consultee retains control of defining the problem in
process factors, such as informal relationships, tradi- the purchase of expertise model but not in the doc-
tions, and culture (Schein, 1987, 1999). Further, tor—patient model. In the purchase of expertise
how people perceive a structure (e.g., their job’s model, the consultee has already identified the
role) determines how they relate to others within solution (what the consultant does), whereas in
the organization and how they act in that role the doctor-patient model neither the problem nor
(Schein, 1988). Only when its members are the solution is defined prior to consultation.
smoothly interacting with one another can the or- The process model views consultation as a “set of
ganization be functioning effectively. Consultants activities on the part of the consultant which help
often help organizations become aware ofthe inter- the [consultee] to perceive, understand, and act
actions between process factors and their members upon process events which occur in the [consul-
to assist them in functioning at optimal levels tee’s] environment” (Schein, 1988, p. 11). It focuses
(Golembiewski, 1993e). on how problems are solved. In process consulta-
Process and content are often subtly related. tion, the consultee “purchases” the consultant’s
There can be a connection between an organiza- ability to help the consultee focus on process (as
tion’s problem and how the problem 1s being opposed to content) events; this approach focuses
worked on. Schein (1978) illustrates this connection on how problems are solved rather than on the
by telling about a group that discussed leadership content of problems.
(content) while it was experiencing a leadership There are two versions of the process model:
struggle (process) among several of its members. the catalyst version and facilitator version. The cata-
Consultants frequently have the difficult task of de- lyst version of process consultation occurs when the
ciding whether or not to focus on the interaction consultant does not know the solution to some
between process and content. problem but can help the consultee formulate his
or her own solution. The facilitator version occurs
when the consultant may have ideas (content)
about solutions but withholds them to help the
EDGAR SCHEIN’S MODELS consultee clear up his or her own dilemma by going
OF CONSULTATION through the problem-solving process. Effective
consultants use the version of process consultation
that is most appropriate to the circumstances
Whereas Blake and Mouton (1983) developed a
(Schein, 1987).
broad conceptual framework for organizational
There is some evidence that consultee readiness For the purchase of expertise model to be ef-
and the amount of time available for consultation fective, four basic assumptions must be met (Schein,
relate to the choice of Schein’s models (Stayer & 1987, 1988, 1999). The consultee must have made
Dillard, 1986). Consultees with low readiness and a correct diagnosis of the problem, chosen the right
little time may want, and be best suited for, the pur- consultant, correctly communicated the problem,
chase of expertise model. Consultees with high read- and thought through and accepted the consequences
iness and sufficient time might be more suitable of consultation. If the consultee has not made the
for process consultation. Schein’s models of consul- correct diagnosis, the entire consultation will be in-
tation are compared with one another in Table 11.1, valid: the right consultant may have been chosen, but
which is adapted from O’Connell (1990). the wrong problem will have been solved.
Schein’s models form the basis of the following Ifitbecomes apparent that consultation is solv-
discussion of organizational consultation. First, ed- ing the wrong problem, the consultant is under no
ucation/training consultation and program consul- obligation to assist the consultee in making a new
tation are discussed as examples of the purchase of diagnosis. It’s the consultee’s responsibility to en-
expertise model. Next, the process of diagnosis is sure that the consultant has the skills and abilities
given special attention in the discussion of the doc- to meet the consultee’s needs and to correctly com-
tor-patient model, and then the process model of municate the nature of the problem. By using
consultation is considered last. effective communication skills such as clarifying re-
sponses, the consultant can assist the consultee in
The Purchase of Expertise Model. When con- expressing the perceived problem in such a way
sultees request help from consultants, they are fre- that both parties agree about its exact nature.
quently seeking some form of expertise, which can However, ultimately it is the consultee’s responsi-
take the form of the knowledge or skill to fix a pre- bility to correctly communicate the problem.
determined problem. Some combination of infor- Inherent in the purchase of expertise model is the
mation, methods, tools, and support is provided to assumption that the consultee has thought through
the consultee (Lawson, 1998). The essence of this the consequences of consultation.
model is that the consultee knows what the problem Things happen when consultation takes place; a
is, what needs to be done to solve it, and who can be change in one part of an organization often affects
of help. The consultee is in effect saying to the con- other parts. Sometimes consultees are not fully aware
sultant, “Here’s the problem; fix it.” This model is by of the potential long- and short-term impact of
nature very content oriented. The consultant func- consultation. For example, polishing the communica-
tions as a content expert (Schein, 1990c). For exam- tion skills of mid-level managers might have the un-
ple, a consultant leads a school system to assess and wanted impact of making them too assertive in trying
improve its crisis management plan. to improve the entire organization. From the outset,
TABLE 11.1 Schein’s Models Compared
EXPERT DOCTOR PROCESS CONSULTANT
Defines problem Consultee Consultant Consultee with consultant

Suggests an intervention Consultee Consultant Consultee with consultant
Major responsibility for work in Consultant Consultant Consultee
consultation
Consultee learns more effective No No 5 Yes
problem solving
effective consultants help the consultee think through forms of consultation. This cost-effective model,
the consequences a consultant’s activities could have. an exemplar of the technological approach to
In summary, the purchase of expertise model is consultation, is information-centered and empha-
often appropriate when a problem has been well sizes the dissemination of concepts, information,
defined, such as when a consultant can provide spe- and skills rather than the formulation of a diagnosis.
cific information or training or when a glitch arises One caveat: sometimes organizations erroneously
in a human service program. It works best when the view training with the “training-can-fix-
consultee has ascertained the consultant’s suitability everything” syndrome (McLean, 2006).
for the job and has thoroughly thought through the
consequences of consultation. Two of the most Consultation Goals. The primary goal of the edu-
common forms of purchase of expertise consulta- cation/training consultation is the increased effec-
tion provided by human service consultants are tiveness of the organization that results from the
education/training consultation and program consultee’s improved professional functioning in
consultation. the area on which education and/or training fo-
cuses. The idea is that consultees will learn some-
Education/Training Consultation. The educa- thing new related to their job or, in the case of
tion/training approach is the most frequently used parents and guardians, something related to their
kind of purchase of expertise consultation. However, care-giving responsibilities. When consultation 1s
it is but one method of assisting organizations to educative in nature, some form of information 1s
change and should not be viewed as a stand-alone being provided; when the consultant acts as trainer,
experience distinct from other organizational change however, the learning is usually experiential and
initiatives (Arredondo, 1996). The use of consultants focuses on skill acquisition.
in education/training is often referred to as “staff de- Whether a consultant uses an educational or a
velopment” or “professional development activities.” training approach depends on whether the goal of
Recent changes in organizations (see Chapter 8) have consultation is to affect cognitive learning or to
dictated an increased need for education/training con- change attitudes and behaviors (Arredondo, 1996).
sultation (Arredondo, 1996). Consultants provide ed- In an example affecting cognitive learning, a con-
ucation/training services in any number of settings, sultant might provide a junior high school faculty
and topics range from motivation techniques and an in-service program on the differences between
classroom discipline to substance-abuse prevention a junior high school and a middle school. In an
and effective parenting. The reason for this type of experiential learning situation, a consultant might
consultation is the facilitation of change or improve- have mid-level managers practice different types
ment in an organization or one of its subsystems. of strategies to strengthen their leadership skills.
Education/training consultation can occur in a group Education and training can also be combined in
or on an individualized basis for a variety of purposes. consultation. For example, a group of ministers
As its name suggests, this approach emphasizes might first be taught the characteristics of depression
the two most common roles of the consultant: ed- by a mental health consultant and then participate in
ucator and trainer. In this type of consultation, the supervised counseling sessions in which they attempt
consultant shares expert knowledge and skills by to detect these characteristics by role-playing.
some education means (such as a lecture on Whether the consultant emphasizes education, train-
motivation) or through some kind of on-the-job ing, or both depends primarily on what the consultee
training (such as a workshop on techniques for mo- perceives the problem and its solution to be.
tivating supervisors). Gallessich (1982) defines the
Consultant Function and Roles, The consultant in
education/training model as prearranged, organized
services, in contrast to the impromptu educational education/training consultation functions as an ex-
pert who possesses information or skills that the
and training activities that are incidental to most
consultee needs and transmits that knowledge in one Consultees are expected to learn the knowledge or
or more of the roles of advisor, educator, trainer or skills they are taught, adapt them if necessary, and
technical expert. The consultant’s function is to pro- use them on the job to contribute to the organiza-
vide the information and/or the training that best tion’s overall effectiveness. Consultees accomplish
matches a consultee’s interests and needs (Conoley these tasks by giving the consultant honest and ac-
& Conoley, 1992) and is designed in the context of curate information during needs assessment, being
the particular workplace with emphasis on work- cooperative and motivated learners during the edu-
place goals (Arredondo, 1996; Cox, 2001). cation/training process, and attempting to imple-
In addition to assisting in needs assessment and in ment their new knowledge on the job.
planning and implementing education/training in- During the needs assessment, the consultee 1s
terventions, the consultant also assists in the evalua- interviewed (or fills out a survey form) to identify
tion of consultation. Although many organizations topics for education/training, to give opinions on
have standard evaluation forms to help in this task, the nature of the problems of concern during the
many consultants prefer to use their own forms that consultation, and to provide some idea ofhis or her
can be specifically tailored to any _ particular willingness to participate in the consultation.
evaluation. Most consultants agree that if consultees must be
coerced, however subtly, to participate, positive ben-
efits will probably not accrue from consultation. If
consultee participation is voluntary, cooperation
peneinin it and Sins (1986) were the first to and motivation can be enhanced during consultation
define the critical skills needed to function effectively by providing special incentives for participating.
as a consultant in education/training consultation: Consultees can also be taught to understand that con-
sultation is a process, to know how to initiate consul-
= assessing the training needs related to the
tation, to understand that the timing ofa request for
problem
consultation can affect both the process and the out-
= developing and stating measurable objectives come, and to determine when to choose consultation
for learning experiences from among the available services. Consultees can be
= understanding the learning and change process encouraged to implement what they have learned by
education/training methodologies that help them to
= designing a learning experience
personalize the material. It is one thing to listen to a
# planning and designing educational events lecture on management styles; it is another to be
= going beyond traditional training and using asked to consider how the different management
heuristic laboratory methods styles match or contrast with a consultee’s own style.
# using multiple learning stimuli, including Responding to consultees’ perceived needs during
multimedia presentations the entire consultation process is an effective way to
maximize the likelihood that consultees will follow
= functioning as a group teacher or trainer through on consultation activities. However, as in all
# helping others learn how to learn forms of consultation, it is ultimately up to consultees
to decide whether or not they’ll use the information
Consultants should remember that they also
and/or training received.
have a commitment to the organization and
should consider any organizational impact the
education/training may have. Application: Consultant Techniques and Procedure. The
education/training model consists of four steps:
The Consultee’s Experience in Consultation. The needs assessment, planning the education/training
major role of the consultee is to be a good learner. activities, performing them, and evaluation.
Either the consultant or the organization’s con- teaching methodologies. Many corporations and
tact person conducts the needs assessment, which other organizations have applied modern concepts
identifies the content of education/training sessions of adult learning in their education/training
and occasionally the problems that consultation can consultation.
help ameliorate. Needs assessments help identify dis- The term andragogy refers to the art and science of
crepancies between “what is” and “what is desired” helping adults learn (Knowles et al., 2000). There are
(McLean, 2006). Through the use of interviews, several important points about andragogy that con-
needs assessment can obtain in-depth information sultants should consider in their planning: adult
and opinions. This method is comprehensive, but it learners are internally motivated, task-oriented, and
is very expensive and time consuming. In other cases, rich resources for one another. In addition, consul-
needs are assessed through questionnaires, which are tants should take the following interrelated points
cost effective and provide information that is rela- into consideration in their planning:
tively easy to collate. However, questionnaires fre-
quently lack depth, and the framing of questions can = generate activities that will work best in the
affect the kinds of responses obtained. An example of existing organizational culture;
a needs assessment form is provided in Figure 11.1. = determine how the education/training strategies
Consultants should consider the nature of adult will be linked to other strategies around the topic;
learners when planning activities. Adults have learn-
= ensure linkage of the education/training to
ing behaviors that are influenced by past experience,
organizations goals; and
current abilities and roles, and future aspirations
(Knowles, Holton, & Swanson, 2000). For example, s determine how the message about the educa-
although adult learners tend to be conservative in tion/training will be disseminated (Arredondo,
their educational outlook, they still enjoy innovative 1996).
Our organization has set aside the week ofApril 10 for staff development training. Your
frank and candid responses to the following items will assist the training division in
arranging for training and development activities that coincide with your needs. In the
next few weeks we will collate your responses and put them into a questionnaire that will
help us to formulate specific training needs and activities. Please answer the following
questions carefully and return them to the training division by the end ofthis week. All
responses will be kept anonymous. Thank you for your participation.
1. | would benefit from knowing more about the following recent trends In my field:
2. | would benefit from discussing the following current issues in my field:
3. | would like to know more about the following new skills areas that are currently
receiving much attention in my field:
ent
4. List the needs within your part ofthe organization that you think staff developm
should address.
ent should
5. List the needs within the entire organization that you think staff developm
address.
ent.
Add any suggestions you think are relevant to the week of staff developm
FIGURE 11.1 Asample needs assessment form

Such planning allows creates a roadmap for the organization. In evaluation of education/training it
delivery of the education/training experience. is often effective to focus on impact rather than
In performing the education/training, the con- change, given the often short-term nature of the
sultant should attempt to use methods that are ap- experience.
propriate to the consultees’ characteristics and the In summary, education/training is evaluated
objectives of the consultation. Many education/ both formally and informally by participants who as-
training consultants use designs that incorporate sess its usefulness, by consultants who assess “how it
methodologies (Garmston & Wellman, 1992) such went,” and by administrators who decide how the
as lectures, media and materials, structured labora- organization might be affected (Knowles et al.,
tory experiences, small group discussions, behav- 2000). Chapter 5 and 6 of this text cover related
ioral role modeling, movement, and feedback. points on evaluation in more detail and depth.
Off-the-shelf programs should be used with caution
(Arredondo, 1996).
How consultees respond to the consultant at Case Example of Education/Training Consul-
the outset of education/training also affects the ul- tation. A human service professor at a university
timate success of the consultation. Therefore, re- was asked by the director of personnel services of a
gardless of the methods used, the consultant should large school district to conduct some workshops for
make an attempt to create a good working climate the district’s school counselors and psychologists.
(Conoley & Conoley, 1992), including: When the consultant asked the director what kinds
of workshops were desired, the director responded:
=# using moderate levels of self-disclosure at the “You know, some ofthat new counseling stuff.” The
outset consultant advocated the use of a needs assessment
# being open about any concerns that relate to instrument to give prospective participants input
how the education/training 1s proceeding about the nature of the workshops, and the director
agreed to gather the information by using a form
= treating consultees with respect
developed by the consultant.
# being open to consultee feedback The needs assessment revealed that the partici-
# learning consultees’ names as quickly as possible pants desired information and training for dealing
with AIDS, teenage pregnancy, and date rape.
# being able to laugh at oneself when things go
The consultant planned the activities by developing
wrong
behavioral objectives to be accomplished through a
variety of methods. A balance was struck between
In addition, consultants using this type of con- providing information and skills training. The con-
sultation should consider the culture of the organi- sultant also took the needs of adult learners into
zation and permit participation by the consultees in consideration during the planning process.
all aspects of the education/training. One workshop was held on each _ topic.
During evaluation of the education/training, Additional input from the participants was obtained
consultants often use questionnaires and pre- and at the beginning ofthe first workshop. Several meth-
post-intervention measures of pertinent material. ods were used during the workshops, and a good
Evaluation is typically made in terms ofparticipant working climate was developed and maintained
reactions, participant learning, behavior/skill acqui- throughout the workshops. At the conclusion of
sition, and organizational impact (Kirkpatrick, each workshop, the participants evaluated the consul-
1998). Evaluations of education/training interven- tant, the workshop content, and the usefulness of the
tions include feedback loops that allow continuous session. The consultant’s views concerning the work-
adaptation of procedures and methods for measur- shop and its effects on the participants were sent to
ing the impact of education/training on the entire the personnel services director in a written report.
Program Consultation. Most human service or- novations (see Adelman & Taylor, 2003).
ganizations have programs that frequently require The primary goal of program consultation is to
programmatic consultative services. Community- provide an organization technical assistance so that a
based consultants frequently engage in this type of given program is successful. Consultation services
consultation (Staton et al., 2007). Program consul- can be provided for any aspect of a program, in-
tation is a form of purchase of expertise consultation cluding development and evaluation. Consultation
in which the organization in some way uses the is usually requested for some skill or knowledge that
consultant to help plan a new program or revise the organization neither possesses nor has time to
or deal with factors that affect an existing program. use. Because program evaluation is the most fre-
Program consultation is unique in that it is re- quently requested form of program consultation,
stricted to a specific program and its goals we'll focus now on how program evaluation con-
(Gallessich, 1982). sultation is performed. Program evaluation is a sys-
In program consultation, the organization “pur- tematic set of data collection and analysis activities.
chases” some kind of technical assistance. The orga- It involves “determining the worth or values of ac-
nization perceives a need with respect to the pro- tions directed toward specific goals as a means of
gram and hires a consultant to help fulfill that need. assessing credibility” (Staton et al., 2007, p. 389).
For example, a consultant might be hired to help The results of program improvement are typically
design an evaluation assessing whether a program used for program improvement, accountability, or
has met its goals; indeed, evaluation is the primary assessment related to program continuation. You
reason consultants are hired to assist with programs. should keep in mind that the program planning
Even though program consultation does not require evaluation steps listed in Chapter 6 are not applica-
any new skills on the part of the consultant, it clearly ble here since the program already exists.
demonstrates how consultants can work with orga-
nizations to meet their goals (Hosie, 1994). Consultation Goals. The goal of program evalua-
Program consultation is becoming increasingly tion is to improve current decision making in the
popular due to human services and for-profit orga- program being evaluated and to help develop pol-
nizations’ increased emphasis on programs, the in- icy (Hoste, 1994), Thus, the effort, effectiveness,
creasingly complex technology related to programs, and adequacy of a program can be improved
and the trend toward cost effectiveness and ac- (Ilback, Zins, & Maher, 1999). Organizations
countability in organizations (Lewis et al., 2003; want to know if their programs are meeting their
Sears et al., 2006). In addition, the professional stan- goals and objectives. When they are not sure how
dards of organizations in which consultants work best to determine this, organizations frequently turn
demand that evaluation of programs be performed. to program consultants who evaluate with a variety
Outside consultants frequently use program consul- of methods and then transmit their findings to the
tation as a way to “get their feet in the door” of an organization so that program decisions can be
a consultant might assist in
organization and eventually perform other types of made. For example,
consultation. Many internal consultants are also evaluating the effects ofan employee assistance pro-
called on to assist in program evaluation (Lusky & gram in a large textile firm.
Hayes, 2001; Staton et al., 2007). A secondary goal of evaluation in program
Program evaluation is critical as it sheds light on consultation is increasing the consultee’s ability to
program strengths and weaknesses, provides a sense evaluate current and subsequent (similar) programs.
of why things happened as they did, and provides If this goal is part of the consultation, the consultant
feedback for improvement (Zins et al., 2000), yet it might also function in the education/training con-
is often ignored (Meyers & Nastasi, 1999). sultation model described earlier in this chapter; in
Recently, there has been increased interest in the this case the consultant “gives away” the very skills
consultant’s role in sustaining project/program in- that led to the need for a consultant in the first
place. Such a process helps to build a “culture of much information as possible to develop the appro-
evaluation” in the organization (Rosen, Young, & priate design. Therefore the consultee must make a
Norris, 2006). commitment to spend whatever time and effort are
The integration of consultation and evaluation required to be interviewed or to react to the con-
skills creates an approach that can assess local issues sultant’s progress in formulating a suitable evalua-
and can be particularly useful in human service and tion design. Ideally the organization’s administrative
educational settings (Illback et al., 1999). A newer structure will sanction the consultees’ participation
approach to program evaluation is a constructivist so that they feel free to cooperate.
approach that concentrates on evaluative instru- Consultees should do everything possible to en-
ments that are sensitive to the unique needs of the sure that consultants can function independently,
program and the menu of practices available (Lusky particularly when internal consultants are asked to
& Hayes, 2001). do program consultation that focuses on evaluation.
Consultees should inform consultants before the
Consultant Function and Roles. In this model, con- evaluation what they will do ifthe results are positive,
sultants act as objective experts in program devel- neutral, or negative to the program. Furthermore,
opment and evaluation: they provide accurate, consultees can help consultants by determining the
timely, and useful information to decision makers type offinal report that will be submitted: Will the
so that the program can be run more effectively. report be sent directly to a top administrator? Should
The consultant, as a technical expert, conducts ex- the report be written in non-technical language?
ploratory meetings with consultees to determine Finally, consultees should inform consultants of any
the needs of program evaluation, develops a pro- recent events within the organization that might af-
gram evaluation design, obtains consultee feedback fect the results of the evaluation.
on the design, and redesigns the evaluation (Hosie,
1994; Rosen et al., 2006). Often, the consultant has Application: Consultant Techniques and Procedures.
been involved in the evaluation design from the Four steps in program consultation focus on evalu-
onset of the program. The use of qualitative evaluation: hold ongoing meetings with consultees to
ation strategies has increased as has the inclusion of design the evaluation, collect data, evaluate it, and
all stakeholders in the evaluation process write a final report.
(Arredondo, 1996). The consultant then carries After program evaluation has been requested,
out the evaluation by collecting and analyzing the consultant completes the entry stage as in any
data and filing a report. The process of designing other consultation situation. Once the consultant is
a program evaluation can be very time consuming; given permission to consult, the parties to receive
much of the consultant’s time is spent in prepara- the consultant’s findings should be determined. The
tion and planning (Illback et al., 1999). In models consultant is then ready to develop the program
such as that proposed by Lusky and Hayes (2001) evaluation design, which involves a series of meet-
that view program evaluation as a gradual process, ings with the consultees, typically called the “pro-
the success of one phase depends upon the success gram staff.” The participants try to identify what
of the prior phase. Qualitative methods of program decisions are to be made, determine who the orga-
evaluation are becoming popular (Illback et al., nization’s important decision makers are, and dis-
1999; Polkinghorne & Gribbons, 1999). cuss how the program evaluation will tie into the
decisions to be made (Rosen et al., 2006).
Consultee Experience in Consultation. The consul- Evaluative methods cari involve retrospective mon-
tee’s primary role in this model is to provide the itoring or naturalistic monitoring (Illback et al.,
consultant with as much accurate information as 1999) and can include qualitative methods. In ret-
possible, which 1s critical in the initial stages of pro- rospective monitoring, “self report information is
gram evaluation, because the consultant needs as obtained from program managers and staff about
the extent to which the program has been opera- involve program staff in making use of the evalua-
tionalized” (Illback et al., 1999, p. 917). In natural- tion results (IIlback et al., 1999). For an interesting
istic monitoring, the evaluator examines the description of program evaluation in school and
program processes directly. Outcome methods in- community settings, consult Unger et al. (2000).
clude goal attainment scaling Chapter 6. The suc-
cess of the evaluation will depend upon the degree Case Example of Program Consultation. Pat, a
of congruence among the program, the evaluation psychologist in private practice, is selected by a hu-
scheme, and the setting of the program (Unger man service agency to help evaluate its Big Brother
et als, 2000). Big Sister program, which has been in operation for
The consultant meets with the consultees for as three years. Although the agency thinks that the pro-
many meetings as necessary until both consultant gram is “doing okay,” there appears to be a high
and consultees are confident that all parties have turnover rate among its volunteers. Pat has had con-
an appropriate understanding of what is to siderable experience with program evaluation and
occur and why. From all of this information, the has worked with volunteer programs in the past.
consultant begins to put together an evaluation He starts out by holding a meeting with the pro-
design that dictates the who, what, where, and gram’s stafftodesign an evaluation. Four other meet-
when of the evaluation procedure. ings are held to make sure that the parties involved
Regardless of the model of evaluation the con- are in agreement about what is going on and that the
sultant uses, there are four evaluation standards to evaluation is proceeding smoothly. Pat and the pro-
bear in mind: accuracy, utility, feasibility, and propri- gram staff then collect information on the volunteers
ety (Matuszek, 1981). Accuracy standards relate to and the children in the program, including how long
the methodological soundness of the evaluation. volunteers tend to stay with the program. Methods
Utility standards relate to the concept that evaluation are determined for assessing the program’s impact on
should have some practical application. Feasibility the children. Pat then analyzes the collected data and
standards deal with whether the evaluation design is presents a report to the program staff. Among other
appropriate for the program in the first place. things, the data show that volunteers last an average
Propriety standards relate to any ethical or legal issues of nine months, receive little recognition or encour-
that are connected to the evaluation. Consultants will agement from the agency, and are not sure what is
also want to include qualitative methods of evalua- expected from them.
tion (such as periodic discussions with program Pat recommends a training program for the vo-
developers as a source of data about program imple- lunteers, more personal contact with the volunteers
mentation) and not rely exclusively on quantitative by the program’s staff, and some form of recogni-
indicators (Domitrovich & Greenberg, 2002). Once tion for service as a volunteer. The program’s 1m-
the consultant has put together the program evalua- pact on the children was deemed to be positive.
tion design, a final review is held with the consultees Parents reported that volunteers gave their children
and parties-at-interest. Any needed modifications in additional, desirable adult role models and helped
the design are made at this time. “keep the kids off the streets.” The children liked
The consultant is now ready to carry out the the program because they “got to do a lot of extra
design. Data are collected and analyzed according things that were fun.”
to the design plan. Program consultants anticipate
The Doctor—Patient Model. Sometimes consul-
problem areas in carrying out the evaluation and
stay in contact with all parties involved during tees know something is wrong but don’t know what
it is. When consultation is requested, the consultant is
data collection and analysis (Hosie, 1994). After
given the power to make a diagnosis and prescribe a
the data have been analyzed, the consultant writes
solution. It is as if the consultee says, “I don’t know
and presents a formal report so that appropriate ac-
what’s wrong. Find out and tell me how I can fix it.”
tion can be taken. The consultant will frequently
250 PART II| MODELS OF CONSULTATION
In the doctor-patient model, another type ofexpert events on the job. In addition, consultees and con-
consultation, the consultee is “purchasing” the consultants can easily get caught in a cycle of incorrect
sultant’s expertise in diagnosing and _ prescribing. diagnoses due to the consultee’s desire for help and
Schein (1990c) points out that the consultant’s role the consultant’s desire to give it.
in the doctor-patient model differs from that in the The doctor-patient model assumes that consul-
purchase of expertise model because “it empowers tees and other members of the Organization are
the consultant to dig into the workings of the orga- straightforward and honest with the consultant
nization and to combine information gathering ex- about their perceptions of the organization’s pro-
pertise with knowledge of organizations such that a blems. The nature of this honesty is a function of
deeper and consultee-relevant diagnosis can be the organizational climate: If the climate is one of
reached” (p. 264). mistrust, then the consultant is not likely to get the
For the doctor-patient model to be effective, real story; if the climate is one of trust, the consul-
the following assumptions must be met (Schein, tees and other organization members are likely to
1987, 1988): tell the consultant everything and may even exag-
gerate the problem. The consultant also needs to be
# The diagnostic process itself is seen as helpful cautious about creating dependence among
and not disruptive. consultees.
What will happen if the consultee doesn’t like
# The consultee has correctly interpreted the
the consultant’s diagnosis? Even if the diagnosis is
organization’s symptoms and has located the
accepted, what guarantees are there that the pre-
S sick alea:
scription is going to be implemented? It may not
# The person or group defined as “sick” will be accurate to assume that the consultee will accept
provide the information needed to make a diagnosis and prescription and remain effective after
valid diagnosis; that is, they will neither hide the consultant leaves—especially if the consultee
data nor exaggerate symptoms. did not learn any problem-solving skills during
the consultation. If a similar problem arises for the
# The consultee understands and will correctly
interpret the diagnosis provided by the con-
consultee in the future, the consultant will have to
be called in again.
sultant and will implement whatever prescrip-
tion is offered. Clearly, the relationship between the consul-
tant and consultee is critical in the doctor-patient
# The consultee can remain effective after the model of consultation. The consultant must be able
consultant leaves. to gain the trust of the consultee so that open com-
munication can occur. If the consultee trusts the
The very act of calling a consultant to perform consultant, then real issues helpful to the diagnosis
a diagnosis is an intervention, and the consultant are more likely to emerge. In addition, if the con-
should make sure that the consultee is aware of sultant is able to create an effective relationship with
this. If the consultee is unaware that diagnosis is the consultee and develop professional credibility,
an intervention or does not explain the consultant’s the prescription provided to the consultee also has
presence adequately, then the consultant’s efforts more credibility.
can meet considerable resistance that can adversely In summary, the doctor-patient model works
affect the results of consultation. best when the consultee is willing to use a consul-
Because organizations are very complex enti- tant, has observed and described the symptoms ac-
ties, faith that the consultee has correctly inter- curately, does not have the ability to perform the
preted the symptoms and knows where the organi- diagnosis and prescription, and is willing to follow
zation is “sick” is a very large assumption. through on the consultant’s recommendations. A
Consultees can easily misconstrue and misjudge possible drawback of this model is that consultees
might not enhance their problem-solving skills and fully and accurately understood, and advocating that
may become dependent on the consultant. Because the consultant’s prescription be implemented.
many ideas in the doctor-patient model, including
diagnosis, are covered in Chapter 4, only a brief Application: Consultant Techniques and Procedures.
overview of this model is given now. In the doctor-patient model consultants enter the
system as they would in any other consultation
Consultation Goals. The consultant’s primary goal model. The major step in this model is to deter-
in the doctor—patient model is to define the organi- mine how best to go about making a diagnosis
zation’s problem and to recommend realistic inter- which is based on the situation. The method used
ventions to ameliorate that problem. Enhancing the to diagnose the organization’s problems should
consultee’s diagnostic skills is not a goal in this model. obtain information about how its people see the
organization’s internal processes (Beer, 1980). It is
Consultant Functions and Roles. The consultant crucial for the consultant to ensure that people in-
functions as an expert who enters the system, inter- volved in the diagnosis feel free to express their true
views consultees and parties-at-interest, collects data, thoughts, opinions, and feelings.
makes a diagnosis, and recommends a solution. The After the data have been gathered, the consultant
consultant may well be hired to implement the solu- analyzes it and formulates a diagnosis. The diagnosis
tion, in which case he or she would change to the defines problems in the organization in terms that the
purchase of expertise model. Whereas the latter consultee can both understand and utilize.
model demands content expertise on the part of the The consultant typically follows one of three
consultant, the doctor-patient model demands ex- paths after making the diagnosis (Schein, 1990c):
pertise in diagnostic and prescriptive skills. The consultant shares the diagnosis with the con-
Consulting skills that are critical to the doctor— sultee as the basis for collaborating on finding a
patient model include: solution, shares the diagnosis and ends the consul-
tation relationship, or makes recommendations and
= = diagnostic skills then helps implement them. In the latter case, the
= a broad repertoire of prescriptive skills consultant then moves from the doctor-patient
# an in-depth knowledge of organizational model to the purchase of expertise model.
Usually the consultant determines what is best
theory
for the consultee to do about the problem.
» the ability to “read” organizations However, consultants cannot necessarily help con-
# data collection skills sultees make a commitment to change; they can
only prescribe some solutions that the organization
» data interpretation skills
is capable of carrying out and tailor them to the
s human relations skills unique aspects of the organization. Generalized
prescriptions are rarely successful because they fail
Consultee Experience in Consultation. The main task to consider the uniqueness of each organization.
of the consultee is to be a good “patient’’—that is, to
tell the consultant in as honest, objective, and Case Example of Doctor—Patient Consulta-
accurate a way as possible the areas in which the tion. A counselor in a community counseling
organization has problems. The consultee should center was asked to be an internal consultant to
realize that the very act of using a consultant will affect improve the center’s effectiveness in delivering ser-
the organization in some way. The consultee’s tasks vices to its clients. She was chosen because of her
also include assisting the consultant in gathering addi- effective diagnostic skills, her solid working knowl-
tional data, ensuring that the consultant’s diagnosis 1s edge of organizations, and her trustworthiness. The
consultant was given “free run” of the center and Process consultation can be defined as guidance
was charged with defining the center’s problem provided to some group by an individual “trained
areas and prescribing some ways to effectively man- in group dynamics and organization development”
age them. She began by informing all staff members (Kormanski & Eschbach, 1997, p. 137). French and
of the nature of consultation. Interviews and sur- Bell (1999) note that most organization develop-
veys were used to gather data from the center’s ment consultation easily falls under the framework
administration,, staff, and former clients. Complete of process consultation.
confidentiality was guaranteed to all involved. Process consultation is what the consultant does
Information was sought on such factors as interper- to help the consultee identify, understand, and
sonal relationships, views of the center’s organiza- change the process events that occur within an or-
tional climate, and the center’s role and mission. ganization (Schein, 1978, 1999). The focus of con-
Based on the analysis of the data, the consultant sultation is not on the content of the problem, but
concluded that there was little consensus concern- rather on the process by which problems are solved.
ing the center’s overall role and mission, which led The consultee “owns” the problem (and continues
to a lack of understanding of how the center was to own it throughout the consultation process) and
run and what the staff and administration were “purchases” the consultant’s expertise in handling
supposed to do. This lack of understanding in process events. Process consultation is designed to
turn led to inadequacies in the area of program help consultees examine and deal with human and
development. social events as they relate to problems the consul-
The consultant prescribed a review and subse- tee tries to solve (French & Bell, 1999).
quent modification of the center’s role and mission Process consultation is based on the premise
statement. Furthermore, she recommended devel- that often things in an organization can be changed
opment of a five-year strategic plan based on the only if the consultee is involved in diagnosing the
modified role and mission statement and suggested problem and generating solutions. Because of
that all employees be involved in each of these the complexity of problems in organizations and
activities. the consultees’ familiarity with them, consultees’
input into the diagnosis is crucial. In addition, ad-
The Process Model. Schein (1990c) points out vice given by consultants can be counterproductive
that failure to involve the consultee in the diagnosis in that it can cause resistance, power struggles, and
may lead him or her to misdiagnose the problems resentment.
inadvertently. This led Schein (1987, 1988, 1999) The relationship between the consultant and
to formulate his model of process consultation. The the consultee is extremely important. The consul-
basic difference between this model and the pur- tant must create an environment of trust and credi-
chase of expertise and doctor-patient models is bility and help the consultee feel safe enough to
that the consultant’s expertise includes skills to in- own the problem and work on it throughout the
volve the consultee in defining the problem, to consultation process. Such tasks demand empathy,
form a team with the consultee, and to ensure respect, and genuineness on the part of the consul-
that the consultation process focuses on the consultant. Process consultation works best when the fol-
tee’s needs. The consultant’s expertise lies in lowing assumptions are met (Schein, 1987):
making individual consultees as well as groups of
# The consultee is distressed somehow but does
consultees more effective problem-solvers in the
not know the source of the distress or what to
future (McLean, 2006). Process consultation may
do about it.
be in order when a consultant is needed to supple-
ment the consultee’s problem-solving skills—the « The consultee does not know either what kind
consultee knows something is wrong and wants to of assistance might be available or which con-
figure out what it is and what to do about it. sultant could provide the help needed.
» The nature of the problem is such that the catalyst. The consultant collaborates with the con-
consultee not only needs help in figuring out sultees such that consultation becomes a joint effort.
what is wrong, but would also benefit from Rather than providing content expertise, the con-
participation in the diagnostic process. sultant facilitates consultees process of self-discovery
and self-exploration so that they are able to use
= The consultee has “constructive intent,” is
their skills in identifying and addressing the pro-
motivated by goals and values that the consul-
tant can accept, and has some capacity to enter blems at hand.
The consultant must be an expert in processes
into a helping relationship.
that occur at the individual, interpersonal, and inter-
= The consultee is ultimately the only one who group levels; content expertise in the consultee’s in-
knows what form of intervention will work stitution’s area of perceived difficulty is not required.
best in the situation. The consultant helps the consultee obtain insight
= The consultee is capable of learning how to into the everyday human activities in an organization
diagnose and solve his or her own organiza- (for example, who talks to whom about what),
tional problems. (pp. 32-33) which are viewed as critical to the appropriate diag-
nosis of an organizational problem (Schein, 1988,
In a nutshell, process consultation assumes that 1999). The process consultant provides less structure
consultees must acquire and maintain ownership of and direct input than would a consultant operating in
their problems, that they do not fully understand either the purchase of expertise or doctor-patient
these problems, and that they can learn to design models. This lack of structure can be threatening to
and manage change on their own (Ledford, 1990). the consultee because of unpredictability inherent to
The process consultation model is most applica- process consultation (Ledford, 1990).
ble when a consultee with some problem-solving In addition to creating a climate conducive to
ability is willing to learn how to work out solutions consultee exploration and input, the process consul-
without seeking content assistance or giving the tant assists in gathering data about the relationships
problem to the consultant for diagnosis. By focusing within the organization and members’ perceptions of
on the how rather than the what of problem solving, organizational processes. The consultant then assists
the consultant and consultee work together, enabling the consultee in making a diagnosis using these data,
the consultee to solve current concerns and similar and process-oriented interventions such as agenda
ones in the future. Schein (1990c) admits that the setting and feedback are made by the consultant
need for content experts will increase in the future, and consultee. Finally, the consultant helps the con-
but that their services will not be well-utilized unless sultee evaluate the consultation by looking for
their efforts are combined with process consultation. changes in values and interpersonal behaviors within
the organization (Golembiewski, 1993e). The con-
Consultation Goals. The primary goal of process sultant’s success is measured by how effectively con-
consultation is to help consultees gain insight into sultees define and achieve their goals and whether the
the everyday events occurring within the orgamiza- changes produced remain effective in the long run
tion. It attempts to teach consultees to act on those (Schmuck, 1995). Once the evaluation has been con-
events and become more adept at identifying and cluded, the consultant reduces involvement and ter-
modifying them in ways that achieve their goals minates the consultation.
(Schein, 1987). If the consultant and consultee are
successful, the ultimate goal of increasing the orga- Consultee Experience in Consultation. The consul-
nization’s overall effectiveness is also met. tee—a person within the organization and perhaps
a manager—senses that something is not quite nght
®
Consultant Functions and Roles. The primary roles in the organization, that things could be better, and
played by the process consultant are facilitator and that he or she wants them to improve. The
consultee uses the consultant to translate vague feel- 3. selecting a setting and method of work
ings and perceptions into concrete actions to en- gathering data and making a diagnosis
hance the overall effectiveness of the organization
5. intervening
(Bennis et al., 1985).
The major role of the consultee in this model is 6. reducing involvement
that of an active collaborator and teammate 7. terminating
(Murrell, 1993). The consultee is assumed to have
some problem-solving skills and be knowledgeable
The process consultant spends a significant
about his or her organization. The consultee
amount of time building relationships with consul-
provides the content of the consultation and parti-
tees and assumes that, without trust, the consultee
cipates in the processes at issue as the consultee’s
will not deal with the basic issues that are concerning
process skills dictate. The consultee then discusses
the organization, and therefore consultation will not
content issues and the nature of the perceived pro-
likely be successful. In addition to developing trust,
blems, sets goals, and attempts to make plans for
the consultant selects a work site close to “where the
action (Schmuck, 1995). The consultation process
action is.” By being able to observe the real work of
itself helps the consultee define diagnostic steps that
the organization, he or she is able to ask the nght
lead to action plans or organizational change
kinds of questions to help consultees explore things
(Bennis et al., 1985). Process consultation can be
such as organizational culture and values.
more demanding and threatening to consultees
The process consultant favors the use of inter-
than other types of consultation because its open-
ventions that maximize opportunities for consul-
ended emphasis may lead to uncomfortable areas or
tee—consultant interactions. Consequently, observa-
issues (Ledford, 1990).
tion, informal interviews, and group discussions are
used frequently by process consultants. The process
Application: Consultant Techniques and Procedures.
consultant considers data gathering to be a crucial
The premise of process consultation is that organi-
process that should be conducted in a manner consis-
zations are merely networks of people. If these net-
tent with the consultee’s values. Further, the process
works are not functioning effectively, there will be
consultant believes that plans for gathering data
extreme difficulty in accomplishing the tasks of the
should be general in nature because the only way to
organization. Process consultation attempts to en-
determine how to proceed is to use experiences re-
hance the overall functioning of the organization
sulting from initial data-gathering strategies.
by helping the consultee change values and develop
As process consultation proceeds, the consul-
skills. In effect, the consultee’s development is ac-
tant can intervene in a variety.of ways. Schein has
complished when the consultant models the desired
categorized these in terms of their tactical goals—
values and skills. During this process, the consultee
exploration, diagnosis, action alternatives, and con-
begins to take more and more responsibility for the
frontation—because the process consultant usually
diagnosis and implementation of procedures. As the
moves through these interventions in that order as
desired skills and values become more evident in
the consultation process unfolds. The consultant
the consultee’s behavior, the consultant gradually
disengages from consultation. uses exploratory questions to stimulate the consul-
tee’s thinking and to determine his or her views.
There are seven overlapping steps to process
consultation (Schein, 1988): Diagnostic interventions are used to involve the
consultee in the diagnostic process, action alterna-
1. making initial contact with the consultee tives help convince the consultee that something
organization can be done about the situation, and confronta-
to defining the relationship, formal contacting, tional interventions are used to test the consultee’s
and creating a psychological contract motivation and willingness to act.
Regarding evaluation, the process consultant ganizations are uniquely poised to maximize the
determines what outcomes might occur as a result benefits of collaboration. Structures such as self-
of consultation and how they are to be measured. directed work teams, quality circles, and project
As its ultimate goal, process consultation attempts to management teams all lend themselves to having
improve organizational performance by changing the human service professional function as a collab-
values and interpersonal skills in key personnel. orator. In organizations where collaboration 1s rela-
tively new, human service professionals can train
Case Example of Process Consultation. A members of the organization in problem-solving
group ofteachers at a secondary school was unsatisfied skills and team functioning. The human service
with the general quality of communication between professional can then participate as a collaborator
the staff and students and wanted to improve the com- and take responsibility for the outcome of some
munication efforts of the staff as a whole. They asked aspects of the project, as well as providing consulta-
Gene, the school counselor, to sit in at their meetings tion to, and receiving it from, fellow collaborators.
and act as a “sounding board,” which he agreed to do. Because of its collaborative nature, the process
Time at the end of each meeting was allocated consultation model may be the easiest to adapt to
for Gene to give feedback to the group. He was collaboration. Human services professionals will
also asked to help the group stay on task and get need to adapt the purchase of expertise and doctor—
through the problem-solving process. During the patient models to include a method for empowering
consultation Gene provided feedback to the group fellow collaborators who can use their own expertise
on its problem-solving skills, challenged it to define to a greater degree and develop a shared vision.
its goals more precisely, and suggested that group The emergence of the internal consultant role
members develop specific ways to evaluate their also has implications for collaboration in organiza-
attempts to communicate better. All in all, he tions (Caplan et al., 1994). Managers, for example,
helped the group members become more effective may find it more suitable to have some responsibil-
problem solvers. Finally, Gene provided feedback ity for some part of a plan rather than be seen as a
person trying to consult with a subordinate, thereby
on the group’s ways of gathering information
walking the thin line between supervision and con-
from students and the types of interventions it de-
sultation (Caplan et al., 1994). Finally, although lea-
veloped for improving communication. When ev-
ders of organizations see the need for collaboration,
eryone involved was satisfied with the way things
they sometimes have difficulty building the capacity
were going, Gene reduced involvement with the
for it (Rawlings, 2000). One method of building
group and attended only every third meeting.
such capacity involves developing a shared vision,
a shared understanding, and shared goals (Rawlings,
2000). Organizational collaboration has received
COLLABORATION FROM AN more attention in the literature and has been used
ORGANIZATIONAL PERSPECTIVE more frequently by all types of organizations.
The aim of organizational collaboration 1s the same

as organizational consultation: the enhanced func- MULTICULTURAL ASPECTS RELATED
tioning of the organization. As organizations have TO ORGANIZATIONAL
become complex, collaboration across elements of
the organization has almost become an essential CONSULTATION
component of organizations’ everyday routine
(Rawlings, 2000). Because of the tremendous in- Schein’s typology sets the stage for the effective
crease in “in-house” human service professionals, practice of multicultural consultation. Those cul-
such as human resource development specialists, or- tural groups that prefer structured, expert-based
CASE 11.1 Organizational Consultation for School Consultants
Doris is a middle school consultant who was asked by In playing the roles of facilitator and catalyst, Doris
the administration of her school to work with one of raised questions for exploration and helped the team
its interdisciplinary teams. The team consisted of a so- look closely at itself and its communication processes.
cial studies teacher, a math teacher, a science teacher, She raised the issue of authority when it appeared that
and a language arts teacher. there were differences in whether the team leader was
The team leader had been complaining to the “in charge” or a “group spokesperson.” The team felt
administration that certain team members consistently awkward as it attempted to be humane yet honest. The
go “around” her rather than “through” her when teachers had worked together for over 10 years but only
communicating with the principal. This was in spite of recently had been placed together as a team.
the fact that the principal had reminded the other At the close of the third session when Doris asked
team members of proper protocol. the team to evaluate her, themselves, and the progress
As Doris was determining how to approach the that had been made, the members generally acknowl-
team, she realized that part of the problem was the edged that, she had been of great assistance as an ob-
principal’s high level of approachability. The principal jective facilitator. Though they had initially been de-
met with Doris and the team and asked them to work fensive and looked for blame rather than taking
together on resolving the apparent problem the team responsibility for the problems they were experiencing,
was having. The principal mentioned that the team the members had come to agreement about the role of
may want to use Doris for building some procedures team leader, resolved their authority issue, and im-
for communicating outside of the team. proved their communication in terms of concreteness
Doris started out by meeting with the team dur- and authenticity. Doris followed up in one last meeting a
ing its planning session. As she heard the intensity of month later.
the feelings among the team members, she decided
that process consultation was in order. It was obvious Commentary
to Doris that how things were being said was just as Doris demonstrated some excellent skills in determin-
important as what was being said. ing which approach to organizational consultation she
Doris suggested: (1) that the team knew it had a might take. She noted the significant amount of emo-
problem in internal and external communication (the tion surrounding the team’s functioning and accurately
team members, including the leader, agreed), (2) that determined that process consultation, with its more
the members were in the best position to determine interpersonal focus, was an appropriate method with
how to resolve these issues, and (3) that they engage in which to start. She also astutely determined that if the
a collaborative effort that would help them solve not goal was to get the team to collaborate more effec-
only their current concern but similar ones in the fu- tively, then the approach to consultation should be
ture. She and the team agreed to meet for three ses- one, like process consultation, that places people in a
sions during the next month. position of collaborating to solve their problems.
=a
consultation should find the purchase of expertise of expertise model may not be attractive. By its
model attractive. Its focus on problem- solving and focus on diagnosis, the doctor-patient model can
content expertise allows consultees the security of readily take cultural variables into consideration.
having a knowledgeable and skilled person leading Like the purchase of expertise model, the doctor—
the consultation process. The purchase of expertise patient model demands limited self-disclosure. For
model demands littie in terms of self disclosure or those groups that value the nature of the relation-
expression of feeling. For those cultural groups that ship, process consultation is an attractive model. Its
desire an expert and prefer assistance with problem focus on understanding the interpersonal process as
definition and determining interventions, the doc- an aspect of problem definition creates the necessity
tor—patient model will be attractive. For those who for a strong relationship between the consultant and
- % .
prefer a nonhierarchical relationship, the purchase the consultee. For cultural groups with strong self-
GHAReRe tel ORGANIZATIONAL CONSULTATION AND COLLABORATION 257
CASE 11.2 Organizational Consultation for Community Consultants
The general manager of the local branch of AME termination, determined that severance packages
Telephone Company contacted the local mental health should be discussed with the employees being termi-
agency for the purpose of developing and implement- nated prior to the offering of outplacement services,
ing a professional outplacement counseling program. and discussed the nature of outplacement counseling
The company was undergoing a downsizing mandated services needed by the employees. Since the company
by its parent company. The general manager informed was in a moderately rural area, many of the employ-
the director of the mental health agency that the par- ees’ families had lived in the area for generations.
ent company had made funds available for the purpose Hence, part of the counseling process would encourage
of counseling displaced workers. The manager noted employees to discuss their feelings concerning termi-
that almost half of the unit’s 56 workers were going to nation, myths and realities about finances, career
be laid off. counseling, and placement.
Maria, a community mental health consultant, was Maria and the manager discussed outplacement
assigned to explore the possibilities of the agency concepts that seemed particularly applicable to the
working with the telephone company. Using the princi- employees being terminated at the telephone com-
ples of program consultation, she spent a great deal of pany: job hunts within and outside the local commu-
time with the manager discussing the nature of the nity; “creating your own job” strategies; and testing
telephone company, which was a typical bureaucracy and assessment of a candidate’s aptitudes; and skills.
many other telephone and utility companies she had Finally, they determined what the outplacement
worked with over the past 20 years. Everyone had their counseling program could do for the remaining com-
assigned duties and did them well. The general manager pany employees and addressed occupational wellness.
was aware of the bureaucratic structure and attempted Based on their discussion, Maria developed a pro-
to ensure adequate morale by having an upbeat news- posal for the program and submitted it to the mental
letter and recognition of birthdays. He also used a per- health agency director and the telephone company
sonal touch by getting out and about in the divisions of general manager for approval. The program included a
the company, and he knew each employee by name. detailed blueprint for how the program was to be im-
After she had a feel for the nature of the organi- plemented and an extensive evaluation procedure that
zation, Maria informed the manager about some gen- included input from all employees as well as placement
eral principles of outplacement counseling and the success data.
possible structures that such a program could address.
She noted the importance of the morale program with Commentary
those employees remaining with the company, as well Maria did an excellent job of being thorough in her
as the goodwill the program could develop with the approach to program consultation. Instead of plugging
departing employees. Maria and the manager dis- in a canned program, she analyzed the organization
cussed the positive impact that an outplacement pro- and considered some of its unique aspects. Notice how
gram could have not only on the local unit, but also on she educated the general manger and made him part
the parent company’s national reputation. Any out- of the intervention. Maria also looked at the out-
placement program has three phases: preparing the placement counseling program from the perspective of
company to make terminations, helping those em- the entire company by including something for the re-
ployees who are terminated find new jobs, and assist- maining employees. Such systemic thinking enhances
ing remaining employees to feel secure. the probability of successful program implementation.
As Maria and the general manager roughed out The idea for this case study came from an article
an outline that Maria could develop into a program by Siobhan McGowan (1993) entitled “Employees,
proposal, they concluded that the general manager Managers Work It Out after Layoffs” in Guidepost,
himself should undergo some training in effective 35(10), 1, 10.
determination needs, this model allows for them to Finally, with the rise of coaching as a subset of con-
bring and use their own personal resources in the sultation, coaching across diversity lines will require
consultation process. Process consultation can be more attention in the future (Thomas, 2006).
viewed as empowering to disenfranchised groups.
SUMMARY
Organizational consultation encompasses many types content; the behavior of individuals, groups, and
of consultation performed by consultants, internal or organizations is cyclical in nature; and satisfied per-
external. Consultants function as technical experts, sonnel make for effective organizations.
diagnosticians, or process experts to increase overall Organizations suffer because their personnel
effectiveness. The organization itself, or one of its lack the knowledge, skills, or values to function at
parts, is the client, and consultees are people in the optimal levels of effectiveness. Organizational con-
organization with whom the consultant works. sultants, armed with a broad repertoire of techni-
Organizational consultation has its roots in the ques grounded in organizational theory, attempt to
fields of industrial technology, manufacturing pro- help consultees deal with the complexities of orga-
ductivity, the applied behavioral sciences, and man- nizational life and enhance effectiveness.
agerial science. Important work in organizational Consulting with organizations is a little like
consultation includes that of Blake and Mouton feeding a hungry animal: in living its life, the organi-
(11983),. Schem: (1987, 1988" 1999)" Lippitt and zation uses up energy and becomes hungry. If it
Lippitt (1986), and French and Bell (1999). doesn’t get some food (consultation), it cannot func-
The basic assumptions of organizational consul- tion optimally and will eventually starve to death.
tation are that the process is as important as the .
RECENT TRENDS
The major trends in organizational consulting are they provide services. For example, as diversity
linked to several societal factors: the impact ofliving continues to increase in the work force, consultants
and working in an information society; the ever- will need to be increasingly sensitive to workplace
increasing pace of change in all aspects of life; the diversity issues related to organizational infrastruc-
growing awareness that change requires systemic ture, job satisfaction, relationships among. staff,
thinking; the realization that change can be success- and work productivity (Sears et al., 2006;
fully accomplished only through social influence Steward, 1996).
(Schein, 2006; Truscott et al., 2000); and increasing One trend in organizational consultation is the
internationalization and diversity within organiza- tendency to combine process consultation with the
tions (Plummer, 1998; Rawlings, 2000). These fac- purchase of expertise and doctor-patient models
tors have created the following general trends in (Schein, 1990c, 1999; French & Bell, TOO Ne
organizational consulting: a continued reliance on Schein (1990c) suggests that such combinations in-
computer hardware and software, a primary consid- volve consultees at more significant levels in the
eration of the effects of organizational culture and consultation process and enhance the probability
diversity on consultation efforts when selecting in- of success in cansultation. By combining process
terventions, and the willingness and ability of orga- consultation with other forms, the consultant en-
nizational consultants to “wear many hats” when sures that the consultee is appropriately invested in
the process, the appropriate problems are being increasing diversity in the workplace and the 1m-
worked on, the diagnosis is relevant and clear to portance of managing diverse work environments.
pertinent parties, and the solutions generated are Diversity consultation is used to deal with issues
appropmiate for the organizational context and cul- related to awareness, sociopolitical implications,
ture" (Rockwood! 1995" Schein, 1990e) 11999). open dialogue, cultural competence, and cultural
Further, since consultation is a helping relationship, norms (Ingraham, 2000; Thomas, 2006).
focus on process events such as the dynamics of There is an increasing emphasis placed on deter-
communication is essential (Schein, 1999). mining how and when to apply models of organiza-
There has been an increase in consultants act- tional consultation. For example, Carson and Lowman
ing as coaches to mangers and administrators (2002) discuss the implications of individual-level vani-
(Davison & Gasiorowski, 2006). As you most likely ables on organizational consultation. Fuqua and
know, the term “coaching” has been all over the Kurpius (1993) have developed seven principles for
organizational consultation literature, yet there 1s assisting consultants in determining how best to select
very little in the literature that speaks to agreement from among consultation models:
on the definition of the term and very little empir-
ical evidence about its effectiveness. Recently, 1. Consultants should select models congruent
Schein (2006) has suggested that coaching is a sub- with the perceived needs of consultees and the
set of consultation. Regardless of the coaching situ- organization.
ation, consultation skills such as the ability to move 2. Consultants should clearly articulate to con-
easily among the expert, doctor-patient, and pro- sultees which model is being used.
cess roles is essential (Schein, 2006, p. 24). 3. The major goal in model selection should be
One trend in education/training consultation expanding consultees’ conceptual framework.
has been the emergence ofperformance consultation
4. The model should allow consultees to gener-
(Robinson & Robinson, 1995). Performance con-
alize from the enhanced conceptual framework
sultation assumes that solutions proposed by educa-
after the consultant exits.
tion/training approaches often miss the mark because
what are really needed are solutions that are based on 5. The most powerful implementations will in-
performance. Performance consultation assumes that volve development of the consultees.
the focus should not be on skill acquisition because 6. There is more positive power in sharing the
much of the research on training suggests that trai- application of models with consultees.
nees do not follow through after the training. While 7. The application of multiple models will more
the education/training approach focuses on training likely lead to consultation success than will
activities and experiences, performance consultation applying a single model.
teaches the skills and knowledge related to specific
There is a trend toward creating standards for
job performance. In short, performance consultation
makes the shift from what consultees need to learn to organizational consultation assessment and evalua-
what they must do. tion. Cooper and O’Connor (1993) have devel-
There has been increased involvement of orga- oped a conceptual framework for organizational
nizational consultants in schools (Merrell et al., consultation measures based on the focus of the
intervention (i.e., specific individual, group, or
2006). Consultants have been asked to assist in ad-
dressing a variety of issues such as those posed by organizational processes) and the target of the as-
sessment (i.e., individual, group, or organizational
the No Child Left Behind Act, school violence, and
the achievement gap between majority and minor- processes). In addition, there is increasing emphasis
ity students. on the fact that a combination of quantitative and
Another trend is the emergence of diversity qualitative assessment measures can be of great ben-
consultation. Diversity consultation recognizes the
efit to organizational consultants. This trend has
created some significant issues related to effective & Ursano, 2006; Stock, 2007). Organizations use
assessment in organizational consultation (Cooper consultants to review or create crisis management
& O’Connor 1993; Fuqua et al., 1999; Levinson, plans and to train organizational personnel in how
2002; see also Chapter 8). to react. The idea is for the consultant to help the
As noted in Chapter 7, consultants are increas- organization “plan pre-event interventions to min-
ing being called upon to provide service in crisis imize post-event consequences” - (McCarroll &
and disaster situations (Gottlieb, 2005; McCarroll Ursano, 2007, p. 193).
CONCLUSIONS
Because organizational consultation encompasses a solving many organizational problems in the

variety of approaches, it is difficult to assess its major long run. (For example, there is an over-
contributions. It has, however, clearly contributed reliance on the use of workshops to solve
to improving workplace conditions (e.g., through identified concerns.)
process consultation) and helping organizations be- = Its results are often “cosmetic” or only involve
come more diverse and accountable (e.g., through “fine-tuning.”
5)
program consultation).
Organizational consultation has emphasized the = Its consultants sometimes perform “dirty work”
interconnectedness between meeting human needs or “spy” for managers and other administrators.
and organizational structure. The specialized types # Its consultants sometimes produce such grand
of consultation available in organizational consulta- designs that their interventions in effect are
tion have increased. Organizational consultation’s worse than the organization’s problems were in
concept of the organization-as-client has helped or- thé first place.
ganizations understand the importance of organiza- # Its consultants sometimes try to apply methods
tional culture; indeed, most organizations now re-
of business and industry when providing orga-
alize that organizational culture strongly influences nizational consultation to human service
much individual behavior (French & Bell, 1999). agencies.
Organizational consultation has also demonstrated
that working with groups of consultees can be a
cost-effective way to meet workers’ needs and in- There are yet other criticisms of organizational
crease organizational effectiveness. consultation. Some organizational consultants rely
The criticisms of organizational consultation are on one or two pet interventions, particularly work-
frequently those directed at organization development; shops, and some cannot always take into account ad-
for example, that it has not fulfilled its early promise to muinistrators’ deeply rooted assumptions about ad-
integrate or systematize its interventions. The follow- ministration and personnel—assumptions that may
ing criticisms were adapted from a critique of organi- differ from those held by the consultant. Hence,
zational consultation by Gallessich (1982, pp. 221— there is at the outset of consultation tremendous po-
222). Unfortunately, they are still true today: tential for resistance that may never be overcome.
Schein (1987, 1988) noted that the purchase of
expertise and doctor—patient models are limited be-
# = It 1s too preoccupied with interpersonal process cause they rely on basic assumptions that are rarely
to the detriment of problem-related factors met in practice. Therefore, they are at best superfi-
such as budgeting and technology. cial and, at worst, counterproductive.
= Its interventions are often “Band-Aids on an Organizational consultation frequently does
open wound” and hence are not effective in not accurately take into account the external forces
operating on the organization or internal issues such 1990) or they have jumped on new but untested
as those related to diversity (Ingraham, 2000). initiatives (Block, 2000).
Consulting with an organization on Madison These criticisms reflect more the imperfections
Avenue would therefore require dealing with ex- of practicing organizational consultants than imper-
ternal forces quite different from those operating on fections in the models and their principles.
an organization in the rural South. Organizational Accordingly, better training procedures for organi-
consultation is also criticized for not realizing its zational consultants are as likely to produce im-
potential because researchers and _ practitioners provements, as would refinements in organizational
have not developed better theories (Adlerfer, consultation models.
= Be able to determine if you should be using the = Use the dictum that how you do what you do is
purchase of expertise, doctor-patient, or pro- as Important as what you do.
cess model of consultation.
=» Remember that your ultimate goal in organi-
zational consultation is to assist the entire or-
ganization in some way.
1. What historical forces led to the development 7. Process consultation aims for changes in values
of organizational consultation? and skills of the consultees involved. How are
2. How can an organization be a client? these values and skills related to organizational
effectiveness?
3. Differentiate among the purchase of expertise,
8. Is it really possible for a consultant to produce
doctor-patient, and process models of
an accurate diagnosis of an organization’s
consultation.
problem? Why or why not?
4. Why are the purchase of expertise and doctor—
9. Why do so few consultees follow through on
patient models particularly limited?
the prescriptions made by organizational
5. Explain how both education/training and consultants?
program consultation are examples of purchase
10. How can multicultural issues be dealt with at
of expertise consultation.
the organizational level?
6. Why is program evaluation the most common
function of the program consultant?
If you are interested in organizational consultation, relation to the purchase of expertise and doctor—
you may want to read some ofthe following books: patient models.
Conyne, R. K., and O’Neil,J.M. (Eds.). (1992). Schein, E. H. (1999). Process consultation revisited: Building
Organizational consultation: A casebook. Newbury the helping relationship. Reading, MA: Addison-
Park, CA: Russell Sage Foundation. This text pre- Wesley. Of particular interest is Schein’s discussion
sents five case studies of organizational consultation of consultation as a helping relationship. Its business
in a variety of settings. Each case study follows a and industry orientation should not diminish the
specified format. Of particular interest is the last wealth of applicable information in this book for
chapter, which analyzes and synthesizes the case human service consultants/collaborators.
studies. This book is an excellent resource for Schein, E. H. (2004). Organizational culture and leadership.
learning the practical, hands-on side of organiza- (3rd ed.). San Francisco: Jossey-Bass. This is Schein’s
tional consultation. latest contribution to the field of process consulta-
Schein, E. H. (1988). Process consultation: Its role in orga- tion. It is a resource for understanding the inter-
nization development, Volume 1 (2nd ed.). Reading, personal dynamics in organizations. The material on
MA: Addison-Wesley. This classic text is a must for organizational culture provides excellent informa-
anyone interested in consulting with organizations. tion on the impact of culture on the practices of
Schein discusses process consultation in detail and in consultants and collaborators.
12
HK
School-Based Consultation
and Collaboration
~ oth consultation and collaboration are effective in providing psychological

services in schools.
A great deal of consultation and collaboration occurs in schools resulting in a
time-efficient and cost-effective way to affect the well-being of students (ASCA,
2003; Davis, 2005; Merrell et al., 2006; Myrick, 2003). Because schools represent
a microcosm of community life, they are excellent settings for consultation and
collaboration. Mental health professionals—internal and external to school set-
‘tings—consult and collaborate regularly with teachers, administrators, and par-
ents/guardians who are often the first onesto note issues students may be having
(Keys et al., 1998; Kratochwill & Pittman, 2002; Studer, 2005). When mental
health/human service professionals are involved with staff development, parent
groups, intervention teams, and program development—or when they are used
as resources on a variety of topics—they are engaging in consultation or collabo-
ration (see Pellitteri, 2000; Safran & Safran, 2001).
As a means by which psychological services are delivered in a school, consulta-
tion is an indirect service to students and attempts to help others work more effec-
tively with students. Collaboration combines indirect and direct services to stu-
dents. Thus, students are the ultimate beneficiaries of the consultant’s services,
and both the direct and ultimate beneficiaries of collaboration. Consultation and
collaboration can occur as primary prevention (e.g., enhancing the school climate),
secondary prevention (e.g., working with school administrators in developing pro-
grams for students at risk for teenage pregnancy), and tertiary prevention (e.g., con-
sulting with a teacher about a child who is having difficulty in the classroom).
Increasing attention has been given to providing primary prevention services to
263
those who have basic responsibility for students (tea- educates the consultee about the problem-solving
chers, administrators, and parents) that can positively process, and together they collaborate to identify
affect school and home climates. and solve a problem. In other words, even though
To be effective, mental health/human service the consultant is collaborative, she or he is still “in
consultants—internal and external—should be aware charge” of the process. This style of consultation is
of the educational, social, and emotional needs of often what consultants refer to when they say they
children. They must understand how to communi- “collaborate” with their consultees. Some authors
cate with teachers, administrators, and parents; and (e.g., Keys et al., 1998) believe traditional models
they must be aware ofthe forces operating in the local are effective for dealing with normal, developmental
building, at the school system level, and in the com- problems, but true collaboration and independent
munity at large (Salmon, 1993). For example, consul- approaches are called for when dealing with more
tation should be explained to adults in the school in complex issues.
such a way that they are not threatened by another Schools are different than other organizations
adult helping them with the difficulties they experi- such as mental health centers or business and indus-
ence (Conoley & Wright, 1993). By working effec- try settings. Because the context in which consulta-
tively with other professionals at school and with tion and collaboration occur is important (Zins &
parents/guardians, school-based human service pro- Erchul, 2002), I dedicate an entire chapter to these
fessionals can positively impact the lives of large num- services in a school context. Even though you may
bers of children (Gutkin & Curtis, 1999) and can help not work in a school, it is highly likely that sooner
resolve concerns, prevent future problems, and pro- or later you will collaborate or consult with school
vide developmental strategies (Gerler, 1992). In addi- personnel. Awareness of consultation and collabo-
tion, by providing these services, counselors and psy- ration in the context of a school is essential for all
chologists can broaden the scope of their influence in human service professionals.
the school (Dougherty, 1992b). This chapter surveys the scope of school con-
The actual ways in which consultation and col- sultation and collaboration. We will briefly discuss
laboration occur varies according to the model being their history and examine the nature of consulting
employed. Keys et al. (1998) make some important with administrators, including how school consul-
clarifications regarding the distinction between con- tants can use organization development consulta-
sultation and collaboration. The problem-solving tion with their administrators. In addition, we will
processes 1n collaboration and consultation are essen- survey methods of consulting and collaborating
tially the same. What varies is that, in collaboration, with teachers. Adlerian and instructional consulta-
there is an emphasis on shared expertise throughout tion are included in this discussion. From there we
the entire process (Keys et al., 1998). The “‘triadic- will discuss consulting and collaborating with par-
dependent relationship” style of consultation is ents, including parent case consultation and parent
known as the “expert” mode of consultation. In education. After a discussion of interagency collab-
the “collaborative dependent” style, the consultant
‘
oration, we will examine some pragmatic issues in-
functions not only as an expert but also as a facilitator cluding those surrounding multicultural school
and educator. The consultee, however, still depends consultation. Finally, we will reflect upon school
on the expertise of the consultant. The consultant consultation and collaboration in the 21st century.
CHAPTER 12 SCHOOL-BASED CONSULTATION AND COLLABORATION 265
Here are some questions to consider as you School-based and non-school-based mental
read this chapter: health professionals are increasingly called upon to
assist with the organizational change necessitated by
1. In what ways is consultation in the school dif- school improvement initiatives. To this end, school-
ferent from consulting in the community? based psychologists, counselors, and community
i) What is unique about consulting and collabo- mental health providers are being asked to provide
rating with teachers? consultation and collaboration to improve their own
3. What special factors does a consultant have to individual schools in these specific areas (Ruley, 1996,
take into consideration when consulting or p. 478):
collaborating with parents? = teaching, learning, and related standards
4. What special ethical issues does interagency #® use of technology
collaboration in the schools raise?
= governance, management, and accountability
5. How can collaboration be viewed as the service
of choice over consultation for school-based = parent and community support and
human service professionals to provide? involvement
= system-wide improvements
RATIONALE FOR SCHOOL-BASED # promotion of grassroots efforts
CONSULTATION AND # dropout prevention strategies

® coordination with school-to-work programs
COLLABORATION
= milestones and timelines
As the mental health and instructional needs of stu-
dents have become of increasing concern, interest Case Example of School-Based
in consultation and collaboration has increased Consultation
commensurately (Gutkin & Curtis, 1999; Kone
2007). Tienes Consider this example:
hool-age¢ ‘youthencounter inereasng th You are a school counselor who is asked by a
) ( Tr 5 teacher to help him “Gncrease the motivation to
(Meyers, Meyers, & Grogg, 2004). snr to learn” of an academically gifted junior who is failing
twenty percent of our youth suffer form mental the teacher’s chemistry class. You and the teacher
health issues with barely over one-fourth receiving discuss his concern in detail. You develop a plan in
appropriate care (Greenberg et al., 2003). which you will interview the student about his lack
Revisions to the Individuals with Disabilities of achievement and report back to the teacher. The
Act (IDEA; Pub. L. 108-446, 2004) (Wilczynski, teacher agrees to observe the student’s behavior in
Mandal, & Fusilier, 2000), school violence, the the classroom and search for any possible clues. You
No Child Left Behind Act, emphases on school both agree to meet during the teacher’s planning pe-
reform and restructuring (Adelman & Taylor, riod to share your experiences and develop the next
2007; Senge et al., 2000), as well as increased school steps.
accountability and high-stakes testing (Braden, This example is just one of a variety of ways in
2002), have all led to an increased importance for which school-based human service professionals
consultation and collaboration in school settings. In consult. It is important to remember that all you
addition, because administrators, parents, and other have read about in this text so far is applicable to
school support personhel affect the learning climate school consultation. For example, the information
of the school, they are appropriate persons for con- about organizations discussed in Chapter 8 applies to
sultative assistance (Hall & Mei-Ju, 1994). schools.
The underlying premise for school consultation be used in a team situation. It builds relationships
is that, by helping the significant others of students for other problem-solving activities such as consulta-
such as teachers and parents make appropmate tion, maximizes productivity, and requires shared ac-
changes, consultants can contribute to substantive, countability (Cramer, 1998; Friend & Cook, 1996,
positive outcomes for students (Gutkin & Curtis, 1997; Safran & Safran, 1998). Collaboration activities
1999). Consulting has the potential to positively are typified by a cooperative relationship. The activi-
affect more students than working with individual ties are cooperative in that the relationship is one
students (Meyers, Gaughan, & Pitt, 1990). Thus, con- among equals, given possible differences in expertise
sultants have the ability to significantly impact the and need, with each partner having different contri-
mental health and development of children by im- butions to make. The activities are accomplished
proving the skills and knowledge of parents and those through a partnership in that the distribution of labor
professionals who work with children at school. involved is specified and agreed upon. When collabo-
There are some concerns related to the use of rating with teachers and parents, it is important to
consultation in the schools. For example, effective consider training them in the skills of collaboration
consultation takes time, yet the time constraints in rather than to assume they have those skills (Ikeda et
schools are myriad. Furthermore, school administra- al., 1996).
tors do not always view consultation as an important Collaboration is particularly appropriate for
function in the school, and even when they do, other multidisciplinary team conferences. At these meet-
services such as testing and counseling compete for ings, professionals and sometimes parents attempt to
the time of counselors and psychologists. develop an appropriate educational or behavioral
plan for a student. As early as the mid-1980s, Zins
Case Example of School-Based and Curtis (1984) suggested the importance of hav-
ing all parties at such meetings skilled in consulta-
Collaboration
tion to overcome the possible shortcomings of these
Now consider this example: types df meetings. Collaboration, like an effective
You are a school counselor who asks a teacher team, works best when the leadership of the process
to collaborate in order to “increase the motivation is shared over time (Shaw & Swerdlik, 1995).
to learn” of an academically gifted junior who is There are some schools that use collaboration
failing the teacher’s chemistry class. You and the extensively to “invent and reinvent” meaningful
teacher discuss his concern in detail. Together, educational experiences for students (Thousand et
you develop a plan in which you will interview al., 1996). For example some schools rely extensively
the student about his lack of achievement and re- on ad hoc problem-solving teams. When this occurs,
port back to the teacher. The teacher agrees to ob- there is less of the “shut-the-door-of-my-classroom”
serve the student’s behavior in the classroom and attitude and more of a “let’s-look-at-the-bigger-pic-
search for any possible clues. You both agree to ture” attitude. Collaboration emphasizes shared ac-
meet during the teacher’s planning period to share countability for outcomes and a shared responsibility
your experiences and develop the next steps. After for participation and decision making. School-based
you both engage in these tasks, you develop a plan counselors and psychologists may well want to con-
that allows both of you to take responsibility for sider using collaboration whenever possible (Caplan
some aspect ofthe case. & Caplan, 1993).
This example provides a description of the basic
rudiments of school-based collaboration. Notice
how it differs from the example of school-based con- HISTORICAL BACKGROUND
sultation in which the teacher took all of the respon-
sibility for the implementation of the plan. School- The history of what we now call school-based con-
based collaboration allows for individual expertise to sultation and collaboration dates back to the 1920s.
As early as 1925, the role of school psychologists’ but also concerning curriculum development and
functions would still be recognized today as closely classroom activities. Faust was also one of the first
allied to consultation (Bramlett & Murphy, 1998; to call for counselors to engage in in-service pro-
Merrell et al., 2006). These included contributing erams for school personnel. For the school counsel-
to the study of children with learning problems and ing profession, there was some initial resistance to
developing a mental health program in the school consultation as some writers thought that it would
(French, 1990). take away from the school counselor’s time with
But it was during the 1950s that the term students (Myrick, 2003).
“consultation” began to be used regularly as part of In 1966, a report by the joint Committee on the
the consultant’s functioning. The 1954 Thayer Elementary School Counselor (ACES/ASCA, 1966)
Conference all but made consultation a part of the made consulting an official role for school counselors
school psychologist’s role. In the early 1960s, some along with counseling and coordination. The litera-
school psychology researchers (see Lambert, 2000) ture on consultation for school counselors was very
wrote about school psychology being a suitable pro- limited at this time. Kahnweiler (1979) reported
fession for the practice of school-based mental health locating 12 articles on consultation in counseling
consultation. Cottingham (1956) was among the journals written between 1964 and 1968. By 1972,
first to recognize the need for special assistance for however, there had been articles published for coun-
teachers by school-based counselors, which pro- selors on topics such as Adlerian consultation, behav-
vided the basis for the consultation role in the ele- ioral consultation, in-service programs for teachers,
mentary school. The rationale was that by acting as and parent consultation.
consultants, school-based human service profes- Fullmer and Bernard (1972) and Dinkmeyer
sionals could assist the school in developing a climate and Caldwell (1970) also advocated the role of
conducive to student growth and development, school consultant as one who could provide in-
hence creating an avenue by which all students service education to teachers on open communica-
could be affected. When school-based human ser- tion and the wise use of tests, as well as on assisting
vice workers delivered only direct services such as work groups. Fullmer and Bernard were among the
individual and group counseling, their impact on first to note that when consultation is successful, the
the school climate was limited since it was virtually consultant is made obsolete while at the same time
impossible to reach all children in the school increasing the long-term possibilities of enhancing
(Dinkmeyer & Carlson, 1973). consultation. These authors strongly advocated the
Impetus for consulting with parents came from use of group consultation.
the work of Faust (1968), who noted that students’ Dinkmeyer and Carlson’s D7 Sia tet
relationships with their parents could affect their Consulting: Facilitating Human Potential and Change
learning ability at school. Therefore, Faust (1968) Processes advocated that school consultants be active
strongly advocated consulting with parents but cau- change agents for improving the organizational cli-
tioned school personnel against using the “brush mate of the school, thus expanding the concept of
fire” (p. 86) approach in dealing with crises that school consultant to include organizational
teachers and administrators have with parents. He consultation.
In 1975, the passage of Public Law 94-142 sup-
advocated the idea of parent training groups as well
as consulting with parents about their individual ported the use of consultation by school-based con-
children. Faust (1968), however, gave priority to sultants regarding students with special needs.
consulting with school personnel such as teachers Subsequent federal and state legislation supported
and administrators over consulting with parents. the use of consultation and collaboration as a viable
Because of efficiency, he suggested that the most method of indirect service in the schools. Hence,
important form of consulting was with groups of consultation was to be an effective way to assist reg-
teachers, not only with regard to student behavior ular education teacher with children who had special
needs (Martens & Ardion, 2002). The 1990s saw in- Other topics for which administrators seek
creased attention to collaboration as an important consultation include school violence, substance
service. Today, consultation and collaboration are abuse, high-stakes testing, professional develop-
important services provided by school-based consul- ment, planning for crisis situations, and professional
tants. As our society becomes even more culturally competence issues (Blader & Gallagher, 2001; Jacob
diverse and social and economic problems continue & Hartshorne, 2003). Administrators are typically
to grow, the demand for these services in the school concerned about the potential for disruptive behav-
will increase even more. ior. As a result they frequently seek consultation on
ways to manage behavior at the school, classroom,
and individual levels (Luiselli, 2002; Sugai et al.,
2000). When consulting with administrators about
CONSULTING AND programs, consultants will want to ensure that the
following factors are addressed: how the program
COLLABORATING WITH
will be introduced, how stakeholders will be en-
SCHOOL ADMINISTRATORS gaged, how previous research affects program 1m-
plementation, and how program resources will be
The school’s leadership is a powerful force in deter- prioritized (Rotheram-Borus, Bickford, & Milburn,
mining the extent to which consultation and collab- 2001). Furthermore, school-based professionals will
oration are considered acceptable services (Bramlett want to work closely with administrators to incor-
& Murphy, 1998; Raforth, 2006). Therefore, it is porate primary prevention programs into the school
important that school psychologists and counselors setting; for example, establishing prereferral inter-
not only inform administrators about these services, vention teams and problem-solving teams (Bahr &
but also that they actually engage administrators in Kovaleski, 2006; Raforth, 2006; Raforth & Foriska,
these services (Bramlett & Murphy, 1998; Paisley & 2006) or in working to prevent school violence
Milsom, 2007; Raforth, 2006). Administrator sup- (Larson, Smith, & Furlong, 2002).
port and acceptance of programs is essential for Principals frequently request school consultants
change to occur (McDougal et al., 2000). Admuini- to co-consult with external consultants when hu-
strators have priorities and pressures for which they man services are the focus of the external consul-
may actively seek consultation (Hughes, 2000). tants’ assistance. Such collaboration can enhance the
School-based consultants can consult with effectiveness of the external consultants’ services
school administrators in a variety of ways. They (johnston & Gilliland, 1987). As in other contexts,
frequently meet with principals to discuss particular when human service professionals collaborate with
children that have come to principals’ attention. For administrators, they take on responsibility for some
example, a consultant may use a client-centered of the outcome.
case approach with a principal who is trying to de- There is a move toward increased organization
cide whether or not to suspend a student from development consultation on the part of school-
school. In addition, principals often request consul- based consultants (Curtis & Stollar, 2002;
tation regarding programs that operate in the school Dougherty & Dougherty, 1991; Dustin & Ehly,
(Illback et al., 1999; Jacob & Hartshorne, 2003). In 1992) because school administrators increasingly
another example, school consultants may be asked want assistance with goals that involve the entire
to evaluate their own in-school consultation pro- school (Hansen et al., 1990; Ehly, 1993). For exam-
grams or programs that involve cultural diversity ple, total quality management (TQM) strategies are
(Pena, 1996), school reform (Colbert, Vernon- beginning to be used by school-based consultants
Jones, & Pransky, 2006), classroom-based group in- (Smaby, Harrison, & Nelson, 1995). The TQM
terventions (Robinson & Elias, 1993), and systemic approach is usually implemented through the total
change (Adelman & Taylor, 2007). quality group (TQG). School counselors and school
psychologists can use TQG as a way of helping site- ment (Curtis & Stollar, 1996), a renewed emphasis
based management teams be most effective by fo- on public health principles in mental health (Hazel,
cusing on group roles, social influence, and group 2007), and the realization that what often appears to
stages either in providing staff development training be a child-focused problem is merely a symptom of
in TQG or consulting with an existing TQG. Since a building or systems problem (Knoff, 2002).
case consultation and program consultation are cov- Merrell et al. (2006) and Greenberg et al. (2003)
ered elsewhere in this text, so I will focus here on note issues that necessitate organizational-level
organization development consultation. change: preparing for an increasingly diverse stu-
dent population; advances in technology; and the
School Consultation and Organization increasing severity and complexity of student needs.
This approach appreciates and uses the unique char-
Development Change
acteristics of the school in the change process
Increasingly, internal and external forces are requir- (Curtis & Stollar, 2002). In spite of the recent at-
ing schools to accomplish necessary and challenging tention organization development has been receiv-
changes, and schools are looking to consultation ing, its application to schools is not new (see, as
and collaboration services for help (Cowan, 2007; examples, Ilback & Zins, 1993). Organization de-
Flaspohler, 2007; Hazel, 2007; Zins & Ilback, velopment is a systematic process, using the princi-
1995). There is a sharpening focus on organiza- ples and methods of behavioral science to increase
tional consultation in schools including groups of the effectiveness of organizations such as schools
consultees, entire schools, and even school districts (French & Bell, 1999). The target is the human
(Merrell et al., 2006; Zins & Erchul, 2002). side of the school, and the goal is to structure activ-
Organizational development consultation 1s a series ities that assist that human side to be better problem
of planned and sustained efforts to apply the prin- solvers on their own (French & Bell, 1999). The
ciples of behavioral science to improve the func- change that is targeted must reflect the complexity
tioning of the school (see process consultation in of the school that is being changed (Zins & Illback,
Chapter 11). School counselors and school psychol- 1995). Organization development consultation usu-
ogists are being called upon to assist in implement- ally starts with the administrator of the school who
ing system-wide programs related to school reform involves the school-based consultant and other pro-
that are driven by their central offices (Colbert et fessionals in the change process (Curtis & Stollar,
al., 2006; Knoff, 2002; Paisley & Milsom, 2007), 1996). Such consultation is a way of making care-
consultation regarding the development of crisis in- fully planned, predictable changes in the school
tervention teams for responses to issues like school (Elliott & Busse, 1993). Its goal is to enhance the
violence (Bramlett et al., 2002), and the implemen- school’s effectiveness by helping school personnel
tation of positive psychology into the mainstream understand and effectively act on problems and
of the school (Akin-Little et al., 2004). These in- move toward self-renewal. This type of consulta-
itiatives can include developing a collaboration pro- tion can be long-term, lasting for several years. As a
gram in each school, building assistance teams, de- result, it can be quite time consuming (Larney,
termining the necessary processes for systems 2003). One of the first steps in using organization
monitoring, assisting with strategic plans (Adelman development consultation is to train the stake-
& Taylor, 2007), and providing ongoing staff de- holders and gatekeepers in problem solving
velopment. The goal is ongoing school renewal (Knoff, 1995, 2002). Examples include develop-
through the creation ofa culture of change, teacher ing a team to enhance a school’s climate, creating
professionalism, and high expectations (Raforth & a task force to increase the number of parent vo-
Foriska, 2006). : lunteers in a school, assisting a faculty to move from
The impetus for organizational consultation in a self-contained classroom to team teaching, help-
the school has come from the school reform move- ing a planning team conduct a survey (Schmuck
270 PART ill MODELS OF CONSULTATION
& Runkel, 1985), creating and promoting effective (McDougal et al., 2000). When human service/
problem-solving teams (Raforth & Foriska, 2006), mental health professionals collaborate from an or-
and sustaining innovations (Adelman & Taylor, ganizational development framework, they take on
2003). responsibility for some aspect of the outcome.
When school-based consultants use organiza-
tion development consultation, they generally A Brief Example of Organization: Development
adopt the systems approach described in Chapter Consultation. Wes is a school-based consultant
8, which allows them to observe and intervene in with training in organization development. His
the school’s subsystems (Knoff, 2002; Schmuck, school is rapidly undergoing changes in the cultural
1995). For example, there may be a rift between diversity of its student body, for which his principal
teachers (the technological subsystem) and counse- has asked for assistance in developing a plan to help
lors (the supportive subsystem) concerning “pulling the school adjust. Wes begins by assessing the de-
out” students for counseling services during class gree to which the school is adjusting to the change
time. Organization development consultation and compares his findings with the desired state of
would attempt to help these subsystems function affairs. He surveys the staff and conducts structured
more smoothly together. This view keeps in mind interviews with randomly selected teachers and
the school’s ability to manage change. For example, support personnel.
if the cultural diversity of a school’s student body is Wes draws two conclusions as a result: The en-
increasing, the school-based consultant may be tire school staff is not well trained in multicultural
placed in charge of a school-wide program to education and has unrealistic fears of increased vio-
accommodate this change. Finally, organization de- lence and vandalism at the school. Wes creates and
velopment consultation looks to the satisfaction of submits to the principal a plan involving an in-service
school personnel, since satisfied workers are pro- program on multicultural education, visitations by
ductive workers. The school-based consultant staffto schools with cultural diversity, and the devel-
operating from an organization consultation per- opment of a special committee to develop ongoing
spective might well monitor the school’s morale plans for adjustment and monitoring progress.
as one indicator of whether change is necessary.
Organization development consultation fol-
lows the steps presented in the generic model in
Chapter 3 through 6, and its primary interventions CONSULTING AND
include process observation and feedback, training,
and survey feedback. The typical targets of organi-
COLLABORATING WITH
zation development consultation are the school’s TEACHERS
structure (e.g., policies), processes (e.g., ways of
planning), behavior (e.g., roles of personnel; see Interest on the part of teachers in consultation de-
Illback et al., 1999) and capacity building (Nastasi, pends on many factors. Traditionally, school coun-
2004). In another example, school-based consul- selors and psychologists have worked with teachers
tants can assist their organizations to deal with un- to establish interventions in the regular classroom
intended outcomes of school reform and high as a way to reduce special education placements
stakes testing, such as focusing the curriculum (Kratochwill, Elliott, & Callan-Stoiber, 2002).
exclusively on tested subjects and dealing with re- These efforts have led to increased consultation ac-
peated poor performance on the part of many stu- tivities with personnel such as special education tea-
dents (Braden, 2002). School-based consultants chers, teachers of children with behavioral disorders,
typically ensure that programs related to organiza- and teachers in charge of programs for preschool
tional change are acceptable to stakeholders so that children. School-based consultants have assisted
they can be more effectively institutionalized teachers with both academically and behavioral
challenged children as well as those with less severe than waiting for requests, the teachers perceiving
concerns. More recently, school psychologists and that the consultant has excellent problem-solving
counselors have engaged in collaboration with tea- skills, and the teachers perceiving that they them-
chers as a method of providing service to students selves have good problem-solving skills (Stenger,
and their families. Hughes points to the bottom Tollefson, & Fine, 1992). Consultants may need to
line for teachers in need of consultation: “Teachers dedicate time to training teachers to effectively im-
typically have a student in their classroom for a lim- plement interventions (Sterling-Turner et al., 2002).
ited period of time and are interested in interven- Consulting with high school teachers may vary from
tions that offer quick results. Teachers are also inter- that with elementary teachers (Gray, Gutkin, &
ested in decreasing behaviors that interfere with Riley, 2001). Because high school students have
smooth functioning of the classroom and that they more than one teacher a day, consultants are at this
experience as personally stressful” (2000, p. 323). level are more likely to engage in group consultation.
School consultation and collaboration can be ef Due to the nature of high school students, rewards
fective and efficient ways to help teachers enhance for them are hard to determine, and when they are
their professional skills and to generalize the effects determined, administrators and parents may find
of psychoeducational interventions (Caplan & them unacceptable.
Caplan, 1993). For example, consultants can use so- One way to conceptualize school-based inter-
cial dynamic information to support the direct interventions is through a matrix of change agents and
ventions of teachers in determining how the peer intervention categories (Lentz et al., 1996). Change
group and the classroom support undesirable behav- agents include students themselves, peers, the home,
ior (Farmer, 2000). Many articles document teachers the teacher, and other school adults. The general cat-
being helped with a variety of topics, such as con- egory of intervention includes contingency-based
ducting effective parent conferences (Johns, 1992), (e.g., praise after task completion), antecedent-
enhancing the self-concept of students (Braucht & based (e.g., changing prompts), teaching academic
Weime, 1992), choosing instructional methodolo- skills, teaching learning strategies, teaching appropri-
gies (Margolis, 1990; Rosenfield, 2002a), engaging ate social behaviors, and teaching coping or problem-
in conflict resolution (McFarland, 1992), acting as solving strategies (e.g., personal problem-solving
resources for teachers in gifted education (Landrum, strategies).
2001), dealing with other common problems On the other hand, in collaboration, in which
(Stenho, 1995), consulting regarding military chil- most parties are providing direct service and have
dren (Horton, 2005), and dealing with issues related responsibility for part of the outcome, the issue be-
to being a beginning teacher (Knotek, Babinski, & comes getting everyone “on board” with what
Rogers, 2002). There is some empirical support that needs to happen and when (Iverson, 2002).
teachers can be trained to generalize consultation- There are a variety of models from which school
related skills to their classroom following consulta- consultants and their consultees can choose. Popular
tion (Riley-Tillman & Eckert, 2001). The nature of models such as education/training consultation
the consultation relationship and its influence on the (Shapiro, Dupaul, Bradley, & Bailey, 1996), behav-
ioral consultation, and mental health consultation
teacher determine whether or not the teacher 1s go-
ing to follow through with the consultant's recom- have already been discussed elsewhere in this text.
mendations and implement the interventions I have chosen two other models that are popular in
(@ KReefes & Medway, 1997; Sterling-Turner, school consultation to discuss in this chapter: Adlerian
Watson, & Moore, 2002). There is some evidence consultation (Dinkmeyer, 2006; Dinkmeyer &
Dinkmeyer, Pew, & Dinkmeyer,
that the number of teachers who are willing to en- Carlson, 1973;
and instructional consultation (Rosenfield,
gage is increased by thé consultant being based in the 1979)
school, consultation services being offered rather 1987, 2002a).
Dae PART IIL MODELS OF CONSULTATION
“Adlerian Consultation from which the teacher may choose. The alterna-
tives are based on the realization that to change the
Adlerian consultation with teachers is based on
student’s behavior, the teacher must change his or
the works of Alfred Adler’s individual psychology.
her own behavior first. A recent trend in Adlerian
The major proponents of Adlerian consultation in
consultation involves the use of narratives and anec-
schools have been Don Dinkmeyer, Jon Carlson,
dotes to assist with the consultation process (Mortola
and their colleagues. This discussion is based on
& Carlson, 2003). Advice-giving is avoided and is
writings by Carlson, Watts, & Maniacci (2006), replaced by a process that integrates new skills with
Dinkmeyer (2006), Dinkmeyer and Carlson the consultee’s belief system. Adlerian consulta-
(2000), and Kottman (1995). Adlerian school con-
tion follows the following steps (Carlson et al.,
sultation is based on several assumptions:
2006, pp. 253-254):
# Teachers cannot take responsibility for student
# establish the tone
behavior.
= get a specific description of the problem
# Teachers should be more involved with en-
couragement than with praise. = get
5
a second specific example and clarify the
goal of misbehavior and the teacher’s troubling
# Teachers cannot always prevent failure on the
belief
part of students.
= review the guidelines for reaching the goal
= Teachers need to try to meet the affective as
well as the cognitive needs of students. # solicit tentative solutions
=» The consultant talks directly to the teacher # attain closure
about their problem with the child as opposed
to talking about the child exclusively. A Brief Example of Adlerian Case Consulta-
tion. Alfred, a school-based consultant, is work-
» The consultee is to learn new skills to facilitate
ing with Howard, a middle school teacher who has
change.
voluntarily sought out consultation regarding a
Case Consultation. How consultation proceeds seventh-grader who seems to be rapidly becoming
with an individual teacher depends on his or her the class clown. Howard has completed and sub-
perceived needs, but usually a collaborative mode mitted the referral form. Alfred establishes rapport
is employed (Carlson et al., 2006). In case consulta- with Howard, and together they get specific exam-
tion, Adlerian consultants frequently use a detailed ples of the student’s behavior and then determine
referral form, which the teacher fills out prior to the Howard’s feelings and reactions to the behavior.
first consultation session and which provides the Howard reports that he is mostly annoyed because
consultation a beginning point. In addition to using constantly reprimanding the boy gets in the way of
the referral form, the consultant asks the teacher to his teaching the class. The consultant observes the
tell his or her story in such a way that the dynamics student in class and conducts a diagnostic interview
of the teacher—student relationship are evident with him. In the meantime, Howard is keeping a
(Dinkmeyer, 2006; Kottman, 1995). As the teacher record of the boy’s acting out behavior. Alfred and
relates his or her beliefs about the child’s behavior, Howard then hold a planning session and deter-
the consultant tunes into the teacher’s feelings so as mine that the boy’s primary goal is attention.
to further understand the possible goal of the stu- They develop a plan in which Howard changes
dent’s behavior. how he responds to the student. Alfred agrees to
The consultant may also observe the child in follow up with Howard within a week.
the teacher’s classroom. The consultant and teacher
then make a tentative hypothesis about the goal of -C-Group. The C-group is a group Adlerian con-
the child’s behavior and discuss possible alternatives sultation method so named because all of the forces
operant in the group begin with the letter C. These maintains control over the group’s process by keep-
forces include consultation, collaboration, clarifica- ing it focused and encourages the teachers to help
tion, confrontation, cohesion, commitment, one another with their concerns about students.
changes, concern, caring, confidentiality, and com- During the group meeting Loretta passes out a variety
munication (Dinkmeyer & Carlson, 2000). The of handouts on Adler’s ideas on children. The group
C-group is an alternative to traditional staff devel- then applies this information to the children they are
opment training in which ideas about behavior are seeking to help.
disseminated. The group is both didactic and
experiential.
Instructional Consultation
The typical group consists of four to six tea-
chers and the consultant. It meets once a week for Instructional consultation (Rosenfield, 1987, 1992,
about an hour and has a life of about six to eight 2002b; Rosenfield & Gravois, 1996; Stringer,
sessions. It is based on the rationale that most pro- Reynolds, & Simpson, 2003) is a relatively new
blems are interpersonal in nature, classroom and model for helping teachers modify their instructional
otherwise, and that these problems are best solved behavior and more effectively create a learning envi-
in an open, safe group setting. Teachers present ronment for students. Gravois and Rosenfield note:
problems they are having with individual students “The model is based on the premise that quality in-
and the group discusses them. structional and management programming, matched
The purposes of the consultation group are to to a student’s assessed entry skills, increases student
help teachers understand patterns of student beha- success, reduces behavioral difficulties, and avoids
viors and ways to improve those patterns, as well as the need for special education evaluation and place-
to provide teachers with an arena in which they can ment” (2006, p. 45). Instructional consultation and
openly communicate, understand the practical ap- behavioral consultation have some basic common
plication of Adlerian ideas about human behavior, elements (Rosenfield 2002a, 2002b). As a form of
and experience the rewards of group learning. consultee-centered consultation, the success of 1n-
Outcomes for teachers include the satisfaction structional consultation is dependent on the quality
of sharing similar concerns, acquiring more effective of the consultant—consultee relationship and the de-
ways of dealing with student misbehavior, under- gree to which suggested interventions are carried out
standing their interpersonal relations better, and and followed up.
learning about how to lead classroom discussions Instructional consultation is a collaborative
concerning affective topics. process in which a problem is identified and inter-
ventions are selected and made. Since the planned
A Brief Example of a C-Group. Loretta 1s a interventions typically require that the consultee
school consultant leading a C-group for a group of change his or her instructional style, a strong consul-
six elementary school teachers. The first meeting has tant—consultee relationship based on trust and mutual
all of the teachers sharing something about them- sharing is essential. A strong focus is placed on defin-
selves with Loretta pointing out similarities in their ing the problem in specific, measurable terms, and
concerns and building rapport among the teachers. In decisions are data driven (Wizda, 2004).
subsequent meetings, Loretta shares Adler’s ideas on The most common roles of the instructional
the purposive nature of human behavior, which gives consultant appear to be those of collaborator and
the group a common ground for approaching their educational trainer but may also include being an
concems. She also encourages the members to share advocate for a particular instructional technique or
anecdotes and helps them identify and share their service for a given student. The consultant often
feelings as they relate to such anecdotes. The concept functions as a fact finder and observes and collects
of discouragement is discussed as well as practical data to define the problem more clearly. The
methods of working with misbehavior. Loretta consultant may assess the student’s learning, the
teacher’s instructional style, and the teaching—learn- and sequence of the material as well as the teacher’s
ing process. The consultant attempts to collaborate attitudes about the curriculum. For example, is the
whenever possible but is obviously an expert as far teacher being driven to complete the coverage of
as instructional improvement goes. certain material at the expense of mastery by the
Prior to accepting consultees, the consultant student? This assessment provides a basis for plan-
suggests a referral process within the school. With ning intervention strategies.
the process in place, teachers will be informed of The consultant and teacher ike the problem,
the nature of consultation, its collaborative intent, discuss alternatives, and brainstorm possible inter-
and non-supervisory nature. They will also under- ventions that will improve the management of the
stand that they are in control of how the problems student (e.g., time on task) and the management of
presented will be solved and that the consultant will learning (e.g., instructional style). From the list of
function as a resource person. available strategies, the teacher selects ones that are
The consultant clearly informs the consultee feasible from the point of view of time, resources,
about the consultation process and its potential ben- and classroom structure.
efits. The consultee needs to enter the consultation As these strategies are put into place, the con-
relationship with an expectation of success, a non- sultant monitors the process on a regular basis and
defensive attitude, the motivation to discuss the helps make modifications as necessary. Based on the
problem situation openly, and a willingness to results, the consultant and consultee will then ter-
make changes. It is helpful if the consultee is knowl- minate the relationship. The consultant typically
edgeable about or willing to be trained in problem- makes and submits a complete write-up of the con-
solving strategies. sultation experience.
The consultation procedure includes the Knotek et al. summarize instructional consulta-
following steps: establishing a collaborative relation- tion by noting that the “traits of reframing the eti-
ship, identifying the problem, observing the class- ology of the problem, the collection of data to
room, assessing curriculum-based learning, planning confirm or disconfirm ideas, the iterative brain-
instructional interventions, and terminating. storming, and the generation of alternative hypoth-
The problem 1s identified in terms ofthe student eses, resulted in a process of orderly reflection that
behaviors that concern the teacher and the learning supported the construction of new understandings
environment in which the student resides. Clarifying of and approaches to the workplace problem”
the problem at this stage requires strong communi- (2002, p. 325).
cation skills from consultant and consultee. This stage Recent developments in this model include the
often ends with a reconceptualization ofthe problem concept ofinstructional consultation teams (Gravois
as the result of the interaction of instruction, the & Rosenfield, 2006; Knotek, Gravois, & Rogers,
learning task, and student skills rather than merely 2002; Rosenfield, 2002a, 2002b). These teams can
as a deficit in the student (Knotek, Rosenfield, have the impact of changing the school culture to be
Gravois, & Babinski, 2003). The problem is concep- more accepting of a collaborative, problem-solving
tualized as an instructional mismatch. focus and can create a shift to arranging systemic
The consultant often learns the teacher’s instruc- variables from a traditional view which looks for
tional goals and plans prior to making objective and deficits in a given student. There is a trend in con-
systematic observations ofthe student and the learn- ducting instructional consultation with Limited
ing environment as a step in problem identification. English Proficient (LEP) students and their families
The consultant’s findings are discussed soon after the by using school interpreters (Lopez, 2000). The lim-
observation. Data collection and interpretation often ited research on the use of interpreters in this way
lead to a reconceptualization of the data. suggest that the pace of consultation will be slowed,
As the assessment of the problem is curriculum the accuracy of communication will need to be
based, the consultant must understand the scope monitored, and the use of the interpreter may affect
how rapport with the family and student will be room. Because Wilma has had such a small amount
developed (Lopez, 2000). Instructional consultation of written work from Maria, she has little informa-
is also an effective service in targeting English tion to help her discover Maria’s reading level, and
Language Learners’ (ELL) language instructional there are no test scores in her school records. Wilma
needs in non-bilingual settings as the consultant feels this child would be better served by more in-
can provide background materials, modeling, and dividual attention and that she should be removed
intervention scripts (Lopez, 2006). from her classroom for at least a part of the day for
Another trend in instructional consultation 1s special services. Wilma has no assistant and states
the use of curriculum-based assessment (CBA) that she cannot slow the progress of the class for
(Burns, 2004; Wizda, 2004). CBA is a method this one student.
that, in a systematic way, analyzes the instructional Wilma came to the first meeting with the con-
needs of a student and then designs instruction for sultant convinced that moving the child from the
optimal achievement (Burns, 2004; Gravois & classroom was the best option. After listening care-
Gickling, 2002). The idea is that academic problems fully to Wilma’s explanation of the problem, the
are viewed as a mismatch between student skill consultant presented the advantages of working to-
level and how and/or what the student is being gether to identify specific areas of concern in Maria’s
taught. Assessment is used repeatedly to help deter- academic performance. Although Wilma was still
mine what and/or how the student should be unsure she could comfortably commit the extra
taught (Gravois & Gickling, 2002). The referring time needed to help Maria, she was willing to work
teacher’s skills are developed so that they can be with the consultant to define Maria’s reading prob-
used effectively with similar students in the future lem more fully. Wilma and the consultant agreed to
(Wizda, 2004). One other recent development is two classroom visits for the consultant and a follow-
that the language used in IC has moved to the fore- up meeting. The observations were planned to sys-
front, and the actual words used in the consultation tematically assess Maria’s reading performance level
relationship are considered to be the subject of as well as her interactive patterns with the teacher,
study in IC in order to maximize the effectiveness other students, and the classroom environment as a
of consultation (Rosenfield, 2004). Consultants whole. The consultant and teacher discussed the in-
may need to instruct teachers in assessment techni- struction that would be taking place on observation
ques as well as behaviorally oriented instructional days and the objectives Wilma planned to achieve.
strategies (Begeny, 2006). The consultant planned to review the scope and se-
quence expectations of fourth-grade reading materi-
A Brief Example of Instructional Consulta- als so that she could more adequately determine
tion’. Wilma is a 4th-grade teacher who has re- Maria’s instructional level.
cently had a new student, Maria, enter her room After the classroom observations, the consultant
from another school district. School records indi- and Wilma discussed what the consultant had
cated that her attendance over the past three years learned from observing Maria, the classroom envi-
had been erratic. Wilma had placed Maria in the ronment, Wilma’s relationship with Maria, and the
performance of the other children with respect to
slower reading group. Maria is a quiet, unassuming
Maria. From this information they refined the in-
child who appears to listen to directions in class but
structional problem to be addressed. The consultant
has not been able to complete classroom work as-
agreed to formally assess Maria’s current reading
signed to her, especially in reading. She stays at her
instructional level, and permission forms for this
seat for about five minutes during independent
were sent to Maria’s parents.
work time and then begins to move around the
|. The author would like to thank Carole Williford for this case study.
Once these data were collected, Wilma and the which children are raised is considerable and varies
consultant met once more to determine how best by race (Carlson, 2006). Because families influence
to meet Maria’s reading needs. They brainstormed a student’s academic, social, and behavioral compe-
potential approaches—from peer teaching to class- tencies, consultation and collaboration with families
room volunteer parents—and Wilma chose the best are essential and has been on the rise (Christenson
alternative. They planned step-by-step intervention & Buerkle, 1999). The benefits of partnerships be-
strategies and agreed to talk by phone weekly to tween parents and schools have been demonstrated
make any needed modifications in the interven- time and again (Amatea, Daniels, Bringman, &
tions. Once Wilma was satisfied with Maria’s prog- Vandiver, 2004). Among other things, this initiative
ress, they agreed to terminate. The consultant is due to the increasing social problems that our
documented the consultation through a written country is experiencing along with their impact
report. on the schools. There is relatively strong evidence
that parent consultation is effective for a variety of
A Final Note on Consultation with Teachers, There school-related behavioral and emotional concerns
is, in my opinion, a bottom line for effectively con- (Guli, 2005). Evidence with ethnic minorities is
sulting with teachers. When consultants work with limited due to lack of adequate research (Guh,
teachers, it is very important that teachers do not 2005). Additionally, family involvement in the
view consultation as a process with the following school can positively impact academic achievement
underlying message: “How can I (the consultant) (Christenson & Buerkle, 1999; Freer & Watson,
help you do your job better without my having 1999) and can have positive effects for the family
to do anything myself?” For consultation with tea- as well. In spite of the need, parents often have low
chers to be effective, teachers need to perceive the levels of involvement in the schools (Esler et al.,
consultation process as an enterprise with an equi- 2002). Further, we need to distinguish parent in-
table workload distribution that requires minimal volvement (which is typically a one-way flow of
time, all the while being optimally helpful. information from the school to the parent/guard-
Further, it is critical that teachers perceive that their ian) and parent collaboration (which is a two-way
input into the problem-solving process is valued. As communication effort based on joint efforts to assist
you might guess, collaboration may well often be the child) (Cox; 2005). Please* note (thatsin “this
the service of choice for work with teachers. For chapter when I use the term “parent,” I include
example, school-based counselors and psychologists the terms “single parent,” “guardian,” and “ex-
might well recommend collaboration when dealing tended families” to enhance readability. That said,
with teachers on students’ homework completion much of the literature in consultation and collabo-
issues (Margolis, McCabe, & Alber, 2004). ration ignores the importance that caregivers other
than parents can play in the lives of children.
The need for parental involvement is well
stated by Riley: “Thirty years of research make
CONSULTING AND
it clear: Parents and families are pivotal to chil-
COLLABORATING WITH dren’s learning” (1996, p. 480). Consulting and col-
laborating with parents has received increasing
PARENTS/GUARDIANS/
attention (Hughes et al., 2001; Kratochwill &
EXTENDED FAMILIES Pittman 2002). School-based consultation and col-
laboration can be keys to parent involvement on a
Schools are consciously attempting to assist children broader scale. There are great numbers of parents
and increase parental/guardian involvement in the who are confused about their roles and relationships
school (Esler et al., 2002; Sheridan et al., 2006; Van with their children (Kottman, 1995; Kottman &
Velsor & Cox, 2000).The diversity of the settings in Wilborn, 1992). Changes in our society have
CHAPTER 12. SCHOOL-BASED CONSULTATION AND COLLABORATION 277
increased the stress levels of parenting significantly. of equals, that builds trust. Even if human services
The family and school are both: very powerful professionals are gearing their efforts toward the
forces in influencing the learning and development psychological well-being of the child, it is best to
of children. This implies that human service profes- link these efforts to the academic achievement of
sionals in the schools are expected to have signifi- the child as the academic success of their children
cant contact with parents, largely through consulta- is a top priority of parents.
tion and collaboration. For example, school-based Through consultation and collaboration, hu-
consultants often use parent consultation as an ad- man service/mental health professionals can help
junct to counseling students (Athanasiou, 2001). parents to assist their children in the successful ac-
Some authors (e.g., Weiss, 1996) suggest that it is complishment of developmental tasks and prevent
best for mental health/human services professionals early school problems from impacting normal
to assume that all parents are interested in their childhood development (Conroy & Mayer, 1994).
child’s welfare and try to involve even those who Parent consultation and collaboration create
consistently reject invitations for involvement. the opportunity for the school and parents to
Contrary to some of what you might find in work as a team for the benefit of the school and
the literature, there is no “one” eclectic model of family (Downing & Harrison, 1991). Many times,
parent consultation or collaboration. As a consul- consultants provide a variety of services to parents
tant or collaborator, you need to be aware of the simultaneously. Knoff and Batsche (1993) report a
models in the literature and then form your own program that combines parent training, tutoring,
personal model. Parent consultation usually takes and support. These activities involve training par-
the form of either direct case consultation about a ents in tutoring, in their children’s academic curric-
given child, parent education, or technology train- ulum, and in behavior management; supervision of
ing; hence the increasing popularity of the term parent’s tutoring with their and others’ children;
“parent involvement” (Kratochwill & Pittman, consultation with parents as they initiate tutoring
2002: Sheridan, Kratochwill, & Bergan, 1996). in their home; and the creation of parent drop-in
These approaches to working with parents are often centers designed to encourage parental participation
used interchangeably. However, as Sheridan in the schools.
(1993b) points out, there are several differences. Finally, school-based consultants will want to
These approaches vary in terms of the breadth of make sure that all parents are aware of consultation
information provided (with parent education being and collaboration services and feel welcome to use
development (with par- them. At the same time, school-based consultants
highest), the depth of skill
ent consultation being the highest), the specificity may want to redefine their job roles to include
of skill/knowledge imparted (with parent consulta- more parent consultation. Research has shown
tion being the highest), and individuality of focus that parent consultation can be effective in assisting
(with parent consultation being the highest). See with school-based behavioral and emotional pro-
Chapter 10 for coverage of conjoint behavioral blems of students (Guli, 2005).
consultation that includes service to parents as
well as educational personnel. Parent Case Consultation
In addition to consultation, there has been in-
creased emphasis on home-school collaboration Parents may seek out consultation for a variety of
(Esler et al., 2002). Due to collaboration’s emphasis reasons ranging from concern over their child’s mov-
on mutual accountability for outcomes, parents ing into or out of the school to worries about their
academic, emotional, or social behavior
may more likely become involved when they are child’s
offered this service. In'this manner, parents become (Kottman, 1995; Ritchie & Partin, 1994). There
instigators of change rather than the target of are many approaches to parent case consultation,
change. They have the type of relationship, one among the more popular of which are the Adlenan,
behavioral (Kratochwill, Elhott, & Callan-Stoiber, riding, and would have her daughter invite some of
2002), and mental health approaches. Behavioral her girlfriends to their house for a stay over. Sunny
consultation is the most popular, and the behaviorally helped Mardy put all of these activities into a plan
based conjoint behavioral consultation (Sheridan, and followed up by phone two weeks later to assist
2006) described in Chapter 10 1s rapidly gaining pop- her with any loose ends.
ularity (Guli, 2005). There has been some application
of family therapy and solutions-based models to par-
Parent Education and Training
ent consultation (Nicoll, 1992; Sommers-Flanagan,
2007). Regardless of the model used, a positive con- Although school-based consultants work with tea-
sultation experience can promote increased involve- chers more frequently than they do parents due to
ment by parents in the school life of their child and easier access (Merrell et al., 2006), parent consulta-
improve family relationships (Kottman, 1995; tion is also a major activity. Parent education and
Sheridan, 1993b). A rule of thumb is to provide the training are variations of the education/training con-
parent with viable options for interventions and al- sultation model discussed in Chapter 11. Parent edu-
low them to select the ones with the highest likeli- cation tends to be high on breadth of information
hood ofsuccess as they see it. You should note that provided, low on skill development, low on specific-
there is very little empirical research that supports ity of information, and low on focusing on the con-
the efficacy of parent consultation (Shendan, cerns ofindividual parents (Hoard & Shepard, 2005;
Kratochwill, & Bergan, 1996). Sheridan, Welch, & Orme, 1996). Parent education
groups have a variety of different possible goals such
A Brief Example of Parent Case Consultation as improving communication, developing effective
Using a Generic Model. Sunny is a school con- parenting skills, and increasing knowledge of child
sultant who has been approached by a parent development (Carlson et al., 2006; Gmeinder &
named Mardy. Recently tested for the academically Kratochwill, 1998). Parent education is one way of
gifted program at her school, Mardy’s daughter had promoting parent involvement in the schools
failed to meet the program’s criteria and was con- (Conroy & Mayer, 1994). Parent education 1s typi-
cerned that she would lose her friends, many of cally conducted as an intervention for an existing
whom were already in the program. Mardy was condition (Hoard & Shepard, 2005; Valdez,
worried about how she had taken the news. Carlson, & Zanger, 2005) and often subsumes parent
Sunny quickly established with Mardy that they training, with the basic difference being that parent
would be collaborating. Sunny assessed the parent’s training includes the acquisition ofspecific parenting
feelings about her daughter not being included in the skills (Sheridan et al., 1996) or skills related to help
program. Mardy noted that she just didn’t meet the their children improve academic performance
programs criteria and that that was okay. Mardy was (Rhoades & Kratochwill, 1998). For example, school
not disappointed in her child or the school but psychologists and counselors can provide workshops
wanted advice on how to help her daughter deal for parents on helping children cope with divorce
with this “defeat.” Sunny provided Mardy with due to the fact that many parents lack the skill to
some information on how children take such set- help children cope effectively with the changes
backs and discussed the family dynamics that had oc- brought on by divorce (Parker, 1994). More re-
curred since the child had not made the program. cently, school-based consultants have been involved
Mardy confessed that so far her strategy for in training nonmainstream parents on how to “navi-
helping had amounted to reassurance. Sunny and gate” the school system by learning its ins and outs
Mardy agreed that Mardy would use active listening andengage in their children’s learning (Koonce &
with her daughter about the situation. In addition, Flarper, 2005)" 7,
Mardy would increase the time spent with her Parent training groups are frequently based
daughter doing special things, like going horseback on the premise that parents can learn to help their
children when they are taught by methods that go Sylvia then leads the group in an exercise re-
beyond didactic instruction, like modeling (Carlson lated to the reading, which the group likewise dis-
et al., 2006; Watson & Robinson, 1996). cusses, and assigns a new reading and homework
There are three popular types of parent education assignment. Sylvia attempts to get the group mem-
eroups (Kramer, 1990): parent effectiveness training bers to practice in their homes what they are learn-
(PET) based on the work of Carl Rogers (Gordon, ing in the group and provides motivational support
1970), Adlerian approaches (Carlson et al., 2006; to the parents as they implement what they have
Dinkmeyer & Carlson, 2000; Dinkmeyer & McKay, been learning.
1996; Kottman, 1995), and behavioral approaches Here are some bottom line suggestions for
based on social learning theory (Becker, 1971). working with parents:
These approaches or individual aspects of them can =» Be multiculturally sensitive and competent.
be provided to parents through multiweek parent
programs, monthly parent nights, or through faculties =» Remember that most children do not come
such as a parent resource library (Conroy & Mayer, from a traditional, intact family.
1994). Online approaches to parent education are be- # Avoid judgmental comments about the child
coming increasingly popular. The empirical evidence or the parent/custodian.
related to parent education programs is limited, of = Make the parents active partners in the at-
varying quality, and mixed (Hoard & Shepard,
tempts to change their behavior and their
2005). The empirical research on parent education children’s behavior.
and parent training is limited in scope and quality;
practicing consultants should be cautious in estimating = Atall times give the honest impression of being
competent, caring, and qualified.
parent education’s benefits (Hoard & Shepard, 2005;
Kramer, 1990; Valdez et al., 2005). One ofthe biggest = Use the existing strengths of the child and
challenges faced by consultants is getting parents who parents as the foundation for recommending
need parent education to attend; those who resist may strategies.
need special consideration (Downing & Downing, » Advocate for the child and the parents.
1991). There is some evidence that consultants can
= Find an alternative to consultation if parents are
train parents to conduct parent groups effectively,
unwilling to recognize a problem or are not
thus freeing up the consultant for other activities
willing or able to implenient a problem-solving
(Kottman & Wilborn, 1992). There is trend to de-
community-based individual process.
velop. brief, focused
consulting sessions for interested parents, but more
research is needed (Sommers-Flanagan, 2007). Home-School Collaboration
A Brief Example of Parent Education from an In home-school collaboration, the goal is to create
Adlerian Perspective. Sylvia isa school consultant effective partnerships between school-based profes-
conducting a group ofseven parents that meets once sionals and parents to enhance student learning
& Buerkle, 1999; Minke, 2006).
a week for eight weeks. To teach the Adlerian theory (Christenson
of human behavior as it relates to child-rearing and Home-school collaboration is “the relationship be-
family life—one of her major goals—Sy lvia provides tween families and schools where parents and edu-
each parent with the book Raising a Responsib le Child cators work together to promote the academic
(Dinkmeyer & McKay, 1996), the content of which and social development of children” (Cox, 2005,
forms the basis of the group’s discussio ns. p. 473). Through collaboration, parents are not
on their own, but have the assistance of a trained
During each session, the group discusses the
activities and homework assignments from the pre- professional who is willing to partner with and pro-
vide assistance to their child. School personnel can
vious session, as well as the current reading.
learn detailed information about the child and the involved in extracurricular activities that have
family and engage parents in jointly defined goals. more desirable peer groups. The skills he has
According to Esler et al. (2002), basic considerations learned in the group allows him to relate better to
in home school collaboration include: his peers. Kyrie and Shameika agree to follow up
regularly with each other to monitor Al’s progress.
™ a preventive, problem-solving approach
# both educators and families are critical in so- Cross-Cultural Considerations
cializing learners
When Working with Parents
# broad opportunities for parent participation are
essential Children today are less likely to reside with both bi-
ological parents, and this fact varies significantly by
# building relationships with parents can take
race. There is little research that identifies evidence-
time and effort
based practices for such social situations (Carlson,
In collaborating with parents, school-based 2006). That said, parent involvement is positively
professionals will want to ensure that parents are related to the academic and social success of students
true partners, are viewed as experts on their chil- (Lott & Rogers, 2005). School counselors and psy-
dren, and have responsibility for some of the out- chologists will want to remember that, in our in-
comes related to the goals of collaboration. It is also creasingly diverse society, they will encounter issues
important to keep a solutions-oriented perspective related to cultural and linguistic diversity when
during collaboration to help the parent remain fo- working with parents. In addition, as Jeltova and
cused on behavior change. Fish note: “There is now acknowledgement that par-
ents may be biological, adoptive, step, or foster, that
A Brief Example of Parent Collaboration. they may be single or in a couple, and that they may
Kyrie is a school psychologist who is collaborating be married, divorced, widowed, remarried, or in a
with a parent, Shameika, regarding her child Al. partnership, gay, straight, or transgender” (2005,
Shameika has initiated the collaboration due to p. 18). Culture directly influences the family in a
her concern that Al, a sixth grader, is falling in significant manner (Ortiz & Flanagan, 2002;
with an inappropriate peer group. Kyne and Sheridan, 2000). Cultural issues can amplify the com-
Shameika create a collaboration based on shared plexity of consultation (Brown, 1997; Nastasi, 2006;
responsibility with a solution-based focus. Kyrie Ramirez & Smith, 2007; Soo-Hoo, 1998). For ex-
agrees to invite Al to a group she is forming in ample, consultants will need to remember that some
which the students discuss interpersonal relation- cultural groups view achievement in terms of the
ships with their peers. Shameika agrees to work individual while others view it through group coop-
with Al on broadening the number of extracurric- eration. This difference can impact the way a consul-
ular activities in which he engages, thus setting the tant works with parents about the school-related
stage for new and more appropriate peer relation- issues their child is facing (Diller, 2007). In addition,
ships. Together they develop a plan along with a consultants can work to ensure that schools are re-
timeline. Shameika details for Kyrie some of Al’s sponsive and attentive to removing any barriers non-
behaviors at home to assist her in working with mainstream parents encounter in their attempts to
Al in the group. Kyrie suggests some ways for obtain a quality education for their children, wel-
Shameika to get Al involved in additional extracur- coming their input and active participation. Nastasi
ricular activities in ways that Al would feel he had suggests that the focus for consultants should be on
some say. Kyrie gets Al’s permission to discuss in “empowering parents to navigate the public educa-
general what they talk about in the group. The tion system, (b) effectively integrating cultural con-
two adults communicate regularly over the phone siderations into consultation and_ intervention
on the progress they are making. In time Al gets efforts, and (c) educating both families and school
CHAPTER 12. SCHOOL-BASED CONSULTATION AND COLLABORATION 281
personnel” (2005, pp. 114-115), For example, impact of culture on variables such as these can be
school-based consultants can assist parents in devel- accounted for by doing the following things when
oping relationships with school personnel who consulting (Moseley-Howard, 1995, pp. 343-344):
typically come from the mainstream culture. In an- # Remain aware of the systemic impact upon the
other example, they can focus on nonmainstream child.
students’ strengths, engage in culturally sensitive
= Evaluate the cultural milieu of the child and
communication, and demonstrate a culturally sen-
the degree of acculturation.
sitive understanding and valuing of parents’ coping
strategies in activities such as conducting parent » Evaluate strengths of the culture of origin and
support and empowerment groups (Lott, 2003; its adaptive characteristics.
Lott & Rogers, 2005). = Focus on development/readiness and all aspects
School consultants will be asked to help address of cognitive style.
the developmental needs of an increasing number
= Be aware of characteristics influenced by cul-
of students from culturally diverse backgrounds
ture that may have an impact on assessment and
(Simcox, Nuijens, & Lee, 2006; Tarver Behring &
intervention results.
Ingraham, 1998). By the year 2020, it is estimated
that the number of school-age children that will The interested reader is referred to the following
come from minority groups is over 50 percent. articles on the best practices for considering cultural
There are six dimensions of racial/ethnic variability factors in working with nonmainstream families:
that consultants should be knowledgeable about: general considerations (Lott & Rogers, 2005); gay,
notions of kinship, roles and status, sex-role sociali- lesbian, bisexual, and transgender families (Jeltova &
zation, language, religion/spirituality, and ethnic Fish, 2005); families in poverty (Guishard, Fine,
identity (Lee, 1995). Lee points out that in their Doyle, Jackson, Staten, & Webb, 2005); African
consultative function, school-based _professionals American parents (Koonce & Harper, 2005); bilin-
can bridge potential gaps between the school and gual families (Ochoa & Rhodes, 2005); Latinos
parents through “incorporation of the inherent (La Roche & Shriberg, 2004); and migrant families
strengths of families and communities into the ed- (Clare, Jimenez, & McClendon, 2005).
ucational process” (p. 13) and by promoting the use
of cultural diversity as a way to enhance the sound-
ness of the education of students. Lott and Rogers
(2005) echo these points. Consultants will want to INTERAGENCY
exercise caution in making any kind of generaliza- COLLABORATION
tions regarding any characteristics ofa given culture.
There is diversity within culturally diverse groups
Agencies such as the school, social services, the local
(i.e., individual differences), and these need to be
al., mental health center, the child evaluation center,
taken into account (Nastasi, 2006; Nastasi et
& Smith, 2007). For example, vari- family services organization, and often the family
2000; Ramirez
itself collaborate together to help selected children
ables such as socioeconomic status and geographic families (Bemak, Murphy, &
and their
location influence and shape a family’s values (Ortiz
Kaftenberger, 2005; Staton et al., 2007). The ratio-
& Flanagan, 2002).
nale for interagency collaboration, in the case of
When consulting with parents in cross-cultural
students, is that the social and/or educational pro-
situations, consultants need to consider the impact
academic achievement, blems of a child affect all aspects of his or her life
of culture on children’s
such as the home and school. The shared responsi-
children’s behavior, modes of parental communica-
bility for the case shifts the focus from what the
tion and expectations, and the family system itself
2000; Minke, 2006). The school can do to what the community should do
(Brown, 1997; Maital,
to provide services (Hobbs & Collison, 1995). The of the problems faced by today’s youths and their
shared responsibility necessitates solid agreement on parents suggest that a more collaborative approach
the roles and responsibilities ofindividual collabora- may be in order. “School-linked and school-based
tors. You can imagine the complexity of this programs, with services located either at the school
collaboration effort with different agencies with dif- or in the community, offer a promising model for
ferent mission statements and procedures for pro- service delivery, and collaborative planning be-
viding services. Further, the collaborating profes- tween schools and community has become critical
sionals will want to recognize that their team will to the success of such efforts” (Keys et al., 1995,
have a distinct “personality” that will impact how p. 123). Collaboration has become increasingly pop-
the team will function (Garrett, 1998). ular, as school and community agencies have under-
The need for effective prevention programs stood the fragmentation of at-risk youth services.
serving at-risk youths and their families has increased. Consultants must develop multifaceted programs for
This has involved a shift from single-setting practice at-risk youth and their families because the problems
to school/community-based and -linked inter- faced by these groups are multi-causal and must be
agency service (Bemak et al. 2005; Hodges, solved by addressing a larger context: there is no sin-
Hernandez, & Nesman, 2003; Short & Talley, gle answer to such problems (Cummings et al., 2004;
1999; Swenson et al., 2000). Counselors in school Keysvet al 91998; -Lemiers 1995):
and community settings can be instrumental in de- Although school and community counselors
veloping and maintaining mental health programs for provide case-related services on a regular basis, col-
today’s youth. Because school counselors and school laborative consultation efforts are relatively new.
psychologists have a primary responsibility for ad- These efforts have come about as schools and agen-
dressing the social and personal needs of students, cies have realized that no one person or no one
they are thereby involved in school-community col- organization can solve the complex issues and pro-
laboration (Geroski, Rodgers, & Breen, 1997; Hobbs blems that need to be dealt with; hence service
& Collison, 1995). They will work on interagency integration has been introduced among schools
teams to plan, coordinate, evaluate, and provide di- and agencies. In collaboration there are multiple
rect services to students and their families. In addi- experts who come together to “jointly identify pro-
tion, school-based professionals work with human blems to be addressed . . . to determine strategies
service agency personnel to provide primary and sec- and the role each person plays in implementing
ondary prevention programs in the school or com- these strategies to carry out their roles interdepen-
munity such as those related to bully-proofing the dently, and to monitor progress” (Keys et al., 1998,
school and developing programs for students at risk. p. 124). Both school and community consultants, in
As with other forms of collaboration, interagency order to use collaboration effectively, must see
collaboration requires cultural competence (Staton themselves as connected to a broader community
et al., 2007). For example, school and community (Nastasi, 2005).
consultants working on health and educational issues By ensuring that collaboration services are de-
for migrant families will need to be knowledgeable livered in a timely, efficient, and integrated manner,
about the cultural values of these families (Clare, the consultant encourages collaboration efforts that
Jimenez, McClendon, 2005). School-based person- focus on the healthy development of the child and
nel can function within collaborative teams in his or her family. To deliver services of this level of
capacities such as making interventions at school, quality, the collaborating team needs to ensure
monitoring overall progress at school and home, commitment from all parties, encourage effective
and making suggestions to community-based mental communication, have strong leadership, have an
health professionals. understanding of the culture of the collaborating
Whereas more traditional expert modes of con- agencies, engage in serious preplanning, commit
sultation were adequate in the past, the complexity adequate resources, and minimize turf issues
Johnson, Zorn, Yung Tam, LaMontagne, & difference between the family and the school (Short
Johnson, 2003). & Talley, 1999). When collaborating with parents,
In order to maximize the probability that an ef- every attempt should be made to provide them with
fective plan will be designed and implemented, the maximum input into meaningful participation in the
collaborating professionals will want to meet soon collaboration team’s work with them and their child
after the child and his or her family have been identi- (Friend & Cook, 1996). This type of group consensus
fied as needing services. By having several profes- on how to proceed and follow up can increase the
sionals as well as the family itself involved in planning chances of success. Consistent use of language among
and implementing the interventions that are part of various agencies, even to the point of developing a
the plan, a broad knowledge base is applied to the common brochure describing services, can minimize
plan. On the other hand, it is essential that each col- misunderstanding by parents as well as some school
laborating professional recognizes the philosophical personnel (Ikeda et al., 1996).
orientation, service limitations, and mission of the Interagency collaboration can take time in
other agencies involved as part of the collaborating terms of being out of the school building and the
team (Swenson et al., 2000). By having an awareness amount of necessary paperwork. Ways to minimize
of boundary issues, collaborating professionals can be the constraints of time include rotating team meet-
prepared to implement their “piece of the pie” with- ing sites and using technology to store, retrieve, and
out doing anything counterproductive to the efforts communicate information (Hobbs & Collison,
of other collaborating professionals. These issues 1995). Collaboration involves trade-offs. School
highlight the importance of developing interagency personnel have to give up some power in order
policies that provide for a broad-based and compre- to get the benefits of community responsibility.
hensive delivery system (Breznay, 2001; Quinn & Due to managed care, a trend in interagency
Cumblad, 1994). collaboration includes increased involvement of
The collaborating professionals will usually se- health care service agencies with school and com-
lect a team facilitator, frequently a school counselor munity integrated planning and service provision
or school psychologist who will convene meetings, (Knoff, 1996). When professionals in these settings
ensure documentation of meeting discussions, and look across their settings and circumstances, they
make sure that progress on the individual collabora- will be able to define concerns and generate solu-
tor’s work with the family is discussed during meet- tions in a joint manner (Hellkamp, 1996), often
ings. The team facilitator will make sure that the using strategic planning (Knoff, 1996). Such strate-
plan is made and carried out with adjustments gic planning emphasis will determine who will pro-
made as necessary. Further, the team facilitator has vide services, how they will be provided, and
the responsibility to make sure an evaluation of the whether health care reform will determine the pro-
plan is made and shared. The facilitator has the col- vision of services (e.g., a certain limit on the num-
laborating professionals develop some kind of form ber of sessions a family may have that insurance will
that will enable the team to monitor the plan. For pay for). Further interagency collaboration will
example, the plan will have the following sections: need to consider results-based planning and budget-
the problem identified along with the date of iden- ing systems to ensure for adequate services (Orland,
tification, a description of the goal developed to 1999). School-based professionals will want to be
deal with the problem, a description of the inter- aware of the following trends in interagency collab-
vention used to meet the goal, a notation of which oration: a movement toward providing incentives
collaborating professionals were to do what and by for achieving results, a change in focus from service
when, and a section describing the outcome of the providers to service recipients, and a change from
intervention. supporting projects to supporting changes in the
When working with families, it is important to system (Jehl, 1999). The limited research on inter-
empower the family so that there is nota hierarchical agency consultation suggests that shared physical
space, mechanisms for both formal and informal ing demographics of the student population in our
communication, team coordination, organizational society dictate that school-based professionals will
support, and collaborative decision making all con- encounter such issues in their daily practice. For
tribute to success (Nicholson et al., 2000). example, the use of interpreters can raise issues of
confidentiality in school settings (Lopez, 2000). In
another example, school-based consultants will
need to ensure that assessment and intervention
PRAGMATIC ISSUES practices are culturally appropriate (Castillo,
Quintana, & Zamarripa, 2000).
There are a variety of pragmatic issues that face School-based counselors and psychologists and
school-based psychologists and counselors in their external consultants may have to deal with the eth-
consultation and collaboration activities due to the ical issue of deciding whether to end a consultation
school setting. or collaboration relationship and engage in advo-
cacy roles to ensure that students receive the ser-
vices to which they are entitled (McMahon &
Ethical Issues Pruett, 1998). Counselors and psychologists can
All of the ethical issues discussed in Chapter 7 apply be placed in the predicament of trying to help a
to school-based situations, though two of them take system that truly does not want assistance and, as a
on particular significance in a school setting: confi- result, the students in the system suffer.
dentiality and informed consent (Dougherty,
1992a). As every practicing human service profes- Working with Other School-Based
sional knows, maintaining confidentiality in a school
Professionals
is difficult because there is a tendency in many
schools for personnel to share information about Because there may be several professionals in a
students in inappropriate ways. It is easy to imagine school working to assist the same child, family, or
how breaking teacher confidentiality unnecessarily program, there is the potential for both collabora-
could have disastrous effects. School-based counse- tion and conflict. I am of the opinion that collabo-
lors and psychologists must ensure that the limits to ration is the most desirable way to proceed in such
confidentiality are clearly defined and mutually cases. Idol and Baran (1992) suggest some practical
agreed upon for each consultation and collaboration ways for collaboration to be enhanced and conflict
relationship (Jacob & Hartshorne, 2003). minimized: Consultants should clearly define their
Many school professionals are just becoming roles and responsibilities with one another on an
familiar with their own roles as consultants and col- ongoing basis, adopt a model of consultation/col-
laborators, and the persons with whom they work laboration that all are comfortable with as a com-
such as teachers, administrators, and parents are of- mon ground for working together, attempt to
ten not familiar with exactly what constitutes con- obtain minimum competency in the skills necessary
sultation and collaboration and how they differ for implementing the adopted model of consulta-
(Hughes et al., 1993). Therefore, counselors and tion, and adopt a framework consisting of problem-
psychologists need to explain their services when- solving stages (like those discussed in Chapters 3-6
ever necessary. As an example, time constraints in in this text) to guide the implementation of their
schools often create conditions for very brief infor- model.
mal consultation. Consultants will want to be alert There are many examples of school psycholo-
for ethical issues related to the welfare of the client gists and counselors collaborating with school-based
system and the integrity of the consultation process management teams, student assistance teams (SAT),
(Harnson, 2004). Multicultural issues clearly affect student study teams (SST), teacher assistance teams,
school consultation and collaboration. The chang- multidisciplinary teams, and department- and
grade-level teams (McLoughlin, Kubick, & Lewis, of environmental context. In a systems view of
2002; Paisley & Milsom, 2007; Ross, Powell, & consultation, the student is examined in the context
Elias, 2002). Teams are an increasingly popular out- of school and family units. These units and their
come of school reform including reform aimed at interaction (for example, teacher attitudes, parent
cultural competency (Simcox, Nuyens, & Lee, child-rearing practices, communication patterns be-
2006). Teams allow for many tasks that cannot be tween parents and the school) then become eligible
adequately performed by individuals; the effects of for attention and modification. Individual change
teams are more than the effects of individuals work- can be facilitated when the wider system that di-
ing alone (French & Bell, 1999). Their goal is to rectly interrelates with the student is considered
assist the school and home to meet the educational (French & Bell, 1999).
and behavioral needs of students. To assist teams to Systems theory assumes the school to be the
function effectively, school-based consultants can target for consultation intervention; to consult
work to minimize the barriers that inhibit team ef- with a teacher represents a linear view of the child
fectiveness: unfamiliar tasks, extensive time de- being responsible for negative behavior, and the
mands, procedural complexity, limited intervention teacher for correcting it. This may reinforce in the
resources, and limited administrative support (Doll teacher’s mind that the child, not the system, has
et al., 2005). Further, they will want to ensure that the problem.
teacher input is valued, interventions are well de- One concern is that not all teachers are com-
fined, and the team has some accountability for fortable with systems approaches; some want more
outcomes (Slonski-Fowler & Truscott, 2004). concrete ways of approaching perceived problems.
In addition, many school consultants have not been
trained in systems methods. Finally, the systems
Systems View of the School view typically dictates that the consultant examine
A systems view of schools is a useful framework for the child in interaction with a variety of levels of
understanding the organizational context of consul- the ecosystem such as home, school, and commu-
tation (see Chapter 8). It also allows for a multi- nity, thus complicating the nature of the consulta-
tion relationship (Hoffman et al., 2006; Sheridan,
level service delivery model that can include indi-
viduals, classrooms, and the entire school. System- Welch, & Orme, 1996).
level change demands that all aspects of education
be examined in terms of multiple levels and be Developing a Framework for
based on multiple partnerships among stakeholders Prevention and Intervention
(Manz, 2007). As a result all students receive ser-
vices that match their needs (Hojnoski, 2007). Prevention programs are seeing resurgence 1n
School-based consultants will be increasingly called schools. The idea is to provide a more prevention-
upon to provide system-level services (Conyne & oriented model in addition to the common case
Mazza, 2007; Hojnoski, 2007; Merrell et al., 2006; models we have already learned about (Hojnoski,
Paisley & Milsom, 2007) to assess readiness for 2007). Social and emotional learning (SEL) can pro-
change as well as to encourage and sustain changes vide an integrated framework for programs dealing
(Adelman & Taylor, 2007). The idea is that con- with students’ social, academic, and behavioral needs
LO95;2 9Zins; Bloodworth, Weissberg, &
sultants will use existing structures and processes (Zins
within the school to initiate, maintain, and evaluate Walberg, 2004). SEL assists schools to see that social,
system-level changes (Hoffman et al., 2006; Jeltova emotional, and academic development need to be
& Fish, 2005; Adelman & Taylor, 2007; Taylor & looked at together and are thus all part of the school’s
Dymnicki, 2007). This view allows for issues related responsibility (Manz, 2007). Greenberg et al. (2003)
to student learning and behavior to be viewed note that “school-based prevention and youth devel-
beyond the student and more from the perspective opment interventions are most beneficial when they
simultaneously enhance students’ personal and social among school-aged youth (Jason, Pokorny, Ji, &
assets, as well as improve the quality of the environ- Kunz, 2005). There is a growing body of evidence
ments in which students are educated” (p. 467). that prevention programs can be effective (Metro-
School-based consultants are especially qualified to politan Area Child Study Research Group, 2007).
assist with such prevention efforts (Bramlett et al.,
2002), particularly in ensuring that these programs
Time Constraints
are contextualized to the school in which they are
being placed and that they contain elements that pro- As you might recall from Chapter 8, time con-
mote social and emotional learning (SEL) such as straints are a large and real issue for conducting ef-
communication skills, conflict resolution, and study fective consultation. A limitation of school consul-
habits (Carlson, 2007). Other models include pretation and collaboration is that both take time to do
vention efforts related to responding to traumatizing well (Gottlieb, 2006; Welch, 2000; Wilczynski et
events such as acts of terrorism by working with al., 2000). With increasing accountability in our
schools and families on resiliency training and preschools, there is very little free time at school for
paredness (Alpert & Duckworth Smith, 2003). SEL the people who work there, so it can be difficult for
programs do not yet have a strong research base due counselors and psychologists to engage teachers and
to the complexity of their implementation and mea- administrators in these services, let alone parents
surement (Tanyu, 2007). That said, successful imple- who must often take time off from work to come
mentation of SEL programs require understanding to the school for any reason. The school environ-
that schools are multilevel systems with complex pol- ment encourages engagement in short consultations
icies that support implementation. The consultant and collaborative efforts (Davis, 2005). More re-
must also be aware that human dynamics and cently Caplan and Caplan have stressed the impor-
empowerment are involved (Tanyu, 2007). tance of “orderly and unhurried reflection during
Among the many goals of school-based consul- consultation discussions” (1993, p. 43). On the
tation are the ideas that problems can be prevented other hand, counselors and psychologists need to
by creating and implementing primary prevention find strategies to effectively cope with the very
programs and consultants can effectively work with real time constraints placed upon consultation and
school personnel on preventative goals (Meyers, collaboration during the school day. Effective time
2002). Some research suggests that consultees adapt management on the part of school professionals is
prevention programs to their perceived needs when one obvious help in creating time for consultation
implementing them and that implementation ofin- and collaboration. Recent research has supported
tervention programs is difficult (Larson & Samdal, that collaboration is valued by school personnel
2007). Consultee-centered, program, education/ and that adequate time is found to conduct it
training, and organizational consultation and col- (Welch & Tulbert, 2000). Consultants can likely
laboration are methods to accomplish _ this have more positive impact on the consultation pro-
(Meyers, 2002; Meyers et al., 2004). For example, a cess by using their limited time to observe and assess
school-based consultant may help to develop a the problem and then model and coach, rather than
team of stakeholders to collaborate together in co- by just talking to the consultee (Watson &
ordinating a program related to school attendance. Robinson, 1996) and helping student assistance
In another example, consultants can provide educa- teams run efficiently (Doll et al., 2005).
tion/training consultation regarding mental health Five other strategies include early release/late
promotion, and the public health model to school arrival of students, use of substitutes, teaching strat-
personnel and parents (Nastasi, 2004). In yet an- egies that free up personnel (Friend & Cook, 1996),
other example, a school and community consultants the limited use, of the telephone and/or e-mail
work together on a prevention program involving (Kruger et al., 2001), and videoconferencing or
community members to restrict access to tobacco the telephone (Reese et al., 2006) for accomplish-
ing some of the tasks related to consultation and =" contextual and power influences (e.g., mini-
collaboration, plus the use of group methods as ap- mizing power differentials between the con-
propriate. Another option is to adjust the school sultant and the consultee)
culture so that consultation and collaboration are » hypothesized methods for supporting consultee
seen as systematic, organized activities through and client success (e.g., using consultation
which the school psychologist or school counselor methods matched with the consultee’s style)
provides assistance (Fall, 1995).
Taken together, these dimensions provide a
framework for dealing with the multicultural issues
that arise in consultation. Within this framework,
MULTICULTURAL SCHOOL
consultants take into account both individual differ-
CONSULTATION ences and cultural issues so as not to overemphasize
cultural variables; culture goes beyond characteris-
“Ethnic and linguistic minority children constitute tics such as race and language. For example, this
the most rapidly growing segment of the youth framework helps to avoid intervention paralysis, the
population of the United States. In fact, ethnic mi- inability to determine an intervention due to un-
nority youth now constitute 35 percent of the U.S. certainty in how to select culturally appropriate
public school population and more than 50 percent interventions (Ingraham, 2000). There is some evi-
of the student population in many urban school dence that modifications to traditional consultation
districts 2. (Onimtanayetal2000,< ps 435): approaches when consulting with teachers and par-
These demographic changes that are reflected in ents of culturally diverse backgrounds are impor-
the students in our schools impact the delivery of tant; these modifications may vary by culture
consultation and collaboration (Merrell et al., (Tarver Behring et al., 2000). As Merrell et al.
2006). School-based consultants will increasingly note: We “must adopt practices and service delivery
be called upon to work with school personnel models that reduce bias, meet individual needs, and
and parents to meet the needs of these students. result in better outcomes for all children and their
Multicultural school consultation is an approach to con- families” (2006, p. 59). As one example, more re-
sultation that takes into account how cultural issues search is needed that validates the effectiveness of
affect the consultation process (Ingraham, 2000; parent education and parent training with ethnic
Rogers, 2000). Multicultural consultation is more minorities (Hoard & Shepard, 2005).
a way of looking at consultation than a distinct
model. Ingraham (2000) points out several compo-
nents of multicultural school consultation:
SCHOOL CONSULTATION IN
# domains for consultant learning and develop-
THE 21ST CENTURY
ment (e.g., understanding the cultural context
for consultation)
What trends are occurring in school consultation in
# domains of consultee learning and develop- the first decade of the new millennium? What
ment (e.g., avoiding overemphasis on culture) needs will school personnel and parents calling for
= cultural variations in the consultation constel- assistance from school consultants have? I will next
lation (e.g., taking into account cultural dif- describe some of the ways consultants may be using
ferences among the consultant, consultee, their skills. Merrell et al. (2006) have pointed out
and client system), trends in school psychology (and, in this author’s
opinion, there are similar trends in school counsel- consultants will be involved in projects designed to
ing and school social work) that will impact the promote collegiality in the school, promote social
delivery of school-based consultation and collabo- and emotional learning through prevention programs
ration. Consultation and collaboration will: (Zins et al., 2004), develop programs for students
at risk as academic standards are increased, develop
|. focus more on positively impacting all students
study skills programs, and ensure ‘that the socio-
in additional to those with major concerns;
affective domain is included in any curriculum
nN develop culturally sensitive interventions that planning. Other areas in which consultation and col-
apply to increasing demographic changes in the laboration will be needed include quality assurance,
school population; parent involvement, supporting teacher competence,
3. fe sCrtire
engage in system-level initiatives (e.g building student-focused community networks
school) in addition to those that are individual- (Dwyer& Gorin, 1996), itinerant consultation in early
related; and childhood education (Harris & Klein, 2004), and de-
4. use date-driven decision making to select and veloping peer teacher consultation groups (Blase,
J.,&
evaluate interventions. Blase,J. C., 2006).
The controversy over traditional assessment
The limited use of the telephone and/or e-mail and response to intervention (RTI) (Barnett et al.,
to accomplish some tasks (such as follow-up) is on 2007; Willis & Dumont, 2006) continues and will
the increase. These methods help to save time but influence consultant behavior. RTI developed from
may also have disadvantages when compared to applied behavioral analysis and provides a history of
face-to-face contact. Chapter 7 of this text reviews interventions and their impact. RTI guides problem
some related ethical issues. solving by using “data-based decision making as a
Schools are dramatically expanding their services basis for modifying, titrating, or changing the na-
to prekindergarten children. Public education 1s be- ture of. interventions” (Gresham, 2006, p. 526). In
ing offered to children at risk from birth onward and other words, assessment is seen as needing to be
to all three- and four-year-olds (Fine & Kontos, related to the selection of interventions and their
1992; fHohenshil & Brown, 1991). Theretore evaluation. RTI requires intervention at multiple
school-based consultants will increasingly be asked levels to address both the organization’s and indivi-
to offer services to the significant others of prekinder- duals’ needs (Cowan, 2007).
garten children (Bacon & Dougherty, 1992; The infusion of positive psychology to increase
Sheridan et al., 2006) including interventions related the well-being of the individuals in the school
to response to intervention (RTI) (Barnett et al., through mental health and behavioral consultation
2007). Further, consultants will increase their work is also receiving more attention (Akin-Little, Little
as liaisons between school systems and early child- & Delligatti, 2004; Foster & Lloyd, 2007; Larson &
hood settings (Hojnoski & Missal, 2006). Samdal, 2007; Love, 2007). Consultants will increas-
School-based consultants will help their schools ingly translate the finding ofpositive psychology into
create a positive climate with regard to the school interventions that focus on “what is going right”
reform movement’s continuing impact on public ed- with the client system. In a related initiative, the pos-
ucation (Colbert et al., 2006). As we have noted, itive behavior support (PBS) movement (Barnett et
school-based consultants have increasingly been called al., 2007; Carr, 2007; Hojnoski, 2007; Scott &
on to help schools deal with four major concerns re- Martinek, 2006; Sugai et al., 2000) will continue to
lated to school reform: children at risk, reintegration provide an approach that allows consultants to help
of special students, school-community integration of develop support and interventions (behavioral and/
services, and restructuring of schools (Beck, 1994; or academic) at the individual, classroom or school-
Curtis & Stollar, 2002; Mayer et al., 1993). In addition levels (Cowan, 2007). PBS employs a preventative
to their typical consultation practice, school-based and positive influence approach. Maintaining effec-
CASE 12.1 Consultation for School Consultants‘
Dr. Purdy, a professor of counseling in a southeastern meetings, and Dr. Purdy regularly provided feedback
university, was asked by the principal of a local elemen- to questions, mainly through email.
tary school, Mrs. Abdujaparov, to provide consulting Shortly after the initial meetings began, Dr. Purdy
services. Principal Abdujaparov explained that they asked if he could attend the next full faculty and staff
were just beginning the process of developing a school- meeting where the PBS process was going to be intro-
wide positive behavioral support program (PBS) and duced. During this meeting he took special care to insure
knew that Dr. Purdy had assisted other schools in suc- all faculty and staff that their feedback was welcome and
cessfully implementing like programs. Within the next needed, and that no final approval or implementation
several weeks, Dr. Purdy and the principal met and dis- would take place without their knowledge.
cussed the consulting fee and the team’s tentative As expected, it took a full academic year for all
implementation time line, then arranged suitable aspects PBS to be implemented. Throughout the pro-
regular meeting times for the rest of the academic cess, Dr. Purdy assisted the team in many ways: he col-
year. laborated with team members to determine efficient
Before the first meeting with the PBS leadership ways to implement PBS procedures while keeping all
team, Dr. Purdy researched different aspects of the staff abreast of developments, he wrote brief articles
school, including its geographic location, academic in the school’s monthly newsletter highlighting favor-
status, the percentage of students on free or reduced able outcomes other schools had experienced after es-
lunch, the number of teachers with advanced degrees tablishing their PBS plans, he attended several PTO
and/or national certification, and the last four years of meetings to discuss the benefits of PBS and highlight
disciplinary reports. He also spoke informally with two their progress, and he assisted the team in analyzing
different parents he knew who had children attending the data so problem areas could be addressed. With all
that particular school. procedures in place, Dr. Purdy ended his involvement
In the first meeting, after introducing himself and in the project but assured the team that he was avail-
explaining his experience with PBS, he spent the rest of able for future consulting if needed.
the hour getting to know the team (asking about their
hopes and hesitations regarding implementing PBS), Commentary
and finished the day by taking a tour of the school. In In this example, Dr. Purdy was wise to keep the stake-
subsequent meetings, Dr. Purdy found the team ex- holders abreast of the PBS implementation process
ceptionally spirited and talkative, and they would of- through faculty and PTO meetings and newsletter ar-
ten veer off on tangents about different problem areas ticles because nothing compromises consultation
within the school (i.e., buses, cafeteria). At first, Dr. quicker than to impose one’s expertise on a reluctant
Purdy allowed the team some leeway when they staff. This is not to say that every stakeholder will
strayed from the topic, but as the weeks progressed he welcome changes with open arms; some resistance is to
began speaking up more quickly, often summarizing be expected, but people are much more willing to ac-
the teacher’s complaint and finding ways to integrate cept reorganization when they feel they have had op-
the complaint into the PBS planning process. In time, portunities for providing input into the process. Thus, it
other team members began modeling Dr. Purdy’s style is vital to the success of consultation to make the pro-
of redirecting, and the meetings became more process as transparent and collaborative as possible.
ductive. The majority of the detail work was delegated 1. The author would like to thank Russ Curtis for this case study.
to different team members to be completed between
tive practices is emphasized. Functional behavioral teragency collaboration with regard to transitioning
assessment is often used in PBS. Students receiving students with disabilities to community life (Michaels
PBS learn about themselves, social skills and & Lopez, 2005). This will involve a person-centered,
community-buildingskills. strength-based orientation rather than a deficit-based
Ina related trend, consultants will increasingly be orientation (Smith & Nevin, 2005).
using a community vision that emphasizes fulfillment The multiple issues brought about by high-
rather than a therapeutic vision when working in in- stakes testing, such as teacher burnout, will be
fertile areas for consultation. With the significant focusing on positive psychology (e.g., subjective
rate of turnover in school personnel—as much as well-being) (Seligman & Csikszentmihalyi, 2000),
50 percent of teachers leaving before completing and functioning as part of the support system to
five years of service—and the aging of school fac- keep programs going (Graden, 2004; Greenberg et
ulty members, school-based consultants will in- al., 2003; Meyers et al., 2004; Nastasi, 2004). For
creasingly be called upon to facilitate teacher sup- example, by taking a public health perspective,
port groups through a variety of models including consultants can engage in organizational consulta-
consultee-centered consultation (Babinsky & tion that builds an infrastructure for sustained and
Rogers, 1998). These groups may range from men- institutionalized problem solving (Nastasi, 2004).
toring groups and teacher support groups to burn- School-based consultants are increasingly called
out prevention and stress management groups upon to act as organizational consultants during a
(JJellinek, 1990). disaster, national emergency (Costello, Phelps, &
In their work with prevention programs, Wilczenski, 1994; Halpern & Tramontin, 2007;
school-based consultants will increasingly be in- Studer, 2005), or local crisis (such as violence in
volved in helping to determine research-based the school). School-based consultants help schools
practices, determining program accountability, ad- develop crisis plans. They train and work with tea-
vocating for programs that view the school and its chers, parents, and other mental health colleagues
surrounding community as the unit of change, pro- concerning appropriate crisis intervention, coordi-
viding research-based training programs in preven- nation of the response to the crisis, and engage in
tive techniques for stakeholders, looking at preven- postcrisis debriefing activities.
tion more from a public health perspective,
# As you plan the work in your practice, delib- = Bear in mind the importance of cultural di-
erately take into consideration the very real versity in your practice of school consultation
time constraints that school personnel face. and collaboration.
= Remember that many, if not most, of the stu- =» Remember that schools are among the slowest
dents you will serve will not come from intact of organizations to change.
families.
1. What strikes you as most notable about the 4. To what degree can Adlerian case consultation
history of school-based consultation? be used effectively at the elementary, middle,
2. To what degree do you see organizational and secondary school levels?
consultation as a viable option when consulting 5. Why is the Adlerian C-group a good alternative
with school administrators? to traditional in-service programs for teachers?
3. Do you see any possible pitfalls in consulting 6. Do you think that most school-based consul-
with school administrators who may also be tants are adequately trained in the teaching-
your immediate superiors?
learning process to employ instructional con- What changes are going to impact how school-
sultation effectively? Why? based consultants deliver their services in the
What are some special factors consultants need 21st century?
to take into account when consulting with . To what degree can the mental health and
parents? behavioral models discussed in earlier chapters
Which of the pragmatic issues covered in this be implemented in a school setting?
chapter has the most relevance to your practice
as a consultant?
Ingraham, C. L. (2000). Consultation through a multi- based consultation, including its characteristics, ra-
cultural lens: Multicultural and cross-cultural con- tionale for services, major approaches, and contem-
sultation in schools. School Psychology Review, 29, porary and future issues. Broad in scope, consultants
320-343. This article offers a model of consultation will find a wealth of information in this chapter.
called multicultural school consultation. The article
offers a conceptual framework for multicultural Ortiz, S. O., & Flanagan, D. P. (2002). Best practices in
consultation and makes suggestions for future working with culturally diverse children and fami-
research. lies. In A. Thomas andJ. Grimes (Eds.), Best practices
in school psychology (3 rd ed., pp. 1049-1060).
Gutkin, T. B., and Curtis, M. J. (1999). School-based Washington, DC: National Association of School
consultation theory and practice: The art and sci- Psychologists. This is an excellent article that pro-
ence of indirect service delivery. In C. R. Reynolds vides a wealth of information for consultants who
and T. B. Gutkin (Eds.), The handbook ofschool psy- work with culturally diverse populations. The
chology (3rd ed., pp. 598-637). New York: Wiley. authors apply their views on multicultural helping
This chapter covers a variety of topics on school- to families in a very practical way.
13
3K
Case Study Illustrations of

Consultation and Collaboration
alehe purpose of this chapter is to help you apply theory to practice and obtain
a more realistic picture of what transpires in consultation. It is important to
remember that there are many different ways to carry out these services.
Recall that some approaches deal with the entire organization as the client
(for example, process consultation), whereas some work with consultees who are
delivering direct services to clients (e.g., client-centered case mental health con-
sultation). Therefore, strict comparison among the various approaches to the
three models of consultation and collaboration is not possible because the differ-
ent approaches are used to accomplish different things.
The next section describes a human service organization, Acme Human
Services Center, in terms of its environment, people, structure, and activities.
To demonstrate the many approaches to consultation, we will assume this hu-
man service organization delivers direct services to clients. Assume that, for
each approach, the consultant has all the data mentioned for Acme Human
Services Center, gathered in various ways from various sources. Each approach
to consultation is then applied within this human service organization. Assume
also that the contact persons in the organization know what kind of consultation
is needed. (In reality, this happens only occasionally; thus, the overall context in
which each consultation model is illustrated is somewhat unrealistic. However,
the given illustration of each consultation approach will be very realistic.)
Each approach to consultation is discussed in terms ofits goals, the consultant’s
role and function, the consultee’s experience in consultation, and the application
of the approach. The final case study, a composite of various approaches, illustrates
292
CHAPTER 13 CASE STUDY ILLUSTRATIONS OF CONSULTATION AND COLLABORATION 293
how the ideas, goals, concepts, and techniques from organizational consultation. Imagine further that you
various approaches can be synthesized and applied are called into a human service organization and
by a consultant in a given setting. asked to perform, in turn, each approach to
After we finish the Acme case studies, we will consultation. You would be asked to perform
compare school-based consultation and collabora- the client-centered case, consultee-centered case,
tion by using transcripts of two very similar cases. program-centered administrative, and consultee-
You will have to read these two transcripts very centered administrative approaches to mental health
carefully to detect the more-or-less subtle differ- consultation. You would next be asked to provide
ences in the processes involved in these services. I the behavioral case, behavioral technology training,
have deliberately chosen the situation for consulta- and behavioral system approaches to behavioral
tion and collaboration so that you can quickly de- consultation. You would then be asked to per-
velop an appreciation for similarities and differences form the education/training, program, doctor—
through comparing and contrasting the same case. patient, and process approaches to organizational
As you read the chapter, I suggest you remem- consultation.
ber the following: Finally, you would need to ask yourself several
= ‘There are several ways to go about expertly questions before proceeding with each approach:
performing each approach to consultation and # What assumptions do I need to make according
collaboration. to the approach I am about to use?
= Most of the approaches are highly flexible with =» What are the goals of the approach I am about
regard to how consultation and collaboration to use?
might proceed.
a What consultant roles and functions will be
Consider the following questions as you read demanded of me?
through this chapter: =» What will my consultees experience during the

consultation process?
# Are the various approaches to consultation and
collaboration more alike than they are s In specific terms, how will I go about applying
different? this particular approach?
= Based on the case studies in this chapter, are Illustrations of each approach to consultation or
there any skills that consultants need that are collaboration in more or less the same context can
common to all the approaches discussed?
provide you several learning experiences, including:
# How can you use this chapter to help you
develop your own personal model of consul- = a real-life feel for how the approaches work
tation and collaboration? u a deeper understanding of how the approaches
converge and diverge in theory and practice
a Which of the different models seem most at-
tractive to you personally? = an opportunity to begin developing personal
preferences for some approaches over others
# In what ways would you apply the approaches
presented in this chapter differently than the In addition, the studies are a basis for forming
author did?
your own personal model of consultation and collab-
Assume that you are equally talented in each oration, a lifelong process of development based on
of the approaches to mental health, behavioral, and your professional and personal experiences. The keys
to a useful personal model of these services are tice, and a local community mental health center
fourfold: that has been in existence for 20 years and has re-
cently been told to divest itself of direct service
1. Know your own values about life in general programs. The Center has a professional staff of
and these services in particular. 15: one psychiatrist, one nurse, two doctoral-level
i.) Know your personal and professional strengths psychologists, two doctoral-level counselors, two
and limitations. master’s-level school psychologists, two master’s-
3. Know and be able to practice as many ap- level counselors, two master’s-level clinical psy-
proaches to consultation and collaboration as chologists, and three master’s-level social workers.
possible. Two clerical staff members and one mental health
technician also work there.
4. Know what the organizations you are serving
To provide community-based services, the
really need from you before you start.
Center offers a variety of outpatient programs. Its
clients are referred by schools, physicians, juvenile
and adult court systems, the social services depart-
THE CASE: ACME HUMAN
ment, and occasionally the local mental health cen-
SERVICES CENTER ter. The basic realm ofservices is divided into several
categories, including adult mental health services,
A Description of the Organization child and adolescent mental health — services,
Acme Human Services Center is a private institu- substance-abuse services, community consultation
tion that provides a variety of counseling and psy- services, and employee assistance program services.
chological services in a wide portion of a rural Plans for providing mental retardation services and
southeastern state. The Center is located in a city positive behavioral support consultation are being
with a population of 90,000 and provides services considered.
to many of the small surrounding communities. The Center has no written mission statement.
The population base is 70 percent white, 20 percent Its founder, a psychiatrist, feels that its mission is to
African American, and 10 percent other minorities, help citizens develop and maintain an adequate
including Latinos and Asian Americans. Textiles, level of social and personal well-being and dignity.
furniture manufacturing, automobile assembly, and Dramatic growth over the past four years due to the
agriculture are the main industries of the area, addition of the substance abuse and employee assis-
which has been labeled economically depressed. tance programs has led to a doubling of the orga-
There is a high unemployment rate and a moderate nization’s income and the hiring of five additional
crime rate. Referendums for civic improvements staff during that time. }
such as schools and recreation centers are continu-
ally voted down by the populace. A four-year uni-
THE ORGANIZATION’S
versity in the area provides a variety of cultural,
recreational, and social events. The casual observer PROBLEMS
would note the presence of modern churches,
parks, music and drama organizations, and library When the director of the organization last reviewed
facilities. its progress, he listed problems that had emerged so
In competition with the Center, which has that steps could be taken to solve them. He thought
been in operation for 10 years under the same di- that such a procedure would help the organization
rector, are two other small private practice corpora- maintain and perhaps enhance its financial position.
tions, a small number of individuals in private prac- As he reflected on the past four years, he listed the
following problems: leadership in an increasingly complex organization

called for a review of how decisions are made and
# an increase in referrals of cocaine-related sub-
what other possibilities existed, and thus a process form
stance abusers with no true “experts” on the
of organizational consultation seemed appropriate.
staff to handle them
Because program heads were increasingly taxed
# a lack of knowledge about how to evaluate the with other duties, they had little time to consult with
effectiveness of the employee assistance the psychologists, counselors, and social workers
programs who provided direct services to clients; client-
=" increasing concern over the deteriorating rela- centered and possibly consultee-centered case
tionship between the staffs of the child and mental health consultation seemed correct for this
adolescent program and the adult program problem. The lack of definite direction in the
substance-abuse program called for either program-
= too much of the decision-making responsibility
centered administrative or consultee-centered pro-
in the hands of one leader for an increasingly
gram mental health consultation. The increasing
complex organization
number of requests from schools for assistance in
# insufficient time for program heads to consult classroom management techniques and school vio-
on cases lence reduction required training the agency’s staff,
# a lack of definite direction in the substance so behavioral technology training consultation was
abuse program needed. Each program could formulate its own
specific goals and objectives with the assistance of
= an increase in the number of “acting out”
behavioral system consultation. Finally, the increas-
adolescents as clients
ing number of “acting out” adolescents clearly re-
= an increase in requests from schools for assis- quired behavioral case consultation.
tance in classroom management techniques
= the need for each program to clarify its own
specific goals and objectives Existing Data on the Organization
= a growing concern over staff morale in general The organization’s internal environment is frantically
paced: everyone seems so busy that there 1s little time
Although the agency director knew that he had for social interaction at work. Office doors remain
a few staff people who could function as internal closed during the day, even when clients are not be-
consultants, he felt that objectivity was at a pre- ing seen. Paperwork appears to be backlogged in
mium and thus decided to seek outside consultation spite of computer-assisted office support and elec-
for each of the problem areas. The director, himself tronic databases. A trained observer would label the
a well-known consultant, was easily able to identify environment as unstable and heterogeneous.
an effective type of consultation that would be The organization’s personnel are cordial with
likely to solve each problem. one another, yet relationships tend to be superficial.
Because the staff had no true experts in cocaine- Efficiency and productivity are high but come at a
related substance abuse, an education/training organi- price, for little discussion occurs relative to the di-
zational consultation was selected. The inability to rection the Center should take. Although personnel
evaluate the employee assistance programs could be feel secure about their jobs, it is evident that morale
resolved through program evaluation consultation. and a sense of teamwork are declining. The com-
Because the deterioration ofthe relationships between petition between the child and adolescent program
the two staffs was a mystery as far as the director was and the adult program has caused some intense (but
concerned, a doctor-patient type of organizational suppressed) negative feelings between some pro-
consultation was in order. The centralization of gram members.
The organization is bureaucratic: The Center model previously discussed. You can also assume that
director makes all decisions and only infrequently the consultant proceeds in the same sequence as the
consults with program directors. Lines of commu- generic model. Thus, a good working relationship is
nication follow a vertical chain of command, and established, a problem defined, a contract agreed
thus the ideas of many of the therapists are not upon, and entry accomplished. For the sake of brev-
solicited. Employees were hired for specific pur- ity, I do not describe these basics ofeffective consul-
poses and are,to work only to achieve those tation behavior in each illustration. Rather, I attempt
purposes. The rules of the organization, although to provide the essence of each approach so that you
explicitly stated in a manual, are never discussed. can make appropriate comparisons and contrasts.
The director keeps a complete but disorganized
set of records.
Change occurs at the Center in a “top-down”
Mental Health Consultation
fashion. Typically, members are informed of
changes through memoranda, although the nature Client-Centered Case Approach. Clhient-
of changes is described without any rationale. centered case consultation does not deal with issues
Clearly there is the assumption that each change residing within the consultee. Rather, the contract
will be acceptable and willingly carried out without specifies that I, as a mental health consultant, exam-
discussion. ine the consultee’s client concerning some profes-
The Center does not place adequate emphasis sional matter and write a report that includes
on the personal or professional growth ofits staff. It recommendations. I operate in a fashion analogous
assumes that talented people have been hired and to the doctor-patient approach to organizational
that they will take care of their own professional consultation, except that the diagnosis and prescrip-
and personal needs. No attempts are made to in- tion are based on data concerning a client, not some
clude employees in the emotional “ownership” of aspect of the organization.
the Center. An environment that nurtures em- My focus is on the client, and my aim is to advise
ployee growth is lacking, and networking is not the consultee on how to “fix” some problem con-
used as a supplement to the director’s leadership. cerning the client under consideration. | examine the
As a whole, the organization is in trouble. client, make some form ofassessment and diagnosis,
Although the Center is growing rapidly in response and provide the consultee with a report containing
to the demand for diversified services, it is run as if suggestions and recommendations to help the client.
it were still a small operation with a simple mission. I spend very little time with the consultee.
The organization 1s still doing what it does well, but A counselor from the Center seeks my help in
the price it is paying has alerted the director to the determining how to go about getting a mother and
need for consultation. teenage daughter to communicate openly during
their counseling sessions. I function as an expert in
parent—child interactions and use my expertise in di-
THE APPROACHES TO agnosing the causes oftoxic relationships and in pre-
scribing remedies for improving them. The coun-
CONSULTATION AND
selor is to provide me with as much pertinent
COLLABORATION information as possible regarding the difficulties the
clients are having in communicating with each other
In each of the approaches illustrated in this section, in general and in the counseling sessions in particular.
you can assume that the consultant engages in all the She gathers additional information on the client’s
appropriate behaviors expected of a highly profes- family and relates it to me, and she is responsible for
sional, competent consultant. Most approaches to reading my report and determining whether to im-
consultation adhere to some version of the generic plement the recommendations I make.
I meet with the counselor for one session at the primary goal is to improve the ability of my con-
Center, during which I build a relationship with sultee to work more effectively with the current
her and get a feel for her perceptions of the parti- client and with similar clients in the future. I am
culars of the work-related problem. I assess her gen- retained as a consultant because no one at the
eral abilities as she discusses the case. As I consider Center has sufficient time for routine consultation.
the strengths and weaknesses of the Center, I come I am available to all staff. The case at hand involves
to the realization that my consultee is likely to get a psychologist with a female client who, in the
very little individual or group supervision on this words of the psychologist, “has a lot of anger inside
case because of the very busy state of affairs at the of her that she needs to express.” As I listen, I de-
Center. I realize that I need to devise a plan that is velop a strong hunch that some of the unresolved
short term and well within the counselor’s level of needs of the consultee are blocking his effectiveness
expertise. My assessment is that she is a talented in the case. I play the roles of detective, expert, and
professional but has had relatively little experience educator in this approach to mental health consul-
in helping parents and children work through com- tation. I determine what emotional and cognitive
munication — difficulties during the counseling factors within the consultee are blocking progress in
process. the case and give the consultee specific information
Next I interview the mother and daughter, first he can use to help the client.
together and then separately. My talk with the While discussing the case, the consultee men-
mother reveals that she had found out about and tions how much anger the client has and how im-
told her husband about a sexual experience of their portant it is for the client to deal with that anger.
daughter. I pursue this topic in terms of the current He discusses the case with some emotion, even a
state of affairs in the mother-daughter relationship. sense of desperation. He knows that I am going to
Based on all the information I have gathered, | make some recommendation to him, but he seems
write up a report for the counselor and discuss it driven to convince me that I should recommend
with her at our final meeting. After telling her that that anger be the central focus of the therapy.
she is under no obligation to follow through on my As a matter ofprocedure, I do not interview or
recommendations, I proceed to share them with examine the client, but proceed by listening to my
her. I suggest that she see the mother and daughter consultee’s subjective view ofthe case. I determine
on an individual basis for two or three sessions to that he is suffering from a lack of professional ob-
get to know each of them better and to develop a jectivity and that there is little available supervisory
more trusting relationship with each. This would assistance from members of the Center. In deciding
create the conditions that enable the mother and to make some interventions designed to help the
daughter to communicate more effectively in sub- consultee regain more professional objectivity, I
sequent sessions together. I also suggest that she ask him specific, detailed questions about the cli-
utilize a nondirective counseling style for the pur- ent’s anger and the therapy interventions that
pose of enhancing the relationship between the have been used thus far, since I’m more interested
mother and daughter. These recommendations are in his version of the case than I am in the actual
well within the professional competencies of the facts. ’'m hoping that by discussing the client’s need
counselor and have a high probability of being suc- to express anger, the consultee will develop a
cessful. No special training is necessary, nor were broader, more objective perspective on the case.
there any increased demands for supervision. As a I determine that theme interference is causing
final step, I arrange for a follow-up session in about the lack of objectivity. It is as if the consultee is
six weeks. saying, “Unless she deals with the repressed anger
in our therapy sessions, we will never make progress
Consultee-Centered Case Approach. In apply- in therapy.” He cannot see that there are several
ing consultee-centered case consultation, my ways to help the client besides helping her get in
touch with and express her anger. I attempt to use the organization as possible, respond openly to my
theme interference reduction through a combina- questions, and then develop a list of their reasons
tion of techniques. why the substance abuse program has a lack of di-
First, I keep the discussion on the client and rection. Finally, they wish me good luck and let me
remain calm in discussing the case. In addition, I know that they are available any time I have ques-
remain very calm and objective about my relation- tions or need anything. They realize that they will
ship with the consultee. Finally, I tell him a parable have limited contact with me. The program con-
about a former client of mine who was similar to cerns treatment, not prevention.
his. The chent in my story never dealt with her In concentrating on management and giving
repressed anger but still benefited tremendously some attention to program accomplishments, I ex-
from therapy. As I discuss the story, I notice a sense amine agency records on unemployment rates, ar-
of reduced tension in the consultee about the case. rests for drug use and possession, and substance-use
He seems more objective and hopeful, and I close driving offenses. I interview key staff and adminis-
the session by calmly scheduling a follow-up meet- trators and find out that no one uses the informa-
ing. I express continued hopefulness and interest in tion. Further, there are no records on the types of
the progress of the case. substances clients are abusing. No outcomes are re-
corded as a part of the program’s objectives.
Program-Centered Administrative Counselors and therapists in the program see clients
as part of their caseloads but have little input into
Approach the overall workings of the program.
When applying program-centered administrative I proceed through the stages of formulating a
consultation, I work with the Center’s director simplistic solution, first becoming very confused
and the head of the substance-abuse program, about the entire situation and then getting a firm
both of whom want to develop a sense of direction grasp of the consultation problem. Based on this
for the program. My specific goal is to help them information, I develop a set of tentative recommen-
develop that sense of direction and therefore fix the dations, which I feed back to all parties involved
program. My general goals are to enhance the over- irrespective of their ranks within the organization.
all functioning of the program and increase the pro- Based on the reactions I get, I modify those recom-
gram development skills of the director and the mendations. The final list of recommendations
program head. looks something like this:
My role is that of an expert familiar with
» Use available data to determine community
substance-abuse programs and how they operate. I
needs relative to substance abuse and, based on
collect information on the program and how it
current staff, modify the program.
works, analyze that information, and recommend
some solutions. I use my expertise in organizational # Set objectives and develop a philosophy for the
theory to determine how to collect the information program.
I need. My consultees discuss with me why they s Point out that alcohol and cocaine abuse are on
hired me in the first place and what they think the rise in the community and that treatment of
they want from consultation. They point out these illnesses could become the central focus
some of the organization’s idiosyncrasies and make of the program.
suggestions about which staff I should contact in
=" Keep detailed databases that include the records
gathering information on the program.
The administrators help me develop a timetable of the contacts personnel have with substance-
abuse cases.
for consultation and the methods by which they
will sanction my work throughout the Center. These recommendations and the report that
They provide me with as much information about contains them are distributed to the appropriate
people at the Center. It is up to the director to helper, not a threat to their security. I am careful to
determine if and how my recommendations are to build trusting relationships not only with the director
be implemented. I then set up a follow-up session and program head, but also with all members of the
to occur six months from the date of the report’s program. The consultees know that their skills will be
distribution. enhanced by gathering and discussing the data; I
therefore get them to uncover what is needed to
Consultee-Centered Administrative
give the program a sense of direction. I help them
use group meetings, interviews, and questionnaires
Approach as data collection devices and then help them discuss
As a consultant applying consultee-centered admin- the data in meetings involving the entire program
istrative consultation, I am involved in the most staff. As the consultees discuss the information, I no-
complex and demanding type of mental health tice that they incorrectly think they know what is
consultation. I am asked to work with the director happening in the program and where it is going. In
and the head of the substance-abuse program re- helping them be more objective in analyzing the
garding the program’s lack of direction. The differ- data, I point out some key factors: there is no philos-
ence between this consultation and the example ophy surrounding the program, and there are no
just described under program-centered mental written objectives and goals. My observations in-
health consultation is that its main goal is to en- crease their objectivity. In being very patient and in
hance the consultee’s program development and trying not to force my ideas on them, I take a rela-
maintenance skills, and its secondary goal is to 1m- tively nondirective stance and ask them what they
prove specific programs. think various kinds of data mean.
My role is that of both expert and facilitator. I Through my efforts the director and program
expect consultation to take a long time because I head realize that if the substance-abuse program had
involve the consultees in every step along the way a well-defined sense of direction complete with
to help them improve their skills in developing philosophy, goals, objectives, plus a strategic plan
plans and strategies related to the successful running for the next five years, then a great deal of stress
of the substance-abuse program. I need the skills of would be alleviated for all the parties involved.
knowing about organizations, how they are best The director then appoints the head of the
managed, and how they change for the better. I substance-abuse program to head a committee
charged with developing such direction. It consists
also need the skill of “reading” an organization to
entirely of substance-abuse program employees,
pinpoint possible problem areas. | move about the
who are paid an honorarium beyond their normal
Center as if iwere a member and try to understand
salaries for their work. I agree to help the program
it from the employees’ perspective. Because my role
head run this committee and to help him try out
is complex, I need to make sure that the adminis-
new leadership styles and techniques as the com-
trator lets everyone involved know precisely what
mittee attempts to fulfill its charge.
my role is to be.
The director and program head are involved
with me as much as possible in this collaborative Ecological Perspective. In using the ecological
effort. They lay the groundwork for my presence perspective to mental health consultation, I employ
within the organization and provide the necessary a preventative approach. My “client” is Acme itself—
a unique institution and not “just another human
sanctions. They arrange times for me to meet with
everyone involved in, the substance-abuse program service center.” Therefore, my first task is to become
so that I can present my findings. very familiar with the internal environment at Acme
As I begin to “float” through the Center, I make and with the community surrounding it. | examine
sure that no one regards me as a “spy” for the direc- the history of Acme’s development in the commu-
tor. | want everyone in the program to see me as a nity and review its orientation procedures for new
staffand how people are acknowledged on an every- nology and its application to counseling/therapy. |
day basis. keep that role of expert throughout the consultation
My interventions are aimed at helping the or- process, although I collaborate whenever possible
ganization develop long-term adaptive processes so with the consultee. Although I control the process
it can continue to flourish as its external and inter- of consultation, the consultee determines the best
nal environments change. I empower the staff to course of action to take in regard to the case. I pro-
help one another and scan the entire organization vide knowledge concerning the learning principles
for the resources (that is, people, events, and places) related to phobias about flying and make sure that
that are over- and underused. I believe that the all the stages of the consultation process are success-
power for change resides in the consultees, so, as I fully accomplished.
build strong collaborative relationships with all the As my link to the client, the consultee provides
staff, I try to develop strong relationships with the me with as much specific information as possible
consultees and make special note of their strengths. concerning the case. I lead her through the stages
Though the staff feel well paid and professionally of problem identification, problem analysis, plan
appreciated, the interviews with selected staff mem- implementation, and problem evaluation. We ver-
bers reveal a conflict between two teams and a gen- ify that a phobia about flying in airplanes exists and
eral concern over not having any voice in how the determine that the client does not possess “free
Center should be run. I help the members set up a floating” anxiety, but only a few situation-specific
network of effective communication in which they anxieties. Our goal is to have the client actually ride
can support and act as resources for each other. I also in an airplane with minimal anxiety, and we deter-
suggest that the director establish work groups to en- mune that this can be easily measured by having the
hance staff “ownership” of what goes on in the client use a checklist during the flight and by inter-
Center. I encourage the staff to develop special mittently taking his pulse rate.
events at work that are not work related, such as [illustrate how the process ofclassical condition-
“birthday breaks” and fun “bull sessions.” Finally, I ing has ‘probably occurred and created the client’s
help develop a procedure for a community advisory phobia. The consultee and I then examine how this
group and an internal professional development conditioning maintains the client’s phobia. Next, we
group. My written report to the director (with a plan how the consultee will use systematic desensiti-
copy to each staff member) summarizes the elements zation with the client. Because the consultee does not
and findings of the consultation and schedules two know the procedure, I train her and monitor her
follow-up sessions three and six months later. handling of the case. I show her how to apply the
general technique to the specific needs of the client
by helping her develop a personalized strategy. I give
Behavioral Consultation her some books and videotapes so that she can do
some independent studying. I role-play systematic
Case Approach. As in client-centered case mental
desensitization procedures with her, taking the role
health consultation, my main objective in behavioral
of her client. We design an evaluation that includes
case consultation is to assist the consultee with a
not only the successful completion of the desensiti-
work-related problem in a given case. The difference
zation strategy, but also whether the client actually
between the two approaches is that in behavioral case
flies in an airplane with acceptable levels of anxiety.
consultation my work is within a behavioral frame-
We then arrange for a follow-up session in three
work. I work as a consultant in the Center and am
months. When she feels ready, the consultee prepares
available one day a week. My consultee is a master’s
to follow through on what she has learned.
level social worker at the Center whose client is a
schoolteacher who wants to overcome his fear of Behavioral Technology Training Approach.
flying in airplanes. I am an expert in behavioral tech- When I consult from a behavioral technology
training approach, I focus on enhancing my con- I evaluate the training in several ways, first with
sultees’ general and/or specific skills in this area. a questionnaire that reveals attitudes toward the
The Center, particularly the child and adolescent training itself and then with a test that has the con-
program, was receiving more and more requests sultees state specifically what they have learned and
for classroom management strategies and school vi- their attitudes toward their newly acquired knowl-
olence reduction strategies from the local school edge and skills. A very important part of the evalu-
system. None of the staff had professional experi- ation comes six months later, when I observe the
ence with schools, but most had good general be- staff consult with teachers on classroom manage-
havioral technology skills. Because of my expertise ment procedures derived from behavioral technol-
in behavioral technology and my many years of ogy. At that time, I assess the degree to which they
working with school systems in such training, I have transferred their knowledge and skills to actual
was retained to train the entire staff of the child school settings and how effectively they use those
and adolescent program in behavioral classroom skills.
management skills and in school violence reduction
procedures. Behavioral System Approach. My goal in this
My goal is to increase the consultees’ skills in approach is to enhance the efficiency and effective-
classroom management techniques so that they in ness of the Center in terms of its stated function.
turn can use behavior technology with schooltea- The director invites me to “take a look at the
chers concerned with classroom management and Center” and then make some recommendations.
school violence. I make sure that the consultees He notes that the Center is growing very rapidly
have enough accurate information concerning class- and that its affairs are in a constant state of disarray.
room management behavioral technology, have de- As an expert in behavioral technology and sys-
veloped related competencies, and have a positive tems theory, I accomplish my goals by collabora-
attitude toward the use ofthese skills. The consultees tively guiding the director and program heads
should learn as best they can, integrate their knowl- through defining and assessing the system, making
edge about behavioral technology approaches to selected interventions, and evaluating the effects. I
classroom management into their consultation skills, use behavioral technology to help the organization
and attempt to create a positive attitude toward the function more efficiently.
use of behavioral technology in the classroom. Asjoint collaborators, the consultees determine
Based on input from all the parties involved, what is to be done in consultation and how the
including school personnel, I develop and imple- results of consultation will be used. To accomplish
ment a training plan using lectures, modeling, be- this, they provide me with as much accurate infor-
havioral rehearsal, feedback, and reinforcement as mation as they can. As the change agents within the
my primary tools. Modeling followed by rehearsal Center, they have both the power and perspective
and practice with feedback are stressed so that the to accomplish the goals of consultation.
consultee is able to perform the required skills well. I proceed by helping the consultees define the
I go to great lengths to demythologize behavior Center in terms of its structure and activities. We
modification in the classroom and provide rules of observe what goes on in the everyday routine for a
thumb for proceeding with classroom management week, share our perceptions, and come to a con-
procedures, such as conducting observations and sensus. Once we have characterized the Center
establishing token economies and “time-out” adequately, we are ready to assess it. We design
procedures. I have the Center’s director announce questionnaires and arrange to observe the various
specifically why this training is important to the subsystems to evaluate the overall system. We try
consultees and the Center; he also comments on to answer the question, “What are the effects of the
the types of rewards the consultees can expect Center’s structure and activities on the behavior of
from participation in the training. its members?” The major answer we obtain is that
there is lack of direction among the members be- they need some assistance in working with cocaine
cause there are no defined goals and objectives for abusers and are highly involved in the entire con-
the various programs the Center offers. The consultation process.
sultees and I determine that the highest priority My first step is to conduct a needs assessment of
must be given to having each program develop, the consultees to make sure that they perceive a
spell out, and adhere to a set of behavioral goals need for education and training in cocaine abuse.
and objectives. We next set behavioral outcome Furthermore, I want to assess what they know and
goals that include what is to be accomplished, can already do in relation to working with cocaine
when, by whom, and under what conditions. abusers; I also want to determine what they must
Criteria are set up to assess the quality of these learn in order to work more effectively. I construct
goals, which are then evaluated. I suggest that the a questionnaire to acquire this information and hold
various programs modify their activities and struc- a brief meeting with each consultee. I then hold
ture to coincide with their newly written behav- one meeting with the entire group to determine
ioral goals and objectives. The consultees agree. whether the information I received from them ac-
We then develop an evaluation to determine how curately reflects their perceptions of their needs.
well each program behaves according to its specific I plan the education/training based on the re-
goals and objectives. I arrange for a follow-up in six sults of the needs assessment, which indicates that
months to help the consultees discuss these evalua- the staff requires information and training in diag-
tions and make appropriate adjustments. nosing cocaine abuse, particularly in determining
patterns of pathological use, impairments of social
and occupational functioning related to its use, du-
Organizational Consultation
ration of the disturbance, and the probability of
Education/Training Approach. As I consult relapse into abuse. Utilizing the principles of adult
with Acme Human Services Center within the ed- learning, I assume that the participants are self-
ucation/training framework, I attempt to enhance directing, can discuss many of their own experi-
the overall effectiveness of the organization by im- ences pertinent to the topic, and are ready to learn.
proving the professional effectiveness of the mem- For the primary tools of consultation, I plan a series
bers of the substance-abuse program with respect of activities around the expressed needs of the con-
to cocaine-related substance-abuse counseling. I as- sultees: lectures with audiovisual aids, several small
sume that a blend of didactic and experiential learn- group discussions, modeling and practice of diag-
ing is the best approach. The members of the nostic skills related to cocaine abuse, and feedback.
substance-abuse team would probably need infor- I determine that four sessions of two hours each are
mation related to cocaine abuse and some skills in needed to accomplish the goals of consultation.
working with drug abusers. As | implement the education/training consul-
As a consultant using this approach, I function tation, I create a climate of mutual respect and am
as an expert technological advisor, teacher, and particularly careful not to “speak down” to the
trainer. Because I “realize that’ the ‘staff of ‘the consultees or flaunt my knowledge of cocaine
substance-abuse program is small and consists of abuse. I am very open about what I know and
skilled professionals, I tailor my consultation to their don’t know about the topic and about my experi-
specific needs and am quite specific in the education ences in working with cocaine abusers.
and training I provide them. Dunng the course of consultation, I include
The role of the consultees is that of learners. some of my own successes and failures with cocaine
They have all volunteered for the consultation abusers. I remain flexible, keep a professional yet
and meet my expectations that they will be inter- light atmosphere, and use humor when appropriate.
ested and cooperative learners and will invest them- I provide a great deal of time for practice of the
selves in the consultation process. They realize that skills required by the consultees, particularly during
the last two sessions. In evaluating the education evaluation will be used for modifying the programs
and training, I use pre- and post-intervention ques- (if necessary) and for running the program on a day-
tionnaires on the consultees’ knowledge of cocaine to-day basis.
abuse and behavioral checklists to determine their After preparing the program evaluation design,
levels of functioning in applying their newly ac- I collect some of the data and have consultees col-
quired skills. | have them evaluate the consultation lect the rest. To evaluate the goals of the employee
in terms of its effect, adequacy, and value. Finally, | assistance program, data is collected on how many
arrange for a follow-up meeting in 60 days to assess clients are served, the effects of the services for
the impact of the training and iron out any antici- them, attitudes of clients and providers toward the
pated problems. program, and attitudes of members of the organiza-
tions in which employee assistance programs are
Program Approach. As a consultant with a pro- provided (including those who did not partake of
gram orientation, I am very much interested in the services). We collected this data by using ques-
working with the Acme Human Services Center tionnaires and surveys, observing the programs (but
in evaluating the relative success of its employee not the direct delivery of services to clients), con-
assistance programs. The goal of a program evalua- ducting interviews of a few randomly selected vol-
tion consultation is to improve current decision unteer service providers and clients, and examining
making about how a program should function. | the program’s records on the number of clients for
have been hired to answer the question, “To the various services offered and the duration of
what degree are the goals of the employee assistance those services.
program being met?” In addition, I have been re- After collecting the data, I analyze them, bear-
tained to assist the Center director and the program ing in mind the four standards of proper evaluation:
heads to be more effective program evaluators in accuracy, utility, feasibility, and propriety. I keep all
their own night. the appropriate parties involved and apprised of my
My role is that of technological expert in pro- findings as they emerge. My findings indicate that
gram evaluation. I attempt to provide accurate, only 3 percent of the employees use the employee
timely, and useful information to the director and assistance program for an average of three contacts.
program heads. I use as much of a collaborative Reasons for this scant participation are the stigma of
approach as the skills of the consultees permit. I being seen going to a counselor at work and fear
meet with the consultees to review the goals of that confidentiality will somehow be broken.
the employee assistance program, develop a possible Attitudes of clients and service providers are quite
program evaluation design, and present it to the positive in terms of the perceived effectiveness of
consultees for their feedback. I then obtain their the services provided.
feedback and redesign the evaluation accordingly. Nonusers of the program indicate that they
Much of my time is spent in preparing and planning would be more likely to participate if services
the evaluation design. were provided at the Center, not at the work site,
The consultees provide me with as much infor- and if the program did not have a reputation for
mation as possible about the program, for such serving only substance abusers. Intervention mea-
information will be needed when I design the eval- sures that counselors took with their clients resulted
uation. I spend a lot of time with the consultees to in positive gains by the clients.
become very familiar with the program and ask the My final task is to present this data to the di-
director to give the head of the employee assistance rector and program head. I suggest that all person-
program a great deal of time so that she will feel nel involved in the program be present at a “feed-
free to cooperate. I also discuss with the director back meeting,” in which I outline the results of the
what he intends to do with the results of the evaluation and facilitate a planning session based on
program evaluation. His reply indicates that my the evaluation. At that meeting, I use graphics to
explain the evaluation and what the data mean. I them. I attempt to create conditions in which they
avoid jargon but take care not to appear can provide truthful, complete information, and so I
condescending. ensure that they understand and are willing to imple-
I then facilitate a planning session in which ment my solution. I gather data about the organiza-
plans are made to publicize the program more thor- tion’s purpose, structure, internal relationships, lead-
oughly and promote it as a positive growth experi- ership, and program for rewards. I gather this data by
ence for the participants. Plans are also made to interviewing each member of each program about
permit the employees the option of coming to their program and their perceptions of the other pro-
the Center for services. I then summarize the eval- gram. Confidentiality is assured to all involved.
uation, describe the next steps in which the con- From these interviews the child and adolescent
sultees engage, and make arrangements for a program emerges as one that perceives itself to be
follow-up visit. out of favor with the director; the members see
themselves as “second-class citizens” in his eyes
Doctor—Patient Approach. The director had no and they question how they fit into his future plans.
idea why there was friction between the child and Some members even think that the entire program
adolescent program and the adult program. When might be scrapped so that the organization could
an organization knows that something is wrong but become involved to a greater degree in the more
doesn’t know the reason, the doctor-patient model profitable adult service area. In addition, the head of
of consultation can be very helpful. As a consultant the adult program is seen as a favorite of the direc-
using this approach, my job is to find out what is tor who has undue influence in the day-to-day op-
wrong and prescribe a solution. The organization eration of the entire agency. These factors have
has purchased my expertise in diagnosis and pre- caused the strain between the two programs.
scription concerning the conflict between the two Based on this analysis, I formulate some solu-
programs. I realize that my very presence is an tions that are tailored to the organization and its ca-
intervention that affects how the problem will be pability for solving its own problems. First, 1 recom-
diagnosed. Because of this, | spend time building mend a series of group meetings between the
effective relationships with the parties involved in members of the two programs using third-party con-
and affected by the consultation to increase the flict resolution. Second, I recommend that the direc-
probability that the information obtained from the tor make a written statement concerning the short-
parties involved will be straightforward and honest. and long-term future of each program. Third, I rec-
My primary goal is to define the problem that is ommend that he should appoint all program heads to
causing friction between the two programs and rec- an advisory committee that he will chair. Finally, I
ommend a viable solution. I assume that the friction encourage him to implement thése changes.
is merely a symptom of some broader problem. At
this time, I am not concerned about helping the Process Approach. The Center's director knows
organization enhance its diagnostic and prescriptive that the leadership style of the organization must
abilities. In the doctor-patient approach, I function change. He used to believe that an effective leader
as an expert. I create relationships with the appro- needed to control all the factors related to running
priate parties, collect and analyze information, make an organization: employees’ work-related behavior,
a diagnosis, and prescribe a solution. record keeping, and decision making. This proce-
I must be able to “read” the organization and dure worked relatively effectively until the Center
determine what data to obtain and how to obtain started to grow in size and complexity. The director
it. The consultees are the “patients”; I need them to then continually found himselfin a reactive posture
describe the symptoms of the problem as they see he described in this way: “I feel like I am running
from one brush fire to another. I am putting in 16- skills on which I can capitalize. They also suggest
hour days. All the stress is affecting how I relate to interventions they think would be helpful. In this
clients and my employees. I think I need my own case, they ask for feedback on their leadership and
personal employee assistance program!” decision-making skills. I proceed by helping the
As a process consultant, I realize that leadership consultees set goals and by observing them as they
is a process variable in managing any organization. attempt to accomplish them. I help the consultees
The director already knows that leadership style gather data concerning employees’ perceptions of
changes are imperative, so I am confident that the leadership styles and decision-making proce-
some substantial progress can be made in changing dures within the organization. Based on all this
how the organization is managed. He has asked me data, I help the consultees diagnose their problem
to observe him in action for one week to get a feel —the need for practice in leadership and decision-
for how he manages, and he also asked me to ob- making skills that involve input from all levels of
serve each of the program heads for two days. the organization. I act as “director” and set up sev-
These observations give me some ideas about their eral role-playing situations in which the consultees
decision-making styles and underlying assumptions practice the new skills. The director, for example,
about the nature of human beings that inevitably practices setting agendas for meetings, delegating
influence leadership style. My goals as a process authority, soliciting input from subordinates, and
consultant are to help the director and the program creating a strategic planning committee.
heads become aware of their everyday leadership The heads practice confrontation meetings, as-
and decision-making behaviors and to help them sertive behavior, and conflict resolution skills. After
identify and modify these behaviors in ways that each role-playing segment, I coach the consultees
are consistent with their goals. I accomplish these in how they can increase their leadership and
outcomes by being a facilitator of self-discovery for decision-making skills in an interpersonally effective
each consultee. manner. In addition, I make a few structural recom-
I assist in gathering data to shed light on lead- mendations concerning how lines of authority can
ership and decision-making procedures as they re- be set up within a small organization like the
late to the current state of affairs within the organi- Center. I then help them develop ways to monitor
zation. In addition, I help the consultees diagnose their own progress in these areas.
what is being done and what yet needs to be done.
The director’s goal is to delegate more authority,
decision-making responsibility, and administrative
tasks to the program heads. The program heads’ SCHOOL-BASED
goal is to develop leadership and decision-making
skills that are necessary for their new responsibilities. CONSULTATION EXAMPLE
Their roles are those of active collaborators; they
Background
must translate their vague perceptions into specific
insights and then act on those insights. Ms. Gentry, a fifth-grade teacher, has requested the
I provide minimum structure in carrying out assistance of Ms. Hall, a school psychologist, in
my assignment and use clarifying questions and dealing with a student who has difficulty with
probes to stimulate the consultees’ thoughts on self-control. Ms. Gentry and Ms. Hall have met
their own current behavior. As human service pro- before to discuss other students. They have a
fessionals with administrative experience, the con- good rapport with one another and share a strong
sultees have decision-making and problem-solving respect for each other’s professional abilities.
tive or mean. He needs to

C1 (CONSULTANT): Ms. Gentry, hi, it’s good to see
learn to control himself. I don’t
you. How’s it going?
know what to do! I’ve got to
T1 (TEACHER): Oh, better Iguess. You know I do something. Tommy’s not
really appreciate your meeting learning a thing, and he’s
with me. I’m so frustrated. keeping the rest of the class
This kid is really disrupting the from learning too. My test
whole class, and I don’t know scores this year are going to
what to do about it. stink. Can you help?
This is Tommy. He’s the ten- C5: Yes, we can work together on
year-old you mentioned the this. We could use the
otherrsday problem-solving formula
Yes. You know he’s a bright we ve used in the past. We'll
kid, but I just can’t get him to get some more details on
stay focused. He’s always out what’s going on with Tommy.
of his seat with a thousand Goals will probably help once I
excuses ... the bathroom, the get a more precise picture of
water fountain, the trash can. what’s going on. We'll estab-
And, of course this interferes lish some realistic goals and
with the work of the other then design a plan. If it’s okay
students. As you know, we with you, we'll use this little
tested him but he doesn’t form I’ve developed to help us
qualify for any special services. save times (See biClreal gals,
He’s of normal intelligence, T5: Thanks. I appreciate your lis-
and there’s no LD or ADHD tening and your help. Maybe
indications. we could use a plan like the
Hmm. Okay, let me see ... no one we used for Jimmy. You
special needs, normal IQ, but know, it’s nice to have a
he consistently gets out of his counselor like you. Your plans
seat, and when he’s up he’s not are sensible and easily
only not working himself, but implemented.
he also gets others off task.
Anything else? Consultant and Teacher Reflections
No that’s about it. You know,

CONSULTANT: Af times it may be easier to utilize a
he’s not a bad child. He
ready-made form. This form can either be
doesn’t mean to cause pro- completed independently or during an
blems. He’s just very social and
interview with the teacher. With some
very active.
teachers, this may lower the initial resis-
C4: Okay, so there don’t seem to tance to the consultative process. Some
be emotional problems either. teachers become quite protective of their
He’s just out of control and planning time. They may get as little as
doesn’t seem able to follow the 45 minutes a day for planning and
class rules. grading. These behaviors seem to call for
T4: Raght. He just acts without a behavioral management situation. Does
thinking. He’s not manipula- Ms. Gentry have the time and skills
Mii. ..° . >... =]
Global Goals
1. Tommy learns to realize potential.
2. More effective learning environment for the whole class.
Specific Goals
Tommy remains in seat during seatwork and discussion.
Plan:
Noted Obstacles:
Baseline Data:
Monitoring Data:
Conclusions:
Tommy develops insight as to how his behavior affects others.
Plan:
Noted Obstacles:
Baseline Data:
Monitoring Data:
Conclusions:
Tommy participates in discussion.

Plan:
Noted Obstacles:
Baseline Data:
Monitoring Data:
Conclusions:
Tommy follows directions.

Plan:
Noted Obstacles:
Baseline Data:
Monitoring Data:
Conclusions:
FIGURE 13.1 Consultation summary sheet
to apply the consistency required to im- am I going to explain his behavior if the
plement a behavior management principal walks in to observe the class?
program? Worse yet, what ifthe entire class gets off
task while the principal is there in my
TeacHer: I wonder what is going on with this child.
room? Well, at least this consultant is
There’s something wrong because he is
listening to me and seems to understand.
not doing the work. Could it be my
I really need that. I wonder if the
teaching style or approach to him? How
consultant is going to get the impression CH: That’s got to be frustrating to have
that I can’t motivate or control the class. I tried different types of behavior
wonder if the consultant will think I control and gotten nowhere and
complain too much. then find that there are not many
CG: Well, thanks. Let’s hope we can expectations at home. Maybe we
make some changes for the better. can design something new that gets
Okay, you basically said, “Good kid, better results. Is that your primary
good intentions, average IQ, no concern?
emotional or learning problems, just ay That is definitely my primary con-
out of control.” Tell me more. How cern because his behavior is not only
long has this been going on? disrupting his academic achievement
iG: Tommy’s behavior has been a but disrupting the concentration of
problem since the beginning of the the class as a whole.
year. I’ve tried different techniques Cs: I think we have a pretty good idea
in dealing with Tommy’s behavior, about the nature of the problem.
but nothing seems to work. For Now let’s talk a little bit about goals.
example, after leaving his seat in the What would you like to see happen
middle of a test, he knocked a little regarding Tommy’s behavior?
girl’s paper off her desk. She became
very upset and wasn’t able to finish
her test. This seemed to be the last Consultant and Teacher Reflections
straw so to speak. At this time I
CONSULTANT: Tommy’s parents sound loose.I wonder
called for a parent-teacher confer- what kind of messages Tommy’s parents
ence with Tommy’s mother and
send him about how to respond to Ms.
father. When I informed them of
Gentry’s expectations? I also wonder if
the problem, they seemed surprised
Tommy’s acting out behavior is a result
and concerned. During this time |
of lack of control, attention getting, re-
asked them about Tommy’s behav-
belliousness, or something else. A be-
ior at home. His parents told me that
havior management program may be ef-
they usually did not have problems
fective with the first two causes, but, ifhe
with Tommy at home, except at
is motivated by rebelliousness, I wonder if
bedtime. His parents don’t sound
such a program would work.
very strict. I got the impression that
their expectations of him are only TEACHER: Well maybe I am too strict. Who knows?
that he eat with the family and be in You know I tried those things I men-
bed on time. Tommy basically de- tioned to the consultant, but did I try
cides what he does with his time. hard enough and long enough and do
His mother felt that Tommy’s be- them correctly? Why are these parents so
havior could easily be controlled lenient with this child?
by explaining the rules to him. HRS: Basically, 1 would like for Tommy
She didn’t seem to understand that to be able to perform up to his po-
I had already made several attempts tential in the classroom. He needs to
to control his behavior, including get some control over his behavior
explaining the rules, but always in order to concentrate. He needs to
failed. change his behaviors so he’s not
distracting to the other kids in the @ilale Those four suggestions seem like
classroom. very good ones for a start. Let me
C9: Those things really seem to go hand summarize our goals: We talked
in hand. If he is able to gain some about the global goals of helping
control over his behavior, he should Tommy to learn and achieve up to
be less likely to disturb the other his potential as well as to obtain
children in the class. You would also some control over his behavior in
like him to work more toward his order for you to have a more ef-
academic potential. Those really fective learning climate for the
seem like good global goals for whole class. The more specific goals
Tommy. In order to help him most that you stated include giving him
effectively we need to clarify two some insight into how his behavior
things: What do we mean by saying affects others. You would also like
Tommy will be working to his ac- him to remain in his seat more. You
ademic potential? And regarding want him to participate in class dis-
behavior—what would Tommy be cussions. And lastly, you would like
doing if he did have more control him to follow instructions more
over his actions? Do you agree that consistently. Are those some of the
these are the two areas we should ideas that you had in mind?
focus on? Teil Yes. That about sums it up.
Gs I believe that his behavior is affect-
Gly: Okay, now let’s take each of these
ing his academic performance and, if
goals and see how we might mea-
changed, will positively impact his
sure progress in each area. For ex-
performance in class. So, I believe
ample, how would we know that
his behavior should be the main Tommy better understands how his
focus of our intervention. behavior affects other children in the
(CilOe Okay, do you mind ifI jot this classroom?
down as we go? Let’s begin with
Wee I don’t know, maybe through ob-
Tommy’s having more control over
servations or his journaling. I would
his behavior. Can you list five things
imagine if other goals are progres-
that you would like to see Tommy
sing that he would have a better
doing that he’s not doing now? Or
understanding about how his be-
five behaviors that you'd like to see
havior is affecting others.
him do less frequently? This will
help us set some specific goals. Gis: Sure, progress in other areas may
give us some insight. That sounds
L1G: First of all, I would like Tommy to
really good. I did have one thought.
be aware of other children and how
What would happen if you had a
his behavior affects them. I would
five- or ten-minute weekly meeting
like for him to remain in his seat
with Tommy to discuss some things
more often. I would like for him to
that happened during that day or the
be able to listen and interact appro-
week to create an awareness ofother
priately in class discussions. And I
people’s feelings? For example, you
would like for him to be able to
could say, “I wonder how Mary felt
follow instructions better.
when you went by and knocked good general technique for obtain-
down her paper?” ing information. Then interaction of
course implies ...
Wise Five or ten minutes ... I could do
that. I certainly spend more time on WAT: Right, that he’s participating in class
him than that now. discussions and answering questions.
Giléle We could use that then as one Gils: Again, we could take a baseline of
means of measuring progress toward frequency of behavior then compare
our goal. Does that sound okay? it over time. You know, you've got
enough to do. Why don’t I deter-
‘Til4le Yes.
mine this baseline data for you un-
Gilld: Well, let’s move on to the next goal less you think my presence will
of having Tommy stay in his seat make Tommy act differently? We
more often. How do you think we haven’t discussed a plan yet, but I
might measure progress toward that would be willing to come into the
goal? class at some point in the day and get
Lp: I suppose I could watch and observe this data for you so you would still
over time. Perhaps take some data be able to concentrate on the rest of
each day and note how the behavior the class.
decreases over time. Wile Okay, thanks.
GilG: Yes. One of the things we could do C19: Let’s move on to our goal of fol-
in this situation would be to take a lowing instructions. How would
baseline of Tommy’s behavior as you measure progress toward that
well as determining the standard goal?
amount of times other kids get out
ee: I would observe his behaviors, es-
of their seats in a day. Then, as you
tablish a baseline, and note progress
said, we can observe and collect data
over time in the form of following
to measure progress over time. What
instructions during the day or week.
about measuring progress with lis-
tening and interacting during les- So we would actually measure
sons? How would you measure progress by Tommy becoming more
progress regarding this goal? compliant. I do think that even
ale: I’m not sure, can we talk about that? though we are focusing primarily on
changing Tommy’s behavior, we
(Gilye I see what you mean. That is a dif- may have to change some of your
ficult goal to identify. How about techniques and classroom manage-
eye contact? It’s an indicator of at-
ment behaviors. For example, you
tentiveness. Maybe you might note
may have to give Tommy more at-
how well Tommy is maintaining
tention at the beginning of the im-
eye contact. If you take note of how
plementation relative to other
often he is able to maintain eye
children in the class. Is this all
contact throughout the day, these
right with you?
behaviors may be a good measure of
1 a): I can do that.
attentiveness. Perhaps we could
come up with more specifics about
that, but for now that seems like a
Consultant and Teacher Reflections

When I first noticed Tommy’s de-
CONSULTANT: If Tommy realizes that other students viant behaviors, | would simply re-
resent his behavior, it may worsen the mind him to remain in his seat or to
situation. We need to emphasize how his pay attention to the lesson, but he
popularity will grow with more partici- often would not comply. Then I
pation and compliant behavior. How can moved his desk to the front of the
I get Ms. Gentry to realize the impor- class where I hoped he would be
tance of emphasizing his growth in able to concentrate better, but this
popularity rather than the negative side of did not seem to help. I moved on to
his current behavior? Journaling is such a the removal of privileges such as
subjective measure to use for feedback. time at recess as well as setting up a
The negative impact Tommy’s behavior parent-teacher conference, which I
has had on others may well be too sen- mentioned previously. None of
sitive for him to directly express in a these things seemed to improve
journal or interview with Ms. Gentry. Is Tommy’s behavior, though some
this an appropriate measure of any of our worked better than others. The re-
goals? Test scores are probably more im- moval of privileges improved
portant than Ms. Gentry is letting on. Tommy’s behavior for a short peri-
Perhaps they themselves should be the od of time, but I don’t enjoy using
target of change here. The focus on im- negative reinforcement with chil-
proving test scores could keep Ms. Gentry dren. Especially since the effects
fully focused and invested in the process seem to lessen after a few days.
while providing some concrete feedback for Tommy’s mother suggested that I
Tommy. might reward him, but I have not
implemented a plan using a reward
‘TEACHER: Setting up goals and measuring progress.
system.
Is this going to work? What ifI put all of
this time and energy into Tommy and he G22 You've really tried several good
doesn’t change? Why does everything things. I’m a little concerned that
mean more work for me? At least the none of them have been effective
consultant seems to think that the things I with Tommy. I understand your
will try will work and is willing to help hesitance to use negative reinforce-
out in the process. But give Tommy more ment, and since it has been only
attention? How can I possibly do that? minimally effective, we won't in-
I believe we’ve come up with en- clude that in our plan. Do you
@21:
ough goals. Now I think we’re feel that there is anything that
ready to take a look at what tech- you haven't tried that may be
niques you've tried so far. This will effective?
probably give us some clues as to T2: No, I’ve tried all my usual tricks. I’m
what directions we will take with really frustrated with Tommy and
any further plan and will also give us his behavior. So I don’t really know
ideas about the best ways to work where to go from here. I can usually
with Tommy. So, what have you get through to kids, but nothing
tried so far, and what have you seems to work with Tommy.
found to be helpful?
312 PART il| MODELS OF CONSULTATION
reinforcement to be consistent. Do
Since his parents suggest that he
you anticipate any problems or dif-
enjoys rewards, perhaps we could
ficulties in this area?
design a system of positive rein-
forcement. Kids his age really re- 26: Listen, the way I feel today, I will try
spond to rewards. Do you have any anything.
ideas in this area? C27; I know students like Tommy can be
Mrs. Jones uses some sort of system a real challenge. The next step, then,
of sticker reinforcement that I could is that we need to outline a plan of
use for the whole class. action. We have our basic goals. We
know what we want to accomplish. I
That’s a good idea. Tommy
see the plan as using a peer-modeling
wouldn’t feel singled out, and
program based on sticker reinforce-
maybe he could benefit from some
ment to facilitate appropriate be-
peer modeling. You can even take
havior for Tommy. Let’s try to put
this system a step further by creating
the logistical aspects of the plan into
really cool stickers with clip art to
operation. What do you think would
get the kids really enthusiastic. Does
be the first step in putting this pro-
that sound like something you
gram into place?
would have time for? I know how
busy you are. Well, I feel like I need to touch base
with Tommy’s parents again to let
T24: Sure that sounds like a good idea. I
believe you’re right in the effec-
them know what we're doing. Then
tiveness of the entire class. As much perhaps present the idea to Tommy
as Tommy doesn’t realize how his
himself.
behavior affects others, he does seem C23: You're right. Tommy 1s a vital part
to be influenced by his peers and of this plan, but perhaps presenting
their behaviors. the program to the class as a whole
Q) ii)On} Raght, that really builds in the peer
rather than isolating Tommy would
modeling idea. When he sees other create less self-consciousness in
kids performing in a certain way fora Tommy about his behavior. To as-
certain reward, Tommy may get the sure the effectiveness of this program
idea. Okay, it seems like we have a for Tommy you could give him a
lot of good ideas. How about if we little more attention—more eye
take the goals and create some rules contact and one-on-one time—in
and a reward system? To keep this addition to making sure he’s meet-
manageable in terms oftime, we'll ing his goals.
only keep records on Tommy’s Raght.
behavior. I told you I'd do the baselines, so I'll
Maybe this will work. Tommy will take care of that.
know what’s expected and will re- Okay.
spond to the positive reinforcement
So, we'll start by talking to his par-
he’s used to at home.
ents. Then the second step would be
C26: Of course, the structure of your class for me to come in and baseline some
will be slightly different as a result of of his behaviors. Then thirdly, you
record keeping. We also want the
should develop a procedure for pre- altering her class structure to assist record
senting the reward system to the class. keeping. How can I minimize my intru-
WO: Okay. sion into her regular classroom routine?
C31: Now that we know what we’re TEACHER: Okay, I am only investing five-ten
going to do and how we’re going to minutes a day on Tommy. That doesn’t
do it, when do you think you would sound like much, but I seldom get time to
be ready to start? breathe as it is. Is itfair that Tommy gets
all of this extra attention when other
ALSte Any time, as soon as possible. It
better-behaved students get less? Am I
should only take me a few days to set
taking too much time away from
up a meeting with Tommy’s parents.
Tommy? Maybe some of the other tea-
You can come in to the classroom
chers are correct. Maybe there is no point
whenever you have time within the
in all of this extra effort for one child who
next couple of weeks. Then we could
doesn’t “deserve it.” Yet the consultant
proceed with the implementation of
seems to think there is hope. I wonder.
the reward system. Okay, sticker program for the entire class
Okay, I can come in about 9 AM on . maybe Terry and Jackie’s behavior
Wednesday. How does that sound? can be addressed at the same time. What
That would be fine. about the record keeping for all of this?
That could be alot. Iwonder what system I
Look, I know you have very little
free time, but I would like to give could use that I’ll feel comfortable with?
All right, nine Wednesday morning.
you a pamphlet on token economies
That’s math time. What kind ofprocess do
that may act as a reference during
I need to use for the consultant to get a
the implementation of the plan.
baseline on Tommy? I can’t forget to call
Then we need to figure out how
Tommy’s parents. I wish the consultant
our plan might be making progress.
had offered to do that. She knows more
T33: Well, we will be able to look at about this than I do.
Tommy’s baselines and then follow
C34: Good. Okay, what have we left out?
his progress. We could even plot the
data we collect in class on a graph so 345 I don’t know. I feel good about this
that we have concrete evidence of plan. It will definitely be a step in a
change. Yeah, that works. positive direction for my class and
Tommy.
Consultant and Teacher Reflections G35: Can we schedule a time to get back
The negative reinforcement probably did together for about 20 minutes, per-
CONSULTANT:
not work because it is not used at home. haps during your planning period on
T’mglad Ms. Gentry is not insisting on the Monday? Then we can make sure
everything is ready and you can let
use of negative reinforcement! I need to
make sure that these techniques are clearly me know some specific things I
should look for regarding Tommy
spelled out to Ms. Gentry and that they
are implemented with integrity long en- on Wednesday.
ough to be effective. I’m not sure that what TBs Okay.
she has tried previously has been thor- @36: I feel really good about our plan of
oughly implemented at a level consistent action. We’ve put together a lot of
enough to be effective. I’m concerned about
good ideas, and I think it has a good this. Well, okay, I’ll try it for a few
chance ofbeing successful. Now, let weeks,
me be sure I’ve got this straight ...
T36: Okay. We’ve gone through a SCHOOL-BASED
problem-solving process in which COLLABORATION EXAMPLE
we identified the problem as being
certain aspects of Tommy’s behav- Background
ior. We then developed a plan in-
Ms. Gentry, a fifth grade teacher, and Ms. Hall, a
volving peer modeling and a sticker
school counselor, decide to collaborate to assist a
reward system, which we used to
student who has difficulty with self-control. Ms.
develop a system of implementation.
Gentry and Ms. Hall collaborated before to discuss
C37: Great. So you feel good about this? other students. They have a good rapport with one
T37= Sure: another and share a strong respect for each other’s
C38: Well listen, I really appreciate professional abilities. As you read this case be sure to
working with you, and I hope we compare and contrast it with the preceding consul-
can do this again. Tommy is fortu- tation case. In that way, you will notice both the
nate to have a teacher like you. The similarities and differences between these two ser-
kids respond to you, and I can see vices. For example, in this case you note that the
why. With all you’ve got going on counselor takes much more responsibility for some
you're still concerned about helping, of the outcome of the case than the psychologist in
not blaming, children like Tommy. the preceding example did.
T38: Thanks. I try. And I guess if this
C1 (COLLABORATOR): Ms. Gentry, hi, it’s good to
doesn’t work, we'll try something else.
see you. How’s it going?
Consultant and Teacher Reflections T1 (TEACHER): Oh, better I guess. You
know I really appreciate
CONSULTANT: Ms. Gentry seems to have bought into this your meeting with me. I’m
process. I’m encouraged that she is ap-
so frustrated.» This kid is re-
proaching this from a broad-based per-
ally disrupting the whole
spective. Ineed to remember to reinforce her
class, and I don’t know what
and to mention, in an appropriate way,
to do about it.
her efforts to the principal. Hmm... I
wonder ifIshould say anything to the C2: This is Tommy. He’s the
principal. IfIdid, it could be misinter- ten-year-old you men-
preted by Ms. Gentry as well as others. tioned the other day. I have
Better not. This is the fourth case in which noticed him in the hallway a
a token economy has been used this month. lot recently.
Maybe I should conduct some staff devel- T2: Yes. You know he’s a bright
opment training on the next workday. kid, but I just can’t get him
That would save a lot of us some time and to stay focused. He’s always
perhaps plant some seeds for some future out of his seat with a thou-
requests for consultation. sand excuses ... the bath-
TEACHER: Baseline, sticker reward system, moni- room, the water fountain,
toring—these are going to take time. I'll the trash can. And, of course
try them, but I’m not sure about all of this interferes with the work
of the other students. As

(5: Me too. We could use the
you know, we tested him
problem-solving formula
but he doesn’t qualify for we've used in the past.
any special services. He’s of We'll get some more details
normal intelligence, and
on what’s going on with
there’s no LD or ADHD Tommy. Goals will proba-
indications. bly help once we get a more
Es: Hmm. Okay, let me see ... precise picture of what’s
no special needs, normal going on. We'll establish
IQ, but he consistently gets some realistic goals and then
out of his seat, and when design a plan. You can be in
he’s up he’s not only not charge of the classroom part
working himself, but he also ofitand I will counsel with
gets others off task. I notice him and be responsible for
in the hall that he “gets in that. I think he will be
the faces” of other students a willing to work with me,
lot but in a playful manner. and I’ll work on changing
Anything else? the same behaviors you're
eS: No, that’s about it. You trying to change in class. If
know, he’s not a bad child. it’s okay with you we'll use
He doesn’t mean to cause that little form we devel-
problems. He’s just very oped last year to help us save
social and very active. time. (See Figure 13.1; the
teacher and the collaborator
C4: Okay, so there don’t seem
would use the same form
to be emotional problems
that was used in the con-
either. He’s just out of
sultation example with the
control and doesn’t seem
exception of adding a line
able to follow the class rules.
for “Responsible Party” to
You know, that’s exactly
indicate who is responsible
how he is in the hallway.
for each goal.) You know, I
V4: Right. He just acts without really enjoy working with
thinking. He’s not manipu- you. Together, we have a
lative or mean. He needs to better chance of helping
learn to control himself. I Tommy than either one of
don’t know what to do! Pve us would have alone.
got to do something.
RSs Maybe we could use a plan
Tommy’s not learning a
like the one we used for
thing, and he’s keeping the
Jimmy. You know, it’s nice
rest of the class from learn-
to have a counselor like
ing, too. My test scores this
you. Your plans are sensible
year are going to stink. I
and easily implemented.
sure would like for us to try
to work together to help
him.
Collaborator and Teacher Reflections am not responsible for everything

about getting him changed. Perhaps
COLLABORATOR: At times it may be easier to utilize a
by working together we can make good
ready-made form. This form can either
progress in a short amount of time.
be completed independently or during
an interview with the teacher. Some CG: Well, thanks. Let’s hope by
teachers may prefer to use a different working together and each hav-
form or none at all. It is more im- ing “‘a piece of the pie” in helping
portant to create the conditions in Tommy that we can make some
which the teacher is willing to add his changes for the better. Okay, you
or her expertise to assist me in putting basically said, “Good kid, good
together and implementing my part of intentions, average IQ, no emo-
the plan. For example, I know she tional or learning problems, just
can help me determine the things that out of control.” That’s my read
Tommy and I can work on in on this too. Let’s share some more
counseling. Some teachers become about our perceptions of
quite protective of their planning time. Tommy. For example, I am cu-
They may get as little as 45 minutes a rious how long has this been
day for planning and grading. By going on.
collaborating, I might help Ms. a6: Tommy’s behavior has been a
Gentry to be even more willing to problem since the beginning of
spend the time it takes to help the year. I’ve tried different
Tommy. These behaviors seem to call techniques in dealing with
for a behavioral management situa- Tommy’s behavior, but nothing
tion. Does Ms. Gentry have the time seems to work. For example, after
and skills to apply the consistency leaving his seat in the middle of a
required to implement a behavior test, he knocked a little girl’s pa-
management program? per off her desk. She became very
‘TEACHER: I wonder what is going on with this upset and wasn’t able to finish her
child. There’s something wrong be- test. This seemed to be the last
cause he is not doing the work. Could straw so to speak. At this time I
it be my teaching style or approach to called for a parent-teacher con-
him? How am I going to explain his ference with ‘Tommy’s mother
behavior if the principal walks in to and father. When I informed
observe the class? Worse yet, what if them of the problem, they
the entire class gets off task while the seemed surprised and concerned.
principal is there in my room? Well, At this time I asked them about
at least Ms. Hall and I are going to Tommy’s behavior at home. His
work together. She listens to me and parents told me that they usually
seems to understand. I really need did not have problems with
that. I wonder ifMs. Hall is going to Tommy at home, except at bed-
get the impression that I can’t moti- time. His parents don’t sound
vate or control the class. I wonder if very strict. I got the impression
she will think I complain too much. that their expectations of him are
I’m glad she is going to work with “only that he eat with the family
Tommy in counseling. That way I and be in bed on time. Tommy
basically decides what he does such a program would work. All of

with his time. His mother felt that this makes me think that I should
Tommy’s behavior could easily work with him in counseling.
be controlled by explaining the ‘TEACHER: Well, maybe I am too strict. Who
rules to him. She didn’t seem to knows? I tried those things I men-
understand that I had already tioned to Ms. Hall, but did I try hard
made several attempts to control enough and long enough and do them
his behavior, including explaining correctly? Why are these parents so
the rules, but always failed. lenient with this child? Maybe
ie: That’s got to be frustrating to Ms. Hall and I should make a home
have tried different types of be- visit part of the plan.
havior control and gotten no- WS: Well, for my part, I would like
where and then find that there are for Tommy to be able to perform
not many expectations at home. up to his potential in the class-
Maybe we can design something room. He needs to get some
new that gets better results. Is that control over his behavior in order
your primary concern? to concentrate. He needs to
AGE That is definitely my primary change his behaviors so he’s not
concern because his behavior 1s distracting to the other kids in the
not only disrupting his academic classroom.
achievement but disrupting the Go: I agree. That’s what I want to do.
concentration of the class as a Those things really seem to go
whole. hand in hand. If he is able to gain
(Ci I think we have a pretty good some control over his behavior,
idea about the nature of the he should be less likely to disturb
problem. Now let’s talk a little bit the other children in the class. We
about goals. What would we like would also want him to work
to see happen regarding Tommy’s more toward his academic po-
behavior? tential. Those really seem like
good global goals for Tommy. In
Collaborator and Teacher Reflections order to help him most effectively
we need to clarify two things:
COLLABORATOR: Tommy’s parents sound loose. I What do we mean by saying
wonder what kind of messages Tommy will be working to his
Tommy’s parents send him about how academic potential? And regard-
to respond to Ms. Gentry’s expecta- ing behavior—what would
tions? Maybe we need to involve them Tommy be doing if he did have
in our attempts to help Tommy. I also more control over his actions? I
wonder if Tommy’s acting-out be- think that these are the two areas
havior is a result of lack of control, we should focus on. Do you
attention getting, rebelliousness or agree?
something else. A behavior manage- I believe that his behavior is af-
a9:
ment, program may be effective with fecting his academic performance
the first two causes, but if he is mo- and, if changed, will positively
tivated by rebelliousness, I wonder if impact his performance in class.
So I believe his behavior should Bas We also want him to learn better
be the main focus of our inter- social skills and behave properly
vention. Okay, I will jot this in the hallway. I know one thing,
down as we go along. he’s not gong to be in the hallway
GillO: Great. Let’s begin with Tommy’s much any more. At any rate we
having more control over his be- are going to have’ to figure out
havior. Let’s list some things that we how we know what kind of
would like to see Tommy doing progress is being made.
that he’s not doing now. Or some Gie: Good point. Let’s take each of
behaviors that we'd like to see him these goals and see how we might
do less frequently. This will help us measure progress in each area. For
set some specific goals. For exam- example, how would we know
ple, I want him to walk down the that Tommy better understands
hallway without disturbing others. how his behavior affects other
[also want him to learn better social children in the classroom?
skills through the counseling I'll be
providing him. I don’t know, maybe through
observations or his journaling. I
For me, well let’s see. First ofall, I
would imagine if other goals are
would like Tommy to be aware
progressing that he would have a
of other children and how his
better understanding about how
behavior affects them. I would
his behavior is affecting others.
like for him to remain in his seat
more often. I would like for him C13: Sure, progress in other areas may
to be able to listen and interact give us some insight. That sounds
appropriately in class discussions. really good. I did have one
And I would like for him to be thought. What would happen if
able to follow instructions better. you had a five- or ten-minute
weekly meeting with Tommy to
Cale Those four suggestions seem like
discuss some things that happened
very good ones for a start. Let’s
during that day or the week to
summarize our goals: We talked
create an awareness of other
about the global goals of helping
people’s feelings? For example,
Tommy to learn and achieve up to
you could say, “I wonder how
his potential as well as to obtain
Mary felt when you went by and
some control over his behavior in
knocked her paper off her desk?”
order for you to have a more ef-
fective learning climate for the WSs Five or ten minutes... I could do
whole class. The more specific that. I certainly spend more time
goals that we stated include giving on him than that now.
him some insight into how his Cil4te We could use that then as one
behavior affects others. We would means of measuring progress to-
also like him to remain in his seat ward our goal. Does that sound
more. We want him to participate okay?
in class discussions. And lastly, we T14: Sounds okay to me. Well, let’s
would like him to follow instruc- move on to the next goal of
tions more consistently. having Tommy stay in his seat
more often. How do you think compare it over time. You know,
we might measure progress to- you've got enough to do. Why
ward that goal? don’t I determine this baseline
Gils: What’s your take on this? data for you unless you think my
presence will make Tommy act
‘URaLEy I suppose I could watch and ob-
differently? We haven’t discussed
serve over time. Perhaps take
a plan yet, but I would be willing
some data each day and note how
to come into the class at some
the behavior decreases over time.
point in the day and get this data
@il6: Yes. One of the things we could for you so you would still be able
do in this situation would be to to concentrate on the rest of the
take a baseline of Tommy’s be- class. I’d like to share this infor-
havior as well as determining the mation with you. Maybe you can
standard amount of times other give me some ideas for working
kids get out of their seats in a day. with him in counseling after you
Then, as you said, we can observe look at it.
and collect data to measure
Tis: Okay, thanks. Now let’s talk
progress over time. What about
about him following directions.
measuring progress with listening
and interacting during lessons? Gilg: Good idea. Our goal is for him to
How would you measure prog- follow instructions better. How
ress regarding this goal? can we measure progress toward
that goal?
ito: I’m not sure, can we talk about
TT: I would observe his behaviors,
that?
establish a baseline, and note
Gi: I see what you mean. That is a progress over time in the form of
difficult goal to identify. How following instructions during the
about eye contact? It’s an indicator day or week.
of attentiveness. Maybe you might
G20: So we would actually measure
note how well Tommy is main-
progress by Tommy becoming
taining eye contact. If you take
more compliant. I do think that
note of how often he is able to
even though we are focusing
maintain eye contact throughout
primarily on changing Tommy’s
the day, these behaviors may be a
behavior, we may have to change
good measure of attentiveness.
some of your techniques and
Perhaps we could come up with
classroom management beha-
more specifics about that, but for
viors. For example, you may have
now that seems like a good general
to give Tommy more attention at
technique for obtaining informa-
the beginning of the implemen-
tion. Then interaction of course
tation relative to other children in
implies ...
the class. Is this all right with you?
tee Right, that he’s participating in
I can do that. In your counseling
class discussions and answering
with him you can reinforce these
questions.
behaviors. I wonder if he should
Cis: Again, we could take a baseline of be in a group rather than one-
frequency of behavior then
on-one with you. I guess I keep is willing to help out in the process.
going back to the social skills and But give Tommy more attention?
the fact that the group is a great How can I possibly do that? I like
place to practice them in vivo. We how Ms. Hall was open to my idea
can talk about that later. about working with Tommy in a
group. It is nice to see that I can help
Collaborator and Teacher Reflections her some as she is helping me. Maybe
we will get somewhere on all of this
COLLABORATOR: If Tommy realizes that other students and I won’t end up having to do all of
resent his behavior, it may worsen the the work.
situation. We need to emphasize how
(CHile I believe we’ve come up with
his popularity will grow with more
enough goals. Now I think we’re
participation and compliant behavior.
ready to take a look at what tech-
How can I get Ms. Gentry to realize
niques we've tried so far. This will
the importance of emphasizing his
probably give us some clues as to
growth in popularity rather than the
what directions to take with
negative side of his current behavior?
Tommy. It will help us to develop
Journaling is such a subjective measure
a better plan and figure out some
to use for feedback. The negative im-
possible ways to work with
pact Tommy’s behavior has had on
Tommy. I don’t have anything to
others may well be too sensitive for
report because I haven’t had him in
him to directly express in a journal or
counseling before and haven't re-
interview with Ms. Gentry. Is this an
ally done anything about his be-
appropriate measure of any of our
havior in the classroom. What
goals? Test scores are probably more
about you? What have you tried so
important than Ms. Gentry is letting
far, and what have you found to be
on. Perhaps they themselves should be
helpful with him in the classroom?
the target ofchange here. The focus on
improving test scores could keep Ms. When I first noticed Tommy’s
Gentry
fully focused and invested in deviant behaviors, I would simply
the process while providing some remind him to remain in his seat
concrete feedback for Tommy. I’m or to pay attention to the lesson,
glad Ms. Gentry is willing to make but he often would not comply.
some recommendations, like the group Then I moved his desk to the
suggestion, to me. It shows that we are front of the class where I hoped
truly collaborating here. It’s nice to he would be able to concentrate
have some external validation ofmy better, but this did not seem to
ideas, or even some new ones from an help. I moved on to the removal
informed source. of privileges such as time at recess
TEACHER: Setting up goals and measuring as well as setting up a parent—
progress. Is this going to work? What teacher conference, which I
if I put all ofthis time and energy into mentioned previously. None of
Tommy and he doesn’t change? Why these things seemed to improve
does everything mean more work for Tommy’s behavior, though some
me? At least Ms. Hall seems to think ‘worked better than others. The
that the things I will try will work and removal of privileges improved
Tommy’s behavior for a short maybe he could benefit from

period of time, but I don’t enjoy some peer modeling. Does that
using negative reinforcement sound like something you would
with children. Especially since the have time for? I know how busy
effects seem to lessen after a few you are.
days. Tommy’s mother suggested Sure, that sounds like a good idea;
that I might reward him, but I I was on the same track as you
have not implemented a plan when you started talking. I can
using a reward system. By the even take this system a step fur-
way, we need to involve the ther by creating cool stickers with
parents in this one. I think they clip art to get the kids really en-
are a piece of what’s wrong. thusiastic. I believe we’re night in
I agree with involving the par- the effectiveness of the entire
ents. I think you've tried several class. As much as Tommy doesn’t
good things. ’m a little con- realize how his behavior affects
cerned that none of them have others, he does seem to be influ-
been effective with Tommy. I enced by his peers and their
understand your hesitance to use behaviors.
negative reinforcement, and since Raght, that really builds in the
it has been only minimally effec- peer modeling idea. When he
tive, we won’t include that in our sees other kids performing in a
plan. Do you feel that there 1s certain way for a certain reward,
anything that you haven’t tried Tommy may get the idea. Okay,
that may be effective? it seems like we have a lot of
No, I’ve tried all my usual tricks. good ideas. How about if we take
I’m really frustrated with Tommy the goals and create some rules
and his behavior. So I don’t know and a reward system? We have to
where to go from here. I can keep this thing manageable.
usually get through to kids, but To keep this manageable in terms
nothing seems to work with of time, we'll only keep records
Tommy. Since his parents suggest on Tommy’s behavior. Maybe
that he enjoys rewards, perhaps this will work. Tommy will
we could design a system of know what’s expected and will
positive reinforcement. Kids his respond to the positive rein-
age really respond to rewards. Do forcement he’s used to at home.
you have any ideas in this area?
Of course, the structure of your
Well, sometimes sticker rein- class will be slightly different as a
forcement works well with stu- result of record keeping. We also
dents like Tommy. want the reinforcement to be
Se Mrs. Jones uses some sort of sys- consistent. Do you anticipate any
tem of sticker reinforcement that problems or difficulties in this
I could use for the whole class. area?
C24: That’s a good idea. Tommy Listen, the way I feel today, I will
wouldn’t feel singled out, and try anything. I can do this.
would be for you to come in and

C27: I know students like Tommy can
baseline some of his behaviors.
be a real challenge. Part of me is
Third, I should develop a proce-
wondering how I am going to
dure for presenting the reward
convince him that counseling is
system to the class.
in his best interest. Well, back to
the reward system. The next step, C30: That will work for me. I'll think
then, is that we need to outline a about the visit to the home and
plan of action. We have our basic how we should go about
goals. We know what we want to approaching the parents. I'll
accomplish. I see the plan as using think of some questions for
a peer-modeling program based you about how I might proceed
on sticker reinforcement to facil- with Tommy in counseling, like
itate appropriate behavior for what he sees as rewarding and so
Tommy. Let’s try to put the lo- forth.
gistical aspects of the plan into 130: Okay:
operation. C31: Now that we know what we’re
T27: Well, I think the first step in going to do and how we're going
putting this program into place 1s to do it, when do you think you
to touch base with Tommy’s would be ready to start?
parents again to let them know T31: Any time, as soon as possible. It
what we’re doing. Then we should only take you a few days
could present the idea to Tommy to set up a meeting with
himself. Tommy’s parents. You can come
C28: You're right. Maybe we should into the classroom whenever you
use your idea of a home visit to have time within the next couple
enlist their support and maybe of weeks. Then we could proceed
their participation. Tommy is a with the implementation of the
vital part of this plan, but perhaps reward system. I will create a list
presenting the program to the of information on Tommy you
class as a whole rather than iso- can use in counseling. | am as-
lating Tommy would create less suming you are still thinking
self-consciousness in Tommy about working with him in a
about his behavior. To assure the group?
effectiveness of this program for
C32: Yes, I might have a couple of
Tommy, you could give him a
sessions One-on-one to gain a
little more attention—more eye
relationship and get him used to
contact and one-on-one time—
the process so he can be more
in addition to making sure he’s
ready for a group. About the
meeting his goals.
baselining, I can come in about
T28: Right. 9 AM on Wednesday. How does
C29: I told you I'd do the baselines, so that sound?
Dil iake carerot vial. T32: That would be fine.
T29: Okay. So, we'll start by talking to C33:* Look, I know you have very little
his parents. Then the second step free time, but I would like to give
you a pamphlet on token econ- quickly. I guess individual counseling

omies that may act as a reference at the beginning will prevent some of
during the implementation of the that.
plan. Then we need to figure out TEACHER: Okay, I am only investing five-ten
how our plan might be making minutes a day on Tommy. That
progress. doesn’t sound like much, but I seldom
Well, we will be able to look at get time to breathe as it is. Is it fair
Tommy’s baselines and then fol- that Tommy gets all of this extra at-
low his progress. We could even tention when other better-behaved
plot the data we collect in class on students get less? Am I taking too
a graph so that we have concrete much time away from Tommy?
evidence of change. Yeah, that Maybe some of the other teachers are
works. By the way, I have put correct. Maybe there is no point in all
together some of his work so you of this extra effortfor one child who
can get a feel for what he does doesn’t “deserve it.” Yet Ms. Hall
academically. seems to think there is hope. I wonder.
Okay, sticker program for the entire
Collaborator and Teacher Reflections class ... maybe Terry and Jackie’s
COLLABORATOR: The negative reinforcement probably behavior can be addressed at the same
did not work because it is not used at time. What about the record keeping
home. I’m glad Ms. Gentry is not for all of this? That could be a lot. I
insisting on the use of negative rein- wonder what system I could use that
forcement! I need to make sure that Pll feel comfortable with? All right,
these techniques are clearly spelled out nine Wednesday morning. That’s
to Ms. Gentry and that they are math time. What kind ofprocess do I
implemented with integrity long en- need to use for Ms. Hall to get a
ough to be effective. I’m not sure that baseline on Tommy? We can’t forget
what she has tried previously has been to call Tommy’s parents. We have to
thoroughly implemented at a level make sure we are on the same wave-
consistent enough to be effective. I’m length before we approach them. I
don’t like home visits, but this one
concerned about altering her class
structure to assist record keeping. How
may be worth it. Something has to
change with Tommy. Ms. Hall
can I minimize my intrusion into her
knows more about this than I do, but I
regular classroom routine? I am con-
know Tommy better. ’'m glad Ms.
cerned that the parents will play “No
Hall is going to do group work with
problem” with us, defend Tommy as
Tommy. I don’t think that individual
being okay, and imply that the
counseling as the only treatment
problem is in the school. Ms. Gentry
would work that well with Tommy. I
and I will need to make sure we are
am glad that she was open to my
together on how we will approach the
advice.
parents. I think Tommy canfit into a
group. If his social skills are poor, the C34: Good. Okay, what have we left
other-kids may reject him pretty out?
you. The kids respond to you,

a: I don’t know. I feel good about
and I can see why. With all
this plan. It will definitely be a
you've got going on you're still
step in a positive direction for my
concerned about helping, not
class and Tommy.
blaming, children like Tommy.
Can we schedule a time to get
Thanks. I try. And I guess if this
back together for about 20 min-
doesn’t work, we'll try something
utes, perhaps during your plan-
else. By the way, a lot of coun-
ning period on Monday? Then
selors would just come in and
we can make sure everything 1s
work out something for me to do.
ready and you can let me know
Then they would go off and
some specific things I should look
work with someone else. It makes
for with Tommy on Wednesday.
me feel real good to know that I
S5: Okay. have a partner in this. I have
G36: I feel really good about our plan support and someone who is
of action. We’ve put together a working toward the same ends.
lot of good ideas, and I think it It’s a nice feeling to know that we
has a good chance of being suc- are in this together.
cessful. Now, let me be sure I’ve
got this straight ...
Collaborator and Teacher Reflections
Okay. We’ve gone through a
problem-solving process in which COLLABORATOR: Ms. Gentry seems to have bought into
we identified the problem as be- this process. I’m encouraged that she is
ing certain aspects of Tommy’s approaching this from a broad-based
behavior. We then developed a perspective. I need to remember to
plan involving peer modeling and reinforce her and to mention, in an
a sticker reward system, which we appropriate way, her efforts to the
used to develop a system of 1m- principal. Hmm... I wonder if I
plementation. Then we devel- should say anything to the principal.
oped a plan whereby we would IfIdid, Ms. Gentryas well as others
try to engage the parents in could misinterpret it. Better not. Ms.
helping him by making a home Gentry’s investment in this goes to
visit. You are going to work with show how sometimes collaboration is a
Tommy in counseling and I am better way to go than consultation. I
going to get you some ideas on think either service would work with
things I think might work for you her but I can think of many teachers
when you counsel him. who would want me to work with
their students while they are working
(Cor: Great. I feel good about this.
with the student also. This is the
War Me too. I think that by working fourth case in which a token economy
together on this we can hopefully has been used this month. Maybe I
help Tommy. should conduct some staffdevelopment
C38: Well listen, I really appreciate training on the next workday. That
working with you, and I hope we _ would save a lot of us some time and
can do this again. Tommy is perhaps plant some seeds for some
fortunate to have a teacher like future requests for collaboration. Better
yet, I should ask for a few minutes at end of this for a few weeks. After all, I
our next faculty meeting and discuss won’t be alone. It’s not like we aren’t
collaboration and consultation. It going to help one another with each of
never hurts to keep these ideas infront our responsibilities in helping
of teachers and principals. Tommy. All I can say is that I am
TEACHER: Baseline, sticker reward system, relieved I’m not the only one re-
monitoring, and a home visit—these sponsible for helping Tommy change
are going to take time. But so is Ms. here.
Hall’s counseling Tommy. I'll try my
SUMMARY
This chapter encourages you to begin assessing your organization. Table 13.1 summarizes the major fo-
own personal model of consultation and collabora- cus of each approach. In addition, we compared
tion. It has applied the various approaches to mental two transcripts of similar cases involving school-
health, behavioral, and organizational consultation based consultation and collaboration to help you
to some work-related problem within a particular differentiate between these two services.
TABLE 13.1 The Major Focus of Several Consultation and Collaboration Approaches
APPROACH MAJOR FOCUS
Mental Health
Client-Centered Case Helping a consultee with a client (with minimal contact with the consultee)
Consultee-Centered Case Considers work-related problem to reside in the consultee; helping consultee
by focusing on case
Program-Centered Administrative Helping an administrator fix a program-related problem
Consultee-Centered Administrative Helping an administrator and other consultees develop their skills to improve
the mental health aspects of the organization and its programs
Ecological Changing the human-environment interface
Behavioral
Training Training consultees to improve their general and/or specific skill areas of
behavioral technology
System Assisting an organization in being more effective by using behavioral
technology
Case Helping a consultee apply behavioral technology to a case
Organizational
Educational/Training Training or educating consultees to be more effective in some area
Program Assisting an organization with some aspect of a program, frequently
evaluation
Doctor—Patient Entering an organization, diagnosing a problem, and prescribing a solution
Process . Assisting consultees in becoming better decision makers and problem solvers
in the future
Remember to develop and follow your own sense of how others deal with the nuts and
personal model of consultation and bolts of effective practice.
collaboration.
Remember to do what you love, and love
Read case studies and transcripts of consulta- what you do! ;
tion and collaboration cases often to maintain a
Which of the approaches just described in the 6. What differences did you detect in the school-
Acme case most emphasize the quality of the based consultation and collaboration
consultation relationship? transcripts?
i) Of the Acme case problems just described, in Based on your reading of this chapter, which
which would consultation be the most difficult approach appeals to you the most? Why?
to evaluate adequately? 8. In which ofthe cases discussed would you most
In the Acme case, do you see similarities like to have been the consultant or a collabo-
among behavioral system consultation, doctor— rating professional? Why?
patient consultation, and process consultation? a With which approach would you have the
Explain your answer. most difficulty in the role of consultant or
Would you proceed in a manner different from collaborator? Why?
mine if you were asked to perform process 10. For which approaches would you actively seek
consultation with Acme? If so, how? out additional training?
on What similarities did you notice in the school-
based consultation and collaboration
transcripts?
Dougherty, A. M. (2009). A casebook ofpsychological con- present text. Its focus is to provide a nuts-and-bolts
sultation and collaboration (5th ed.). Belmont, CA: approach to understanding how to provide services
Wadsworth. This text provides several case studies in consultation and collaboration for counselors,
of human services consultation and collaboration. psychologists, college student personnel, human re-
The final chapter provides several practice cases. source specialists, and other human service
This case studies book is designed to accompany the professionals.
HK
Epilogue
hope you have enjoyed and benefited from this and personal development. You will need to be-
book. Providing consultation and collaboration come familiar with the literature on consultation
can be among the most challenging and enjoyable and collaboration, have some supervised field expe-
professional activities in which you engage. As you rience in performing them, gain a sense of the
reflect on what you have read and practiced, let me organizational contexts in which they occur, and
leave you with some concluding thoughts. possess some degree of knowledge of who you
There is no “one-minute—manager” type of are as a person. Taken together these will provide
consultation or collaboration. To be accomplished a cognitive map to guide your practice.
effectively, these services take time and planning—a When in doubt, consider using collaboration.
difficult prospect in the “quick fix” society in which Collaboration minimizes the probability of a nega-
we live. The “Catch-22” is that effective consultative experience and at the same time maximizes the
tion and collaboration take time, yet time is often input into the problem-solving process. It is also em-
hard to come by. The consultant and collaborator powering by nature. Consultation and collaboration
need to balance time and quality. That said, re- involve relationships among people—they need to
member quick fixes are short lived and typically be performed with a personal touch. Each is more
lead to diminishing returns. than a science, an art, or a craft: Each is all of these
Appreciate the challenge of the complexity of things along with commitment—to oneself as a
these services. Take care not to be overwhelmed by helper, to the people with whom one is working,
all the variables that affect their processes. If you and to the ever-challenging task of trying to help
give your best effort when you consult and collab- others work more effectively.
orate and trust the process, then anxiety and doubt Good luck and best wishes!
will not overburden you.
To enhance your effectiveness as a consultant
and as a collaborator, continue your professional
327
HK
Glossary
Because consultation and collaboration are neither Collaboration a service provided by a professional in
well-defined nor have adequately developed their which there is a shared responsibility for the outcome of
own identity, many of the terms used about them the problem-solving process, including participation in
in the literature are vague and confusing. interventions. Collaboration often occurs in teams of
professionals and stakeholders working toward the same
Therefore, the glossary that follows contains
ends. Collaboration is characterized by mutual, reciprocal
some key terms used throughout this book. It is
consultation among the parties involved.
very important that you familiarize yourself with
Collaborative consultation the method of relating
these terms to avoid confusion as you continue
most consultants use when working with their consult-
reading. ees; it allows both parties to pool their strengths and re-
Advocacy a role consultants take on when they believe sources in their efforts (however, the consultee typically
a certain course of action should be taken. carries out the plan developed in consultation). Any
Advocacy consultation an expansion of the role of model of consultation can be implemented collab-
advocacy to a method ofconsultation entirely devoted to oratively.
furthering some course of action. Consultant a person, typically a human service profes-
Behavioral consultation one of the three major types sional, who delivers direct service to another person
of consultation; it attempts to assist consultees and their (consultee) who has a work-related or caretaking-related
client systems through a systematic, problem-solving problem with a person, group, organization, or com-
approach based on behavioral technology. munity (client system).
Client in some approaches to mental health and be- Consultation a type of helping relationship in which a
havioral consultation, the person with whom the con- human service professional (consultant) delivers assistance
sultee is having a work-related or caretaking-related to another person (consultee) so as to solve a work-
problem; in this instance the client constitutes the client related or caretaking-related problem the consultee has
system (see below). One of the goals of consultation is to with a client system.
improve the functioning of the client. Consultee the person, often a human service profes-
Client system the person, group, organization, or sional or a caretaker (e.g., a parent, teacher, or supervi-
community with whom the consultee is having a work- sor), to whom the consultant provides assistance with a
related or caretaking-related problem. One of the goals work-related or caretaking-related problem. One of the
of consultation is to improve the functioning of the cli- goals of consultation is to improve the current and future
ent system. functioning of the consultee.
328
GLOSSARY 329
Cross-cultural consultation consultation in which Implementation the third of the four stages of the
the relationship consists of parties who are culturally consultation process; it is the stage in which action 1s
different from one another. taken on the problem. It begins with formulating and
Cultural competence a set of knowledge, skills and choosing a problem-solving plan and includes imple-
attitudes in people and organizations that enable people menting and evaluating that plan.
and organizations to work effectively in cross-cultural Indirect service the type of service provided to the
contexts. client system by the consultant. The consultant affects
Diagnosis the second of the four stages of the con- the well-being of the client system by helping the con-
sultation process. In this stage the problem to be solved sultee help the client system more effectively. It is one of
in consultation is defined. Thus, in its simplest form, the characteristics of consultation that differentiates it
diagnosis is the equivalent of problem identification. In from other helping relationships. This term is frequently
its more complex form, it is an ongoing process in contrasted with indirect service.
which the target problem is continually redefined and Internal consultant a consultant who is employed in
worked on by gathering, analyzing, interpreting, and the organization in which consultation is to occur.
discussing data. Mental health consultation one of the three major
Direct service the assistance a consultant provides a types of consultation; it attempts to focus on the psy-
consultee or that a consultee provides a client system. chological well-being of all the parties involved in con-
When consultants work with consultees, they are pro- sultation. Its ultimate goal is to create a more mentally
viding direct service to them. When consultees work healthy society.
with client systems, they provide direct service to them. Multicultural consultation an approach to consulta-
This term is frequently contrasted with indirect service. tion that takes into account how cultural issues affect the
Disengagement the last of the four stages in the consultation process.
consultation process; it involves the winding down of Organization a group ofpeople put together for a
consultation, including evaluation of the consultation, common purpose. Almost all consultation, regardless of
postconsultation planning, reduced contact, follow-up, the type, occurs within some type of organization. It is
and termination. one of the factors that influence the processes and out-
Diversity differences among groups based on charac- comes of consultation.
teristics such as race, gender, ethnicity, etc. Organization contact person the person in the or-
Entry the first of the four stages of the consultation ganization in which consultation is being considered
process; it involves exploring the presenting problem, who initially contacts (or is contacted by) the consultant.
formulating a contract, and physically and psychologi- This person is often a midlevel administrator who may or
cally entering the system in which consultation is to may not become a consultee. This person usually paves
occur. the way for the consultant’s entry into the organization.
External consultant a consultant not permanently Organizational consultation one of the three major
employed in the organization in which consultation is to types of consultation; its primary goal is the enhancement
occur. of an organization’s effectiveness. The organization itself
is the client system, and the members of the organization
Generic model of consultation a model of consulta-
involved in consultation are the consultees. Consultants
tion that contains those characteristics common to the
frequently work together in teams when performing
various types of consultation and the approaches to these
organizational consultation.
types. It is what distinguishes consultation as a unique
helping relationship. Outreach extending or making known available ser-
vices to a target population.
Human service organization a broad term describing
an organization that provides some form of contact with Parties-at-interest (stakeholders) those people (who
clients and aims to improve the well-being of those cli- usually belong to the organization in which consultation
ents and, therefore, of society. Counseling centers, occurs) who are not directly involved in consultation
mental health centers, Head Start programs, homes for but are affected by the consultation process in some
the mentally retarded, and social services departments are way. Parties-at-interest typically include contact
all examples of human service agencies. persons and administrators. If the consultant belongs
330 GLOSSARY
to an organization (for example, a mental health center), Work-related problem the kind of problem consid-
then those members of the consultant’s organization in- ered to be suitable for the primary focus in consultation.
directly affected by the consultation are also parties-at- In the case of consultation with people such as parents,
interest. the term caretaking-related problem is sometimes used 1n-
Tripartite composed of three parts. With respect to stead. This term is often contrasted with personal problems,
consultation, it refers to the three parties involved: con- which are not directly dealt with in consultation.
sultant, consultee, and client system.
HK
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Name Index
Adelman, H. S., 142, 158, 247, 265, 268, Amedonde, P= 3. 135 24. 25.526) 23929: Beer, M., 156, 157, 159, 162, 163, 164,
269, 270, 285 167, 243, 244, 245, 246, 248 166, 251
Adler, A., 272 Ashford, S. }., 87 Bese | meeneo
Aclerter GPs 261) Association for Specialists in Group Work 1Bxell MGs VSL, Ifa, Gh, AS, Aish, Gy, bei, Sidi. Dil
Akin-Little, K. A., 269, 288 (ASGW), 144 69, 71, 72, 76, 80, 81, 94, 95, 96, 97,
Alber, S. R., 276 Association of Counselor Education and 98, 102, 109, 124, 132, 136, 141, 142,
Albritton, M. D., 72 Supervision (ACES), 267 iW ofe ASHES ESN), ltoyilly IG WEke Sey sy),
Allen,J. M., 6 Athanasiou, M. S., 39, 120, 123, 277 258, 260, 269, 285
INI, Se Joy Ate) t30),, test tees, EMA YZ Atkinson, D. A., 28 Bell (CuRe 36, 55, 74.5123
INOS, |e Vea Sh, Oy Slory wet, Aste) Auster, Bo Rey 110) (83) 227, 228 Bellman, G. M., 26, 50, 59, 236
Altrocchi, J., 203 Bemak, F., 9, 281, 282
Amada, G., 176, 205 Babinsky, L. M., 30, 147, 203, 271, 274, Benne, K. D., 162
290 Bennis, W. G., 254
Amatea, E. S., 276
American Counseling Association (ACA), Backer, T. E., 163, 204 iBsizesioy, I, IR, Oi, HS, Fo, WS, MOM, 120),
OSM ee MIS S25 134 135136; Bacon, E. H., 288 ND, US ON, ID. Pa ales DANS.
137, 138, 140, 141, 142, 143, 147, 148, Bahr, M. W., 268 DN ZG, QU PAY 220, Qi, 222,
149 Bailey, J. R., 4 PX) OTN PRK, Weyl Daley (2S DNs).
American Mental Health Counselors Batley, bi) 27/1 21 278
Association (AMHCA), 131, 147 Bandura, A., 210, 214 Bergstrom, M. K., 72
American Psychological Association (APA), Bangert, A. W., 118 Bernard, M. E., 174, 267
Doe isi 162) 1g 4s. 1665137. 139) Baran, S., 284 Berrios, R., 39, 118, 119
Bardon, }., 26 Bersoff, D. N., 131
141, 142, 143, 148, 149, 153
Barlow, D. H., 118, 119, 120 Bianco-Mathis, V., 24
American School Counselor Association
Barnett, D. W., 30, 91, 92, 101, 103, 104, Bickford, B., 268
(ASCA), 3, 8, 14, 263, 267
288 Bigler, W. R., 165
Anderson, B. S., 149
Batsche, G. M., 277 Blader, J. C., 268
Anderson, W. R., 104, 113
Anton-LaHart, J., 4, 208
Baumberger, J. P., 118 Blake Re Re) 239
~ Beaver, B. R., 76, 77 Blase, J., 288
Ardoin, S. P., 91, 94, 103, 232, 268
Arena, M. P., 3 ;
Beck, K. J., 288 Blases |a Caco
Becker, W. O., 279 Block, P., 26, 36, 47, 57, 59, 146, 261
Armenakis, A. A., 37, 67, 72, 87, 108
Beebe,
J. J., 102, 108 Blom-Hoftman, J., 17, 49, 50, 62
Armstrong, T. R., 80
Bloodworth, M. R., 285
377
378 NAME INDEX
Bloom, B. L., 179, 182, 206 Chafouleas, S. M., 64, 101, 102, 103, 123 Danielss [aA 3) 217
Bongar, B., 143 Chard, K. M., 37 Darnell, H., 167
Boss, R. W., 57, 59, 60, 61 Cherniss, C., 54, 68 IDB: Ne Ia AS
Bracks Goje 10s 74 Chewning, T. G., 46, 92, 99 David, R. J., 97
Brack, G., 110 Chin, R., 162 Davis,J.M., 203
Braden, J. P., 265, 270 Chowanec, G. D., 112 Davis, K. M., 263, 286
Bradley, D. F., 9 Christenson, S. L., 276, 279 Davison, M., 259
rade yah ae Clare, M. M., 281, 282 DeForest, P. A., 46, 66
Bradshaw, S. P., 232 Glarkey Baleano27 Deitz Rae 6u!
Bramlett, R. K., 94, 108, 164, 167, 169, Clayton, S., 143 Delbecq, A. L., 96
233, 267, 268, 269, 286 Clonan, S. M., 94, 155 Delligatti, N., 288
Braucht, S., 271 Colbert, R. D., 268, 269, 288 DeMeuse, K. P., 96
Breen, D. T., 282 Cole, E., 4 Deming, A., 239
Brehm, J. W., 49 Collison, B., 282, 283 Denton @aAnn7 2. WZ0 8232
Brent, D., 176 Conoley, C. W., 32, 33, 49, 54, 61, 80, 92, Dewar, A. L., 96
Brezney, S., 283 101, 181, 244, 246 DeWert, M. H., 147
Bringman, N., 276 Conoleym| G45 32139354 Ole S092: Dewine, S., 27
Brown, D., 9, 27, 36, 141, 280, 281 101, 181, 196, 197, 244, 246, 264 Dickinson, D. J., 232
Brown, M. B., 288 (COarconig, 13.5 CWI, PSs, ZS) Dickman, M. M., 166
Brown-Cheatham, M. B., 38 Conyne, R. K., 4, 30, 96, 144, 261, 285 DiGiuseppe, R., 174
Buerkle, K., 276, 279 Cook, L., 266, 283, 286 Dillard, J. M., 4, 25
Burdg, H. B., 37, 67, 87, 108 Cook, T. D., 118 Diller,J.V., 19, 28, 80, 145, 167, 280
Burke, W. W., 156, 164 Cooper, S., 179, 203 D’lllio, V. R., 25, 142
Burns, M. K., 275 Cooper, S. E., 24, 120, 259, 260 Dinkmeyer, Dy 26727 la e727
Busse Ron eyo CuO On feeo los 10S Copeland, E. D., 39 Winkimeyer) iD Gru) tec lee
PAYS OGL PAIS PAS), APSO, PRY P22), DENG Corbin, J., 121 Disken, M. T., 63
269 Gorey, Ge 16; 185 19) 25528) SO Ndoi a2) Dittmer hele a/
Butler, W. M., 176 133, 134, 136, 138, 139, 140, 142, 143, Dixon, D. E., 38
144, 147, 148, 149, 153, 181 Dixon, D. N., 38
Cabello, B., 39 Corey. Me StaZza alos ‘ Doll, B., 228, 285, 286
Caldwell, E., 267 C@omelyeP ano Domitrovich, C. E., 249
Callanan, P., 25, 153 Correa Vins 134 Douce, L. A., 4
Callan-Stoiber, K., 3, 31, 38, 48, 78, 94, Cosgrove, G., 103 Dougherty, A. M., 25, 27, 46, 49, 96, 108,
ODOM eID O TAN? 0223 23a) Costello, M., 290 110, 111, 124, 127, 128, 135, 139, 140,
270, 278 Cottingham, H. F., 267 203, 264, 268, 284, 288, 326
Campbell, D. T., 118 @ottone, RAR, 132 Dougherty, L. P., 268
@aplany Gano AS elieee2ne Guo 5550" Counselman, E. F., 203 Downing, J., 277, 279
60, 62, 66, 73, 94, 95, 101, 112, 138, Cowan, R. J., 6, 103, 269, 288 Downing, S., 279
175. Only ele oe On Ld Oe nso, Cowles, C. A., 3, 191 Doyle, C., 281
186, 187, 188, 189, 190, 194, 195, 196, (Clore, 1D), IDE, SE), OSs, ey), 2A Palsy, Bo) Drum sD | 52045
198, 199, 200, 202, 203, 204, 205, 206, Cramer, S. F., 266 Duckworth Smith, H., 286
DOT, 2195-266, 2711, 286 Criddle, W. D., 174 Duffy, J. L., 38
Caplan, R., 14, 36, 55, 62, 66, 73, 94, 112, Grones DAL eos Dumont, R., 28
ISS 5S Ome Woe 79s Si 182% Crose, R., 204 Duncan, GE 65
185, 186, 187, 188, 195, 196, 199, 200, Csikszentmihalyi, M., 290 Dunson, R. M., 39, 100
202, 203, 204, 206, 207, 254, 266, 271, Cumblad, C., 283 DuPaul, G. J., 271
286 Cummings,J. A., 4, 87, 205, 282 Dustin, D., 80, 268
Caplan-Moskovich, R., 95, 189, 190, 202 @urtisy Vie [eo Oh 2b 26, 29 yo Saso) Dwyer, K. P., 288
Carlson, C., 276, 278, 279, 280, 286 A3; 66; 69, 73; 73, ol, 83, 92) 9B, 114, Dymnicki, A. B., 285
Carlson, 73; 267, 2712720273) 279 123, 142, 158, 159, 161, 169, 172, 196,
@arpeniterss. leo 225, 232, 264, 265, 266, 268, 269, 288 > Eagle, J. W., 228
Carr En Gy, 288 291 Bekenty die lo Qi
Carrington Rotto, P., 221, 224, 227 Curtiss Sees Edwards, C. P., 227
Garson, Ae D259 Egan, G., 10, 25, 26, 44, 50, 51, 62, 64, 77,
G@asenling oO D’Andrea, M. J., 3 81, 82, 83, 84, 91, 92, 93, 99, 100, 101 >
Castillo, E. M., 64, 85, 284 Daniels, H., 276 102, 112, 114, 148
NAME INDEX 379
Ehly, S., 80, 91, 268 Fuselier, G. D., 176, 265 Gresham Ea Min 37,.38959) 7D One:
Eidle-Barkman, K. A., 103 Futrell, D., 96 HOME LO2S LOS 21392335288
Elias, M. J., 268, 285 Gribbons, B. C., 118, 120, 248
Elliott ss INE 3; 10) 3138) 48, 78,915 94, Gabbard, C., 205 Grigsby, R. K., 176
HOT, 108, 208) 211, 2112) 2145 215. 219) Gallagher, R., 268 Gnmes, J., 224
D222 22223 2242808350269) Gallessich, J., 9, 60, 74, 75, 172, 173, 210 , Grogg, K., 265
270, 278 243, 247, 260 Gross) DI Rey 131142
BrchuleeW iePeee awe de 1314 OG) 27. Garland, F. N., 176 Guba, E. G., 120, 121
OAS Oy SOA On 49" 556211058 64, Garmston, R. J., 246 Guishard, M., 281
S083 29192503 SOMOS Ss Salina. Garrett, J. N., 282
Galt, Ik, Ny, SS), OG), 227), IS, BS, LIK
174, 179, 181, 186, 187, 194, 199, 200, Gasiorowski, F., 259 Gumm, W. R.., II, 80
O55 227) 2325264. 269 Gatz, M., 196 Gustafson, D. H., 96
Erdberg, P., 176 Gaughan, E., 266
Gutking TBS) lO 12e3 05345358 sone
Erhardt, Ke B92) 101, 1102; 1103, 231 Geil, M., 39 49, 62, 66, 67, 69, 73, 78, 92, 93, 105,
BrvinReeA 101102 Gelzheiser, L., 39
128 TSS yO / 296.262) 2645265)
Eschbach, L., 35, 98, 121, 239, 252 Gerler, E. R.., Jr., 264 XS, PH, Phil
Esler, A. N., 276, 277, 280 Geroski, A. M., 282
Bubankss jae a2 Gersick,K. E., 134, 139, 140, 142, 143 Halischak, K., 205
Eysenck, H., 210 Gerstein, L. H., 10, 18, 72 lal Ate Sie Ob)
Gibbonsw Kea low Qe iis alps ese. 24
Pabertys ts, ul Gibbs, J. T., 26, 28, 64 Hall a Beet 28
Falk, R. S., 49 Gibbs, L. E., 91, 93 Hall, S. R., 148
Fall, M., 287 Gibson, G., 37 Halpern,
J., 129, 146, 157, 290
Farmer, T. W., 91 Gickling EES 275 Hamilton, M. K., 37
Fatist, Vis 267, Gilliam, P., 157 Hammer, L., 46, 128
Feeney-Kettler, K. A., 10 Gilliland, B. E., 268 Ielatasenion) i@n 205
Feldman 215 Gilmore, T. N., 124 Hanson, W. E., 119
Ferguson, E. D., 170 Gimpel, G. A., 4 Hardesty, P. H., 4
Finew Vir 27, 2845288 Glickman, A., 130 Harding, S. S., 140
Finn A. 103 Glidewell, J. C., 53, 68 Harper, W., Jr., 278, 281
Fish, M. C., 49, 280, 281, 285 Gmeinder, K. L., 209, 278 Flannisw Kes Cr 43 OSS)
Fisher, R., 16, 95 Goldstein, A. P., 213 HlarrissiSe (Gr, 72
Flanagan, D. P., 28, 64, 84, 280, 281, 291 Goldstem Brsn G2) 39) 121 Harrison, M. I., 71, 75, 157, 158, 164, 201
Flaspohler, P. D., 269 Goldstein, L., 157 iarnson) JiniGs 59) 142.5200) 2036229"
Borde @mlle o> Golembiewski, R. T., 74, 95, 101, 241, 268, 277, 284
Foriska, T., 269, 270 258 Hartshome, T. S., 268, 284
Forman, S. F., 4, 155 Gongora, J. N., 4 Hartsough, C. S., 203
Foster, S. L., 288 Gordick, D., 24 Hasbrook, J. E., 120
Foster-Fishman, P. G., 158 Gordon, T., 279 Havercamp, B. E., 119
Freer, P., 228, 276 Gorin, S., 288 Hawken, L. S., 72
Brenchoy jaleeZ Or Gottlieb, M. C., 132, 167, 260, 286 Hayes 1D i 2805 O45 WD loo
renchoe| Raabe Go Gowing, M. K., 157 Hayes, D. L., 247, 248
French, W. L., 4, 26, 48, 52, 54, 55, 57, 69, Gradeniwl +o o0 tol Coole oS, leaves, Sy (Ca, Ms}
Om Aen 2 6 On. OO Gln 94 95 9697/5 290 Haynes, G., 196, 197
98, 102, 109, 124, 132, 141, 142, 147, Granda, K., 66 Haynes, R., 16
158) 1595164, 162; 233) 239; 2525258) Graun, K., 49 lane, 125 Jalon Zullo 1G:
260, 269, 285 Gravoismil A. U40275 715 con 2745275 Hazel, C. E., 269
Frieden, B.J., 104 (Graven Cr lene 7 Heesaker, R. E., 63
Friend, M., 266, 283, 286 Gray, E: Az, 131 Hellcamp, D. T., 283
Frisby, C. L., 28 Greenberg, M. T., 249, 265, 269, 285, 290 Heller, K., 203
Froehle, T., 37, 38 Greene, V., 130 Henderson, B. B., 25
Fullam, C. B., 46, 128 Greer, A., 59 Henning-Stout, M., 16, 27, 36, 38, 39,
Rullmer DW.) 267% Gregory, Bal (2,795,708 159, 176, 188, 196, 206, 208, 212
reget, IDL TR, M0), til, Mil, AI, Si, We, Dea Greicenm Re wwe Heppner, P. O., 80, 118, 128
98, 131, 145, 146, 147, 164, 166, 260 Greiner, L. E., 76 Herlihy, Bi 56) o,n oli s5s doom OF
Furlong, M. J., 268 143, 146, 148, 149, 151
380 NAME INDEX
Hernandez, M., 282 Jerrell, S. L., 156, 241 Kramer ale|i 272
Flersens (Viet selLo Jimenez, A., 281, 282 Kratochwill) (ieRe. 35 10) 2a aodneei.
Hintze, J. M., 77 Jitendra, A. K., 94 38, 39, 47, 48, 49, 73, 74, 76, 77, 78,
Foard D> 395 91 27862 1/9287 Johns, K. M., 271 One OS. OA OO OM LOD OS saOS:
Hobbs, B. B., 282, 283 Johnson, H. H., 32, 36, 54, 55, 56, 57, 74, 119, 120, 123, 140, 146, 172, 208,
Hodges, W. F., 179, 203, 282 75, 76, 124 209™ 21 2125 2135 24 Dore S:,
Hoffman, M. A., 17, 18, 28, 32, 167 Johnson, J. J., 9, 14 DAISY, PERO), DeMI, PRIDE Pe) PE TE,
Hogan, M., 135, 167, 174, 228, 285 Johnson} ly]-, 262 DOR Dev, PWN IBN, DR GIS), AOS)
Hohenshil, T. H., 71, 72, 88, 288 Johnson, S. A., 283 270, 270s 277s 279
Hojnoski, R. L., 285, 288 Johnston, R., 268 Kreilkamp, T., 176
Holcomb-McCoy, C., 28 Jones, B. D., 147 Kress, J. S., 49
Holiwski, F., 167 Jones ES ah L0 Kressel, K., 4
Holton, E. F., 245 Jones,J: E., 144 Kruger, L. J., 147, 286
Holtz, H., 54, 56 Jones, K. M., 39, 103 Kubrick, R. J., Jr., 285
Hopko, D. R., 239 Jordan, A. E., 147 Kuehnel, J. M., 203
Hopko, S. D., 239 urs |p Eos Kuehnel, T. G., 203
Horner, R. H., 227 Kuh, G. D., 166
Horton, D., 271 Kaffenberger, C., 281 Kunz, C., 286
Hosie, T. W., 247, 248, 249 Kahn, Rebs 15sy 16032389 Kupermine, G. P., 167
Houk, J. L., 67, 87 Kahnweiler, W. M., 267 Kurpias, io, KOs 21 25) 26m oe,
House, R. M., 4 Kamphaus, R. W., 72, 74 57, 98s 158, WSO Loli G4 e250
Howell, L., A., 77 Kampwirth, T. J., 94 Kushida, D., 39
Huckabay, M. A., 124 Kanel, K., 134, 146, 265
Hughes, J. N., 37, 38, 39, 46, 49, 63, 66, Gna, Te. 1elyy Liles Lambert, N. M., 267
141, 232, 233, 268, 271, 276, 284 Kaplan, S. K., 147 LaMontagne, M., 283
Hylander, I., 39 Karty Revo mboo Landrum, M. S., 271
Hyman, A., 176 Katz, D., 158, 160, 239 Lange, A., 174
KazdinwA seo 20 2tho ea) Larey, R., 66, 269
Idol, L., 284 Keller, H. R., 123, 211 LaRoche, M., 17, 281
Ikeda, M. J., 266, 283 Kelley yee Ee SOnme ; Larson, J., 268, 286
Ilback, R. J., 105, 155, 157, 247, 248, 268, Kellys Jen GrO2 palo
osm /eml OG alr Larson, 1., 102, 288
269, 270 Kelly, S. Q., 63 Baseckin Ko 7/3
Imperato-McCammon, C., 72, 74 Kendall, G. K., 37 Latham, G. P., 81
Ingralame Cals di/s Lo wlOy 25 27a2Snoo, Kets de Vries, M. F. R., 174 Lawson, Ee AS 242
39, 41, 44, 65, 105, 134, 174, 200, 259, Keys, S. G.7 9), 263,264,282 Eavaris: Aq. 210
2812875 291 King-Sears, M. E., 9 Wedtords Gales Iran Zoo welo4
International Society for Mental Health Kirkpatrick, D. L., 246 Bee, Cr Cee sila235
Online (ISMHO), 147 Kiselica, M. S., 139 Ieee ID. WA Oil
Iscoe, I., 178 Kitchener, K. S., 140 ees Rea) Loleale2,
Iverson, A. M., 30, 271 Kivlighan, D. M., Jr., 80, 128 bee, Ss Way 72
IvevalD Ge e92 Kixmiller, J. S., 204 Leitenberg, H., 176
Klein, M. D., 14, 288 sor, TEL eo fey, C2 SS}, MOO), MOI, MOD, 108),
JacksonmD IN e2o Oo OA OS le) Kloos, B., 161, 196 104, 271
Jackson, J., 281 Knight, C., 59 Leonard, L. H., 4, 24
Jackson, T. W., 39 Knoche, L. L., 227 Lepage, K. M., 38
Jacob, S., 131, 142, 145, 148, 268, 284 Knott, Hi, 10) 25,98, 140) 155, 2699270; Vermen, RoI 282
Jamison, T. R., 72 PT, Res) Levinson, H., 260
Jfesaviss Ie jg Sil, Ge? Knotek, S: E., 4, 27, 30, 95, 1125 157, 189) Lewandowski, L. J., 67, 87
Jason, L. A., 196, 286 190, 203, 204, 206, 271, 274 Lewin, K., 97, 99, 122
Jefferson, G. L., 227 Knowles, M. S., 245, 246 Lewis,J:Ac, 3; 17, 32, 1545158 16ledioo:
Jeger Ay Mi 226 Kontos, S., 288 204, 205, 238, 239, 247
Jeb 2.S5 Koonce, D. A., 278, 281 Lewis, M., 285
Jellinek, M. S., 290 Kormanski, C., 35, 98, 121, 239, 252 Lewis, M. D., 3, 166, 238, 239
Jeltova, I., 49, 280, 281, 285 Kottman, T., 272, 276, 277, 278, 279 ewis lee 2255201
Jennings, K. R., 96 Kovach, B. E., 96 EmcolniGalew1 206 ios
Jenster, P. V., 165 Kovalescki, J. F., 268 Lindberg, S. P., 176, 204
Jerrell,J.M., 156, 241
NAME INDEX 381
Lindsey, B., 25 McCarthy, M. M., 148 Murgina, A., 39

lippitt, G. L., 31, 32, 33, 34, 41, 113, 163, McClendon, J., 281, 282 Murphy, J. J., 164, 167, 169, 267, 268
258 McDade, A., 38 Murphy, M. J., 104
Tippitt, Ro; 31); 325.33; 34, 41, 258 McDougal, J. L., 94, 155, 268, 270 Murphy, S., 281
Little, S. G., 288 McFarland, W. P., 271 Murrell, K. L., 254
[Prius ID 25) McGowan, S., 257 Myers, B., 3
Lloyd, P. J., 288 McIntyre, A., 191 Myers, J. E., 204
Lochman, J. E., 232 McKay, C., 59, 279 Myrick, R. D., 123, 263, 267
Mockes Ee Ay 3 McKenna, A. E., 25
Lopez, E. C., 39, 274, 275, 284, 289 McLean, G. V., 20, 36, 48, 54, 55, 60, 61, Nabors, L. A., 121
Lopez, M. F., 83, 103 FEN WS; he, Wis Tish, Soy, Oh, Ok tie, eee Nadler, L., 36, 55, 74, 80, 123, 239
Lott, B., 32, 280, 281 161, 243, 252 Nastasi, B. K., 3, 14, 17, 18, 27, 28, 205,
Love, K. B., 16, 38, 288 McLoughlin, C. S., 285 247, 270, 280, 281, 282, 286, 290
Lowman, R. L., 259 McMahon, T. J., 284 National Association of School
Ruceas Nie 59) 1188 19 Meade Ga, 37 Psychologists (NASP), 131
IA, So 185, INS Meara, N. M., 147 National Association of Social Workers
Luiselli, J. K., 227, 231, 268 Medway, F. J., 47, 62, 271 (NASW), 131, 134
bukemRerAC |Een 6 Meeks, S., 176 National Board for Certified Counselors
urna Os 25. 28en35. al67: Meichenbaum, D., 210 (NBCC), 131, 132, 136, 140, 148
Lundberg, C. C., 164 Mei-Ju, L., 265 National Organization for Human Services
Lungaro, C.J., 39, 103 Melnick, J., 174 Education (NOHSE), 131
Lusky, M. B., 247, 248 Mendoza, D. W., 164, 194 Naumann, W. C., 105
Wutzker are 2d0) Meredith, P. H., 36 Neale, M., 3
Merrell, K. W., 4, 10, 93, 259, 263, 267, Nelson, G., 133
MacDonald, D., 148, 152 269, 278, 285, 286 Nelson, M., 268
Mackin,J. R., 158 Merron, K., 49 Nelson-Gray, R. O., 118
Macklem, G., 1 Metropolitan Area Child Study Research Nesman, T., 282
MacLennan, B. W., 179 Group, 286 Nevin, A., 13, 289
MacMann, G. M., 13, 78, 104 Metzger, R. O., 76 Nevis, E., 174
MacNealy, M. S., 75, 120, 121 Meyers, B., 30, 265 Newbold, R. C., 227
Maher, C. A., 4, 226, 247 Meyers, J., 29, 38, 39, 41, 42, 46, 48, 49, INeweomersln l/s 2255234
Maital, S. L., 281 FD, VO35 Wd) 138.1475 1745 176,203; Newman, J. L., 94, 131, 141, 143, 145,
Maloney, H. N., 176 206, 247, 265, 266, 286 146, 147, 166
Mandal, R. L., 265 Michaels, GA 289290 Nicholson, D., 284
Mang, M., 189 Milburn, N. G., 268 Nicoll, W. G., 278
Maniacci, M., 272 Miller, M. D., 148 Noblit, G. W., 38, 120
Manley, T. L., Jr., 167 Miller, T. W., 147 Noell, G. H., 2, 38, 62, 74, 91, 92, 94, 101,
Mann, L., 91 Milsom, A., 14, 25, 30, 144, 268, 269, 285 102, 103, 114, 123, 124, 167, 208, 214,
IN etatol, 1 IANS aie), yi Minke, K. M., 13, 279, 281 O50 235
Mannino, F. V., 179 Miranda, A. H., 25, 28, 44, 85, 134 Norris, F. H., 248
Mianize los 235) Misal, K. N., 288 Nuigens, K., 281, 285
Margolis, H., 271, 276 Moates, K. N., 72
Margulies, N., 31 @choa Seite 231
Modaffen, C., 176
Marks, E. S., 68 O'Connell, J. J., 242
Molesky, S. M., 139
Marshall @ 121 O’Conner, W. A., 120, 259, 260
Monahan, J., 203
Martens, B. K., 39, 63, 67, 91, 94, 103, O’Driscoll, M. P., 112
Monarch, N., 24
UBS, AOD, Dilis, ZO, 2739), PASS} Offermann, L. R., 157
Moore, J. W., 271
Martin, J., 67, 210 Oktay, JoS2 121
Moore, S., 62
Martinek, G., 288 @’Keete; D5 47; 62, 271
Morasky,R. L., 210
Matuszek, P. A., 249 O’Neil,J. M., 261
Morris, J. R., 9
INE ales, TaN, 17 O'Neill, P., 161
Morrow, S. L., 119
Mayer, S., 277, 278, 279, 288 Orland, M. E., 283
-Morsink, C. V., 134
Mazade, N. A., 205 ' @nmeromeouwecomo}
Mortola, P., 272
Mazza, J., 30, 144, 285 Ortiz, S. O., 17, 28, 64, 84, 85, 280, 281,
Moseley-Howard, G. S., 145, 281
MeGabe, P. P., 276 291
Moulton, P., 16
McCarroll,J. E., 61, 146, 157, 260 Osborne, S. S., 13, 33, 34, 39
Mouton, J. S., 239, 241, 258
Osterweil, Z. O., 80, 203
382 NAME INDEX
Padgett, D. K., 118, 121 Rawlings, D., 95, 254, 258 Schein, E. H.., 32, 35, 54, 59; 61, 123, 164,
Paisley, P. O., 14, 25, 30, 144, 268, 269, Ray, A, G., 62 165, 166, 171, 236, 237, 239, 241, 242,
285 Reed, C., 59 250251, 252) 253,254, 258.259.2605
Paolucci-Whitcomb, P., 13 IReeseom) ule Olee28.© 262
Parker, R. J., 278 Register, D., 4 Schmuck, R. A., 253, 254, 269, 270
Parsons, R. D., 10, 48, 61, 75, 115, 132, Reifin, L. H., 103 Schottle, D. A., 209
203 ernie, WW, Ws Iie; SP, SO, Bi, Wail, 1S), Schroeder, D., 179
Parting Re US 4s 277, 143, 146, 148, 149, 151 Schulte, Ay Gr Ga SSS 4e6G Ooo mo/eacle
Patton, B., 16, 95, 112 Reppucai, N. D:, 208; 2111; 212,213,223 179, 181, 187, 194, 232
Pearson, B., 139 Reynolds, C. R., 72, 74 Schwiebert, V., 204
Pedersen, P. B., 132 Reynolds, G. P., 273 Scot levie2 0S
Pemson, 12, 133 Rhoades, M. M., 233, 278 Sears, R., 204, 205, 237, 238, 247, 258
Pellitteri, J., 263 Rhoades, R. L., 281 Sekaquaptewa, S., 120
ReltiersG, ba209 Ridley, C. R., 164 Seligman, M. P., 290
Pena, R. A., 268 Riley, R. W., 265, 276 Senge, Py 201 265,
Pett, 1. Ay 194 piles, 10, I, 227/ Serviss, S. T., 24
IReanye, 18S. 12s (a) Riley-Tilman, T. C., 64, 101, 102, 103, Shadish, W. R., 118
Pew, W. L., 271 WS 2 Shapiro, EFS. 77,94, L0se271
Pfeiffer, J. W., 144 Riser, K., 25 Shaw, H. E., 147, 148
Phelps, L., 290 Ritchie, M. H., 277 Shaw, S. F., 147, 148
PiazzaniNieaie Robinson, B. A., 268 Shaw, S. R., 14, 266
Pierce, P. P., 67 Robinson, D., 259 ShealyaGaeo
Piersel, W. C., 49 Robinson, J. C., 259 Shepard Ke Mie 39 O17 82 Saou
Pillermar, R. S., 3 Robinson, S. L., 47, 102, 131, 142, 169, Sheridan, S. M., 37, 38, 41, 73, 84, 85,
Pinkerton, R., 178 N/T, AEDS, PPI, PAIS). PEK OSS 1255 1455 74. io is e222
Pitt, N., 266 Robinson-Kurpius, S. E., 146 PPB, PER PLE, Py, BIB, Boi, PONY,
Pittman, P. H., 12, 13, 49, 140, 146, 223, Rockwood, G. F., 259 276, 277, 278, 280, 285, 288
DET 2322 263) 210,207 Rodgers, K. A., 282 Shernoff, E. S., 91, 93
Plummer, D. L., 134, 258 INO Sets Cea. Sherwood, J. J., 9
Pokorny, S. B., 286 Rogers, D. L., 28, 30, 32, 203, 271, 274, Shinn, M. M., 13, 112, 114, 118
Polkinghorne, D. E., 118, 120, 248 290, ShiromwAs 7 lovee Doanos
Ponterotto, J. G., 119 Rogers, M. R., 112, 280, 281, 287 Shore, M. F., 179
Porterfield, J., 163 Rominger, R. L., III, 37, 38 Short, R. J., 62, 282
Powell, S. R., 285 Rose, G. S., 17, 49, 50, 62 Shosh, M., 176, 205, 283
Pransky, K., 268 Rosen, C. S., 248 Shriberg, D., 281
Pnilleltensky, I., 133 Rosenfield, S. A., 4, 14, 26, 27, 56, 57, 59, Shultz, J., 238
Pruett, M. K., 284 Vie WAZ 2082255 2 lee Qos 2 Seen, Siegal,J. A., 4
Pryzwansky, W. B., 36, 37, 38, 112, 120 Ross, M. R., 285 Silverman, M. M., 204
Pugach, M. C., 9; 14 Rossman, G. B., 121 Simcox, A. G., 281, 285
Putnam) Ro ES 2277, Rotheram-Borus, M. J., 286 Simola, S. K., 157 _
Rowley, W. J., 148, 152 Simpson, F. M., 273
Quinn, K., 283 Rozeckindien25. 265 2a ov, SinessVieiG@e 1s
Quinn, R. D., 179 Roubini tl iS Sinha, D. P., 239
Quintana, S. M., 28, 84, 145, 284, 287 Runkel, P. J., 270 Skinner, B. F., 210
Quirk, M. P., 176, 204 Russell-Chapin, L. A., 121, 176 Skinners Gar /peom 2
ko)
Sladeczek, I. E., 103, 105
Raforth, M. A., 268, 269, 270 Safran, J. S., 263, 266 Slonski-Fowler, K. E., 285
Rvatd ye eee Sairane Se 222690206 Slotnick, R. S., 226
Ramirez, S. Z. 17s a8; 27, 26.39.44 7165, Sales, B. D., 148, 149 Smaby, M., 268
84, 126, 134, 135, 280, 281 Salmon, D., 264 Smart, J. F., 80
Ramos, V., 121 Salzman, M. B., 18, 28 Smith, D. C., 80, 268
Rand, J. M., 4 Samdal, O., 102, 268, 288 Smith, E. P., 196
Randolph, D. L., 24, 49 Sampson,J. P., Jr., 147, 148 Smith, K. A., 17, 18, 19, 38, 134, 135, 280,
Rapin, L. S., 4 Sandland, K., 96 , 281
Rapp, C. A., 204 Sandoval, S. R., 39, 72, 95, 105, 189, 190 Smith, R. M., 110, 289
Rauschenberg, F., 95 Scheel, M. J., 92
Snow, D. L., 134, 139, 140, 142, 143
Raven, B. H., 62, 63, 64
NAME INDEX 383
Sommers-Flanagan, Joy. 2H PD Meraay, 1D), y/ Watson, T. S., 38, 39, 47, 72, 75, 78, 80,
Soo-Hoo, T., 135, 280 Thomas, A., 224 HOZ LOS; L69 W77e 208; 223; 225,228:
Sorenson, G. P., 148 Thomas, C. C., 134 DOS) 211s 270279. 286
Souflee, S., Jr., 166 Thomas, K. G. F., 196 Watts, R., 147, 272
Spector, B., 164, 166 Thomas, K. R., 135 Webb, A., 281
Spernye loose Do or Thomas, R, T., Jr., 167, 258, 259 Weber, M., 158
Staten, T., 281 Thousand, J. S., 13, 170, 266 Weber, R. L., 203
Statonnan Reo. Tichy, N. M., 71 Webster, L., 30
Stayer Ea Mine 24. Tilly, W. D., III, 78, 80, 81, 82, 83, 99, Weime, B., 271
Steege, M., 72, 78, 80, 119 101, 102, 104, 114, 118 Weinrach, S. G., 135
Stenger, M. K., 271 Tindal, G., 197 Weiss, H., 277
Stenhor jes. 271 Tingstrom, D. H., 49 Weissberg, R. P., 285
Sterling, E., 38 sobiase en oo. G4 Weist, M. D., 121
Sterling-Tumer, H. E., 93, 102, 231, 233, Tollefson, N., 271 Weksel, T., 147
271 Tiombarn, Mi L., 78, 220 Welch, M., 13, 14, 25, 37, 39, 166, 278,
Steward, R. J., 134, 258 Topping, K. J., 91 285, 286
Stock, H. V., 146, 157, 260 Tramontin, M., 129, 146, 157, 290 Welfel, E. R., 8, 138
Stoiber, Key 0375 394 93. 11005 102, 108) Trickett, E. J., 161, 196, 197, 198, 206 Wellmon, B. M., 246
1952035231 Tatscotty Sa = OSs I 2AnMiS4 0579236" Werner, J. L., 204
StollaneSwe se Zon OA Su ol Soa 10S: 258, 285 Westaby,J.D., 76
114, 158, 159, 161, 225, 237, 268, 269, Tulbert, B., 13, 39, 134, 286 Wheatley, W. J., 80
288 urco ye les 215) Wheeler, D. D., 92
Stoner @x Real 176 Turnage, J. J., 157 Whichard, S. M., 62, 64
Strang, D., 97 Tyler, J. M., 204 White,J., 110
Strauss, A., 121 White Kress, V. E., 74
Stampers) 275) Uhlemann, M. R., 67 Wickstrom, K. F., 47, 50
Stroh le, Ky 325,36, 545-55, 56, 575 74, 75, Unger, D. G., 249 Wiens, A. N., 183
76, 124 Uppal Ker Res 57/5) Cleese. S399 e02, Wilborn, B. L., 276, 279
Strong, S. R., 62 104, 114, 118 Wilcoxson, S. A., 57
Strosahl, K., 176 Ursano, R. J., 61, 146, 157, 260 Wilczynski, F., 265, 286, 290
Struzziero,
J., 147 Wire eelo 95 Wilkinson, L. A., 93, 102, 103
Studer, J. R., 263, 290 Willems, E. P., 210, 226
Valdese, L. E., 204
Sue, S., 28, 64 Williams, C., 62
Waldezy Gao 278) 279
Sugai, G., 227, 232, 268, 288 Niailiencaks, WH, Ike, Gq MG), Q2, Beil
Vandenberg, R. J., 36
Sullivan, P., 25 Wantieya lala 3,
Van Der Heyden, A. M., 91
Sullivan, W. P., 204 Witt, J-G;, 2, 46, 47, 50, 74, 91, 92, 94,
Van de Ven, A. H., 96
Sundstrom, E., 96, 97 LOS A235 Gye 214, 231" 233
Vandiver, F. M., 276
Swanson, R. A., 245 Wirdas ile 27a -275
Van Someren, K. R., 233
Swenson, C. C., 282, 283 Wolk Re Ss 3
Van Velsor, P. R., 276
Swenson, L. C., 148, 149, 153 Wolpe,J., 210
Veazey, N., 24
Swerdlik, M. E., 14, 266 Wright, C., 181, 264
Vernbere, BE: M., 208, 211, 212, 213; 223
Wubbolding, R., 134
Tack, F. E., 46, 128 Vernon-Jones, R., 268
Dalley Rei Gw2S2283 Villa Re AS us Yelich, G., 46, 49
Tannenbaum, S., 130 Vincent, i. A, 197 Young, H. E., 248
Tanyu, M., 286 WolpenResleayi Ue Re KWo
Tanverebelnng. Re Ken di 39s 1345 281; Yung Tam, B. K., 283
Walberg, H. J., 285
287
Walker, C. M., 4 Zann 54°56
Tashakkoni, A., 118, 121
Wallace, W. A., 138, 214 Zamarripa, M. X., 284
Mautiques S pRewowo nos alos
WaltoneRe Es 95. 156y li; Zanger, D., 278
Taylor, L., 142, 158, 247, 265, 268, 269,
Wampold, B. E., 80, 128 ZLawacka, Ra AY 71
270, 285
Washburn,
J. J., 3, 167, 191 TS Woy, Oe, Oh, Ay (Oy Uy WO, iL, NS, la, 76,
Taylor, R. D., 285 6
Waszak, C., 118 XS Kor, 335), (SO), KS, TH, GB, BS, 155),
Meddlie, G;, 118; 121
Watson, J., 210 157, 169, 173, 174, 236, 247, 264, 266,
Telzrow, C. F., 102, 108
Temple. R. D., 178 269, 285, 288
Tjeya0\., ID), PASS)
HK
Subject Index
Acme Human Services Center behavioral collaboration, 228 change

(case study), 292-305 behavioral consultation, 173, 208-235, 328 as part of consultant’s growth
Adlerian consultation, 264, 271—273 behavioral case, 209, 214-223 orientation, 24—25
case, 272 behavioral system, 209, 225-227 exploring organization’s commitment
C-group, 272-273 behavioral technology training, 209, to, 53-56
parent education, 279 Da) PSs in consultee and client system, 12
advocate role, 32, 328 conjoint, 227-228 in organizations, 162-164
American Counseling Association (ACA), contributions, 232—233 recent, in organizations and society,
Dksy, GE WAN). ANShih, WAS GE CNS. criticisms of, 233 NSXei—tl'S)7/
136, 137, 138, 140, 141, 142, 143, defined, 211—212 choosing an intervention, 91-99
147, 148, 149 historical background, 209-211 client
American Psychological Association key concepts, 212-213 defined, 328
(ARA)289 123i S234 1355 multicultural aspects, 228-229, 231 determining who is, 240
136, 137, 139, 141, 142, 143, 148, trends, 231—232 client-centered case mental health
149, 153 behavioral system consultation, 209, consultation, 182-184
American Schoo! Counselors Association 225-227 application, 183-184
(ASG), 3,8, 14. 263, 267 application, consultation techniques and compared with other types, 182
andragogy, 245 procedures, 227 consultant function and roles, 183
assessment in organizations, 145, 166 consultant function and roles, 225 consultation techniques and
consultee’s experience in consultation, procedures, 183-184
behavioral case consultation, 209, 226 consultee’s experience in consultation,
214-223, 227-228 goals of, 225 183
application, consultant techniques and stages in, 226 goals, 182-183
procedures, 219-223 behavioral technology training, 209, 223, client system, defined, 10, 11, 328
conjoint, 227-228 225 codes of ethics, 131-132
consultant function and roles, 215-219 brainstorming, 83-84 collaboration
consultee’s experience in, 219 as a service distinct from consultation,
goals, 215 HAs HWS), GS ai). 2X0%0).
steps in, 219-233 C-group, 272-273 294-325
‘
verbal interaction techniques, assumptions, 7—9
ANS FAS
behavioral perspective, 228
384
SUBJECT INDEX 385
choosing collaboration, 19 evaluation of, 45-46, 104-105, behavioral case, 219

compared to other human service M2122, behavioral system, 226
activities, 15-16 generic model, 42-128 behavioral technology training, 225
consultant’s role in, 33-34 historical overview, 9-10 client-centered case, 183
defined, 13-15, 328 increasing demand for, 1, 3-4, 263-264 consultee-centered administrative, 194
interagency, 281-284 instructional, 273-276 consultee-centered case, 185
mental health perspective on, levels of prevention, 16-17 doctor-patient, 251
198-200 mental health, 173, 175-207, 296-300 > education/training, 244
organizational perspective, 255 S20o29 process, 253-254
promoting, 20 multicultural aspects, 2, 17-19, program, 248
school-based, 265-266 27-28, 38, 64-65, 84-85, 105, program -centered administrative, 192
transcript of case, 314-325 125-126, 134-135, 166-167, consulting with groups
when to use, 19, 198-200 200-201, 228=231, 255-258, ethical issues in, 144-145
with parents, 276-290 280=281, 287 interventions with groups, 95-97
with school administrators, 268-270 organizational, 170, 236-262, skills necessary for, 30
with teachers, 270-276 259=27/0 S25 contract, 43, 53, 56-60
collaborative consultation, defined, 328 organization development in schools, defined, 56-57
confidentiality, 142-143, 284 269-270 elements and aspects, 57-59
consultant promoting, 20 example of, 58
attitudes related to skills, 25-26 relationships ofparties involved, 11, 138 contracting, 56-60
characteristics of effective, 24-25 research on, 36-39 crisis/disaster consultation, 146, 260, 290
competence of. See consultant teaching role in, 16, 33, 243-246 cross-cultural considerations
competence underlying assumptions, 7—9 when working with
external, 12, 35-36, 53, 198-200 with parents, 276-281 parents, 279-281
internal, 12, 35-36, 53, 198-200 with school administrators, 268-270 culturally sensitive organization, 166-167
knowledge base of, 24-25 with teachers, 270-276 culture
prototypical roles, 9 consultation process organizational, 164-166
relationship to consultee, 10-12 personalizing, 150-151
FOES S35 when not to engage in, 54-56
skills, 25-31 consultee data gathering. See gathering information
social influence, 62-64 defined, 10-11 decision consultation
training, 8, 138 relationship to consultant, 10-12 defining the problem, 69, 78, 80-81
consultant competence, 135-138 resistance, 46—50 diagnosis
consultant-consultee-client relationship, rights, 12, 140-141 as an ongoing event, 70-71
10-12, 138-141 consultee-centered administrative mental defined, 71
diagram, 11 health consultation, 182, 193-195, in doctor-patient model, 249-250
dual relationships in, 139-140 29 O25) diagnosis stage
freedom of choice, 140-141 application, consultant techniques and analysis of, 69-88
temporary nature of, 12 procedures, 194 defined, 329
tripartite nature of, 10-11 consultant function and roles, defining the problem, 78-81
work-related focus of, 138-139 194-195 gathering information, 72-78
consultation consultee’s experience in consultation, generating possible interventions, 83-84
Adlerian, 264, 271-273 194 multicultural aspects, 84-85
assumptions about, 7—9 goals, 193-194 setting goals, 81-82
behavioral, 173, 174, 208-235, consultee-centered case mental health direct service
300-302, 325 consultation, 182-190 defined, 329
categorization of theoretical models, assessment of consultee’s problem, 183, from consultant to consultee, 10-11
172-174 185-189 disengagement
choosing consultation, 19 compared with other types, 182 defined, 329
common characteristics, 12-13 consultant functions and roles, 183 evaluating the consultation process,
compared with collaboration, consultee’s experience in, 183 112—122
(eo oye 9 64>.) 2005 goals, 182 planning postconsultation matters, 122
DoA-O25 : innovations in, 189-190 reducing involvement and following
compared with other services, 15-16 reasons for lack of objectivity, 186-187 up, 122-124
defined, 10-11 theme interference, 187-189 stage, analysis of, 110-128
determining to proceed with, 54-56 consultee’s experience in consultation terminating, 124
386 SUBJECT INDEX
doctor-patient model, 242, 249-252, 304 evaluating the consultation process, client-centered case, 182-183
application consultant techniques and 112-122 consultee-centered administrative,
procedures, 251 formative evaluation, 114-118 193-194
assumptions underlying, 250 qualitative methods, 119-122 consultee-centered case, 182
compared with other models, 242 quantitative methods, 118-119 defined, 81
consultant functions and roles, 251 role of evaluation, 112-114 doctor-patient, 251
consultee’s experience in consultation, sample checklist for, 117 education/training, 243
251 sample survey for, 118 process consultation, 252-253
documents and records summative evaluation, 118-122 program-centered administrative, 190
as evaluation devices, 118-119 evaluating the plan program consultation, 247-248
as information-gathering devices, 73-75 instruments used in, 104-105 goal setting. See setting goals
expert role; 32=33) 242-249 growth orientation
exploring organizational needs, 53-56 consultant’s personal growth, 24
ecological perspective of mental health consultant’s professional growth, 24
consultation, 196-198, 325
education/training consultation, fact-finder role, 34-35, 249-252
243-246, 325 following up, 122-124 home-school collaboration, 279-281
application, consultant techniques and force-field analysis, 99-100, 122 human resource development (HRD),
procedures, 244-246 formulating a plan, 99-101 239
consultant functions and roles, 243 functional analysis, 78-79, 211, 221 human service organization, 329
consultee’s experience in, 244 function and roles of consultant
entry into a system behavioral case, 215-219
physical, 60-61 behavioral system, 225 implementation stage
psychological, 61-64 behavioral technology training, 223 analysis of, 89-109
entry stage client-centered case, 183 choosing an intervention, 91—99
analysis of, 52-68 consultee-centered administrative, 194 defined, 329
contracting, 56-60 consultee-centered case, 185-190 evaluating the plan, 104-105
exploring organizational needs, 53-56 doctor-patient, 251 formulating a plan, 99-101
physically entering the system, 60-61 education/training, 243 implementing a plan, 101-104
psychologically entering the system, process, 253 multicultural aspects, 105
61-64 program, 248 indirect service
with individuals, 65-67 program-centered administrative, 191 defined, 329
ethical behavior from consultant to client system, 11
skills related to, 30-31 interagency collaboration, 14, 281-284,
ethical issues gathering information, 72-78 289
consultant competence, related to, documents and records, 73, 75 interpersonal influence, 62-64
IS5S138 interviews, 76-77 interventions
crisis/disaster consultation, 146 nature of, 72-74 academic, 94
dual relationships, related to, 139-140 observation, 77-78 behavioral, 94-95
group consultation skills, related to, questionnaires and surveys, 76 between groups, 97
144-145 scanning in, 74 classification systems for, 93-94
in consultant-consultee-client generating possible interventions, 83-84 dyadic and triadic, 95
relationship, 138-141 generic model of consultation and empirically supported, 91, 93
in organizational consultation, collaboration, 42-128, 329 ethical issues related to, 145-146
146-147 defined, 42-44, 329 for entire organization, 97-98
Internet, related to, 147-148 example, 47, 48 group and team, 95-97
intervention, related to, 145-146 multicultural issues in, 17-19, 44, individual, 94—95
multicultural, 134-135 64-65, 84-85, 105, 125-126 interviews
rights of consultees, related to, 141-144 overview, 42—46 as evaluation devices, 105
school-based, 284 stages in, 44-46 as information-gathering devices, 76-77
training of consultants, related to, 138 glossary, 328-330
values, and, 132-134 goals
ethics behavioral case, 215 key concepts
aspirational, 131 behavioral system, 225 of behavioral consultation, 212-213
ethical decision making, 132 behavioral technology training, 223 of mental health consultation, 179-181
mandatory, 131 characteristics of effective, 81-82 of organizational consultation, 240-241
SUBJECT INDEX 387
legal issues organizational consultation psychologically entering the system,

avoiding legal entanglements, 149-151 collaboration, 255 61-64
malpractice, 149 conclusions about, 260-261 phases of the implementation stage, 45,
defined, 239-240 89-109
distinction between consultee and choosing an intervention, 91-99
mediation, 16 client, 240 evaluating the plan, 104-105
mental health consultation doctor-patient model, 249-252 formulating the plan, 99-101
basic characteristics, 179-181 education/training consultation, implementing the plan, 101-104
client-centered case, 182-184 243-246 physically entering the system, 60-61
collaboration, 198-200 example, 302-305 plan
conclusions about, 205-206 historical background, 238-239 defined, 99
consultee-centered administrative, key concepts in, 240-241 formulating a, 99-101
193-195 multicultural aspects, 166-167, planning postconsultation matters, 122
consultee-centered case, 184-190 255—258 positive behavioral support (PBS)
defined, 179-180, 329 organization as “client” in, 240 DSN D2, S|
ecological perspective, 196-198 process model, 252-255 pre-entry issues, 54-56
historical background, 176-178 program consultation, 247-249 task of familiarization, 55
key concepts, 179-182 purchase of expertise model, 242-249 prevention
modifications on the Caplanian model, school-based, 269-270, 285 levels of, 16
195=1196 trends in, 258-260 problem
multicultural aspects, 200-201 organizational theories expanded view of, 10
program-centered administrative, bureaucratic, 158 stage of development, 16, 55
190-193 systems, 158-162 problem solving
trends, 203-205 organization contact person, 54, 329 as an aspect of consultation, 10
multicultural aspects of consultation organization development, 155-156, 255, format followed in consultation,
as ethical issue, 134-135 269-270 42-43
diagnosis stage, 64-65 organizations skills of consultants in, 28-29
disengagement stage, 125-126 recent changes in, 156-157 process consultation
entry stage, 44 subsystems within, 160-161 application, consultant techniques and
generic model, 17-19, 44, 64-65, theories about. See organizational procedures, 254-255
84-85, 105, 125-126 theories assumptions underlying, 252-253
implementation stage, 105 compared with other models, 242
school-related, 280-281, 287 consultant functions and roles, 253
skills, 27-28 parallel learning structures, 98 consultation goals, 253
parties-at-interest (stakeholders), 54, 329 consultee’s experience in, 253-254
personal model of consultation, 50-51, process specialist role, 35
National Association of School 293— 294 525,02 professional issues, 130-132
Psychologists (NASP), 131 phases of the diagnosis stage, 44-45, program-centered administrative mental
National Association of Social Workers 69-88 health consultation, 190-193
(NASW), 131, 134 defining the problem, 78-81 application, consultant techniques and
National Board for Certified Counselors gathering information, 72-78 procedures, 192-193
(NBBC), 131, 132, 136, 140, 148 generating possible interventions, compared with other types, 182
No Child Left Behind Act, 93, 265 83-84 consultant function and roles, 191
Nominal Group Technique (NGT), setting goals, 81-82 consultee’s experience in, 192
195-196 phases of the disengagement stage, 45—46, goals, 190
110-128 program consultation, 247—249
evaluating the consultation process, application, consultant techniques and
observation A) procedures, 248-249
as evaluation device, 105 planning postconsultation matters, 122 consultant function and roles, 248
as information-gathering device, 77-78 reducing involvement and following consultation goals, 247
naturalistic, 77 up, 122-124 consultee’s experience in, 248
systematic direct observation, 77 terminating, 124 psychologically entering the system,
organization : phases of the entry stage, 44-45, 53-64 61-64
culture, 164-166 contracting, 56—60 gaining acceptance, 61
defined, 164 exploring organizational needs, 53-56 using interpersonal influence during,
organizational change, 162-164 physically entering the system, 60-61 62-64
388 SUBJECT INDEX
purchase of expertise model, 241, with parents, 276-281 teams, 13-15, 95, 96, 97, 281-284
242-249 with school administrators, 268-270 techniques and procedures in
assumptions underlying, 242 with teachers, 270-276 consultation
compared with other models, 242 setting goals, 81-82 behavioral case, 219-223
education/training consultation, skills of consultants, 25-31 behavioral system, 226
243-246 interpersonal and communication, behavioral technology training, 223
program model, 247-249 25-26 client-centered case, 183-184
in working with organizations, 29-30 consultee-centered administrative,
problem-solving, 28-29 194-195
quality circles, 96 related to dealing with cultural consultee-centered case, 185-189
questionnaires and surveys diversity, 27-28 doctor-patient model, 250
as evaluation devices, 104-105 related to ethical and professional education/training, 244-246
for gathering information, 76 behavior, 30-31 process consultation, 254-255
survey feedback/action research, 97-98 related to working with groups, 30 program-centered administrative,
relationship of attitudes to, 25-26 POP MES)
social influence of consultants, 62—64 program consultation, 248-249
reducing involvement and following up, stages of generic model, 42-128 terminating consultation, 24
122-124 diagnosis, 44-45, 68-88 emotional issues in, 24
defined, 122 disengagement, 45—46, 110-128 importance of, 24
fading in, 122 entry, 44, 52-68 theme interference, 186-189
research on consultation and implementation, 45, 89-109 explanation of, 187-188
collaboration, 36-39 need for multicultural framework, methods of reduction, 188-189
resistance to consultation, 46-50 17-18 reduction of, 188-189
consultee, 49 overview, 42—46 third-party peacemaking, 95
dealing with, 50 strategic planning, 98 time constraints, 167-170, 286-287
organizational, 47-49 suggestions for effective practice, 20, 40, total quality management, 97, 268
rights of consultees, 141-144 C7 ST a LOS 27 lo2 1705206; trainer/educator role, 33
confidentiality, 142-143 234, 261, 290, 326 training of consultants, 8, 138
informed consent, 143-144 summative evaluation, 118-122 training of consultees, 144, 223-225
roles of consultants, 31-35 case study method, 120 : treatment acceptability, 103
advocate, 32 constant comparative method, 121 treatment integrity, 102-103, 233
categorization of, 31-32 ethnographic interviews, 121 tripartite
collaborator, 33-34 focus groups, 121 defined, 330
determination of, 31-32 grounded theory, 121 nature of consultant-consultee-client
Expertno2—OS group comparison method, 119 relationship, 10-11
fact finder, 34-35 member checks, 121
process specialist, 35 pre-post method, 116-119 value conflicts, 133-134
trainer/educator, 33 recursive data collection, 121-122 verbal interaction techniques,
self-report assessment method, 120 PISANI)
time-series method, 119 classification of, 216
scanning, 74 triangulation, 121 message content, 216-217
school-based consultation and collaboration supervision message control, 218-219
Adlerian consultation, 272-273, 279 compared with consultation, 16 message processes, 217-218
case consultation, 272-273, 277-278 surveys. See questionnaires message source, 216
C-group, 272-273 systems, 158-162, 225-227, 285
historical background, 266-268 characteristics of, 159-160 web-consulting, 147-148, 286
home-school collaboration, 279-280 defined, 158 work-related problem
instructional consultation, 273-276 implications for consultants, 161-162 as focus of consultation, 11, 12
interagency collaboration, 281-284 defined, 330
subsystems within organizations,
in the twenty-first century, 287-290 work teams, 96-97
160-161
multicultural issues, 280-281, 287
organization development, 269-270
parent case consultation, 277-278 task of familiarization, 55
parent education, 278-279 teaching
pragmatic issues, 284—287 compared with consultation, 16
rationale for, 265 team building, 95, 96, 97
This is a process-oriented text with wide application to the field. Students find the organization
of the book and the language easy to grasp.
— Cheryl A. Notari, Montclair State
Well organized and well written. Free of jargon but full of important concepts of consulting
from an institutional point of view.
— Glenda Reynolds, Auburn University-Montgomery
Excellent reference for anyone doing consulting in helping professions and/or human services.
— Jeff Thomas, Arizona State University
Very thorough textbook that incorporates up-to-date literature and research, presented in a
format that helps the novice practitioner learn the step-by-step how-to's of consultation.
— Kumea Shorter-Gooden, Alliant International University
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PSYCHO!

AND COLLABORATION IN SCHOOL

AND COMMUNITY SETTINGS

Content Project Manager,

Print Buyer: Rebecca Cross

Cengage Learning products are represented in Canada by

For your course and learning solutions,

Printed in the United States of America

ryeys ves veh | caterer co eb Meee 4 . =

PART | Consultation and Consultants, Collaboration and

1 Introduction and Overview 5

Questions for Reflection 20

Consultants, Consultees, and Collaborators 22

PART Il The Stages of Consultation and Collaboration 42

6 Disengagement Stage 110

Ethical, Professional, and Legal Issues 129

Issues Related to Consulting over the Internet/Telephone 147

8 The Pragmatic Issues of Working within an

PART Ill Models of Consultation 172

9 Mental Health Consultation and Collaboration 175

Case Example 178

10 Behavioral Consultation and Collaboration 208

Behavioral Case Consultation 214

11 Organizational Consultation and Collaboration 236

12 School-Based Consultation and Collaboration 263

13 Case Study Illustrations of Consultation and

Mental Health Consultation 296

Psychological Consultation and Collaboration in School and Community Settings is writ-

ABOUT THE FIFTH EDITION

erage on treatment integrity and treatment acceptability. Chapter 6 includes ad-

HOW TO USE THIS TEXT

Michael Cox, Webster University

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Chapter 8 covers a variety of issues related to working in an organizational

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Consultation and Consultants,

time consulting than in any other activity (Hardesty

+ his chapter introduces the concepts of consultation and collaboration, de-

Consultationis practiced by most human service professionals in a variety of

multi-causal nature, and the gréat realm of possible

Consultant Consultee Client System

FIGURE 1.1 Relationships of the parties in consultation

me Ate way. The content of consultation deals

COMMON CHARACTERISTICS not (at least as far as the consultation relation-

Case Example 2: Collaborating with a

develop a program that has Mary implementing

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vices to the student. You help her with the token

a work-related problem cannot be therapeutic to

SUGGESTIONS FOR EFFECTIVE PRACTICE

QUESTIONS FOR REFLECTION

SUGGESTED SUPPLEMENTARY READINGS

Consulting Psychology Journal: Practice and Research. This

http://www.counseling.org/Publications/ you can enjoy the convenience of searching

Consultants, Consultees, and

|f you were looking for a consultant or collaborator to work with people in

the consultee’s experience without losing his or

aca. 2000). oe ASR ORTH on eee awrens s

= putting the consultee at ease (e.g., making small