Julie A. Steen PhD a & Thomas E. Smith PhD b a Southern Illinois University Carbondale, School of

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1 This article was downloaded by: [Florida State University] On: 11 August 2015, At: 11:59 Publisher: Routledge Informa Ltd Registered in England and Wales Registered Number: Registered office: 5 Howick Place, London, SW1P 1WG Administration in Social Work Publication details, including instructions for authors and subscription information: An Assessment of the Minimization of Risk and the Maximization of Opportunity Among Private Nonprofit Agencies in Florida Julie A. Steen PhD a & Thomas E. Smith PhD b a Southern Illinois University Carbondale, School of Social Work, 875 South Normal Avenue, Carbondale, IL, 62901, USA b Florida State University, School of Social Work, UCC 2570, Tallahassee, FL, , USA Published online: 02 Oct To cite this article: Julie A. Steen PhD & Thomas E. Smith PhD (2007) An Assessment of the Minimization of Risk and the Maximization of Opportunity Among Private Nonprofit Agencies in Florida, Administration in Social Work, 31:3, 29-39, DOI: /J147v31n03_03 To link to this article: PLEASE SCROLL DOWN FOR ARTICLE Taylor & Francis makes every effort to ensure the accuracy of all the information (the Content ) contained in the publications on our platform. However, Taylor & Francis, our agents, and our licensors make no representations or warranties whatsoever as to the accuracy, completeness, or suitability for any purpose of the Content. Any opinions and views expressed in this publication are the opinions and views of the authors, and are not the views of or endorsed by Taylor & Francis. The accuracy of the Content should not be relied upon and should be independently verified with primary sources of information. Taylor and Francis shall not be liable for any losses, actions, claims, proceedings, demands, costs, expenses, damages,

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3 An Assessment of the Minimization of Risk and the Maximization of Opportunity Among Private Nonprofit Agencies in Florida Julie A. Steen, PhD Thomas E. Smith, PhD ABSTRACT. The purpose of this study was to assess the preparation of human service organizations for the minimization of risk and the maximization of opportunity. Three primary areas were examined: political connectivity (which aids in the maximization of opportunity), documentation of agency policies (which aids in the minimization of risk), and comprehensive strategic planning (which aids in both the maximization of opportunity and the minimization of risk). A survey of organizational characteristics was conducted with agencies known for provision of sexual education services to adolescents within Florida. This study revealed some of the strengths and deficits of the organizations in the sample. Strengths included fairly high rates of political connectivity and written documentation of personnel policies. There were deficits in the documentation of programmatic policies and the comprehensiveness of strategic plans. doi: /j147v31n03_03 [Article copies available for a fee from The Haworth Document Delivery Service: HAWORTH. address: <docdelivery@haworthpress.com> Website: < by The Haworth Press, Inc. All rights reserved.] Julie A. Steen is Assistant Professor, Southern Illinois University Carbondale, School of Social Work, 875 South Normal Avenue, Carbondale, IL ( jsteen@siu.edu). Thomas E. Smith is Professor, Florida State University, School of Social Work, UCC 2570, Tallahassee, FL ( tsmith@mailer.fsu.edu). Address correspondence to Julie A. Steen at the above address. Administration in Social Work, Vol. 31(3) 2007 Available online at by The Haworth Press, Inc. All rights reserved. doi: /j147v31n03_03 29

4 30 ADMINISTRATION IN SOCIAL WORK KEYWORDS. Private nonprofit, political relationships, policy, documentation, strategic planning INTRODUCTION At some point in time, most private nonprofit agencies undergo an organizational assessment. This assessment is often conducted to identify strengths and challenges and is the first step in planning for the agency s future (Van Wart, 1995). Assessments can also be conducted with a network of related agencies to determine strengths and needs within the network. This study provides an assessment of private nonprofit agencies within one field (sexual education) and one state (Florida). While organizational assessments focus on a range of characteristics, such as vision and mission statements, human resources, and finances, this assessment concentrates on those characteristics that impact the organization s relationship with its environment. Specifically, this study examines the elements of the organization that protect it from risk and allow it to take advantage of opportunities. Political Connectivity LITERATURE REVIEW One of the organizational characteristics examined in this study was political connectivity. This characteristic can be defined as the extent to which the organization is interacting with leaders in the organization s environment. In addition to the level of interaction, the quality of the relationship is important to consider. These relationships are key to maximizing the fit between the organization and the environment. Strong connections with local, state, and national leaders can benefit and protect organizations, while strong negative connections can make the organization a target and weak connections can lead to neglect of an organization s needs. The importance of a focus on political connectivity is emphasized in the literature. Scheirer (1996) promotes the inclusion of an analysis of relationships with environments (p. 76), which can be termed political connectivity. One facet of political connectivity is accomplished when key leaders maintain strong communications with all important sectors of environments: clients, funders, regulating agencies, and potential

5 Julie A. Steen and Thomas E. Smith 31 competitors (Scheirer, 1996, p. 76). In addition, political connectivity is advanced when staff members monitor and contribute to their broader environments, such as the local and national media and professional organizations (Scheirer, 1996, p. 76). Research supports the assertion that political connectivity has implications for organizations. Schinnar et al. (1992) found a link between the political characteristics of state mental health agencies and their budgets. Though Schinnar et al. focused on state agencies, their findings may also be relevant to private nonprofit agencies. Organizations that are private and nonprofit may, in fact, be more dependent on their political connectivity for survival than a public agency, which usually receives a base of funding each year. Documentation of Agency Policy Another organizational characteristic considered in this study is the level of documentation of agency policy. This element refers to the extent to which the organizational leaders have placed policies in writing. While this documentation of agency policy is certainly important for maintaining a smooth and consistent process internal to the organization, it is also vital for protecting the agency from external threats. Lawsuits are a possible threat to most agencies, since human service organizations routinely deal with controversial and potentially lethal societal problems, such as domestic violence, child abuse, and illegal use of drugs. These issues can place organizations at risk if proper safeguards, including the documentation of policy, are not in place. This concern for documentation is echoed in the literature. Documentation of policy and procedures has been included as a key element in the assessment of private nonprofit agency capacity (Fredricksen & London, 2000). Jobes and Berman (1993) examined the issue of client suicide and concluded that documentation by the agency of its policies and documentation by workers of the implementation of policy in individual cases can be invaluable when facing a lawsuit following a client s suicide. Strategic Planning The third area of study is the extent to which the organization has a comprehensive strategic plan. Steiner et al. (1994) described strategic planning as a pro-active exercise...enhanc[ing]motivation and vision, making a department or organization more responsive to its external environment, internal resources, and constituency (p. 88). Specifically,

6 32 ADMINISTRATION IN SOCIAL WORK strategic planning captures those activities required to choose organizational goals and to develop plans to implement them (Steiner et al., 1994, p. 89). In essence, this plan provides a map for administrators to navigate through both the internal workings of the organization and the environment external to the organization. This map is deemed so important it has been included in assessments of private nonprofit agencies (Fredericksen & London, 2000). In response to the importance of these items in nonprofit administration, this study seeks to assess these areas of organizational functioning within a Florida sample of sexual education providers. This study seeks to answer the following questions: Sample Do private nonprofit organizations in the sample have strong, positive relationships with key political entities in the organization s environment? Do private nonprofit organizations in the sample have written documentation of policies vital to protecting the organization from external threats of lawsuit or scandal? Do private nonprofit organizations in the sample have comprehensive strategic plans that help the administrators maximize the fit between the organization and the environment? METHODS To assess the organizational characteristics of agencies providing sexual education to Florida s adolescents, a written survey of providers was conducted. Surveys were mailed to 327 agencies in Florida that provide services to adolescents. In order to reach the maximum number of sexual education providers, surveys were sent to agencies in a number of different networks, including county health departments, teen parent programs, and teen pregnancy prevention program providers identified by the Florida Network on Adolescent Pregnancy, Parenting, and Prevention (FNOAPPP). Though these are common venues for sexual education, providers in these networks do not necessarily have sexual education programs. Therefore, the invitation to participate in the survey asked only those who were operating a sexual education program to complete the survey. Surveys from 79 organizations were returned, 34 of which were from public agencies and 45 from private nonprofit agencies. Three of

7 Julie A. Steen and Thomas E. Smith 33 the nonprofit agencies responding to the survey did not have a current sexual education program, but planned on starting one in the future. These three agencies were not included in the current analysis. The sample used in this study included only those respondents who represented private nonprofit providers that were currently offering sexual education. Design The Dillman Tailored-Design Survey Method was employed (Dillman, 1999). Each organization in the sampling frame received an introductory letter a week before the study began. A second letter was sent a week later along with the written survey. A reminder postcard was mailed a week later. Approximately three weeks later, a follow-up letter with a second copy of the survey was sent to non-responders. Measures Though the survey encompassed a number of organizational issues, this study focused exclusively on the areas of political connectivity, written documentation of agency policy, and comprehensive strategic planning. These three areas were chosen as foci, since they are indicative of the organization s ability to interact with leaders in the environment, protect itself from environmental threats, and maximize the fit between the organization and the environment. Both the quantity and quality of political relationships with a number of entities (including local media, local business leaders, local United Way staff, school board members, city council members, mayor s office, state Senator s office, state Representative s office, U.S. Senator s office, and U.S. Representative s office) were assessed through 20 survey items. The quantity was measured by the number of contacts with an entity. The quality was measured on a scale of 1 (very negative) to 4 (very positive). The presence of written agency policies regarding a number of important issues was assessed through 13 dichotomous items within the survey instrument. Policy issues studied included human resource procedures, reporting of abuse and neglect, background screening, client confidentiality, and controversial topics within sexual education. Key elements of a strategic plan were also assessed through 6 questions. These elements represented basic programmatic direction, fiscal support for the program, evaluation, and community awareness. Data were gathered from respondents that focused on the presence of an organizational plan for identification of a

8 34 ADMINISTRATION IN SOCIAL WORK target population, selection of a curriculum, development of fiscal resources, maintenance of programming should funds be cut, evaluation of program services, and participation in public awareness campaigns. Descriptive statistics, in the form of percentages, frequencies, and/or means, were used in each topic area listed above to create a profile of the sample. RESULTS The final sample included 42 private nonprofit agencies that were operating sexual education programs for Florida s adolescents. The lifespan of agencies in the sample ranged from 3 to 90 years. The average organization in the sample had been in existence for 21 years. A sizeable portion of the agencies (21.4%) had organizational missions that were faith-based. The majority of the sample was using a curriculum that focused on abstinence only (52.4%) or abstinence plus (both abstinence and contraceptives are discussed) (45.2%). A small percentage (2.4%) of agencies in the sample had programs that were neither abstinence-only nor abstinence-plus. Political Connectivity A presentation of the quantity and quality of the sample s political relationships can be found in Table 1. Almost all the organizations that responded had relationships with their local media, local business leaders, state Senator s Office, and state Representative s Office. A small percentage of them were lacking contacts with the School Board (10.0%), local City Council (12.0%), and Mayor s Office (16.0%). Approximately a quarter of the respondents were not in contact with the local United Way staff, their U.S. Senator s Office and their U.S. Representative s Office. In terms of the quantity of contacts, the highest mean number of contacts was found with local entities, such as local business leaders, local United Way staff, local media, and the local City Council. Fewer contacts with state and federal entities were found. Regardless of the frequency of interactions, the mean quality of the relationship was deemed to be positive among those that had a relationship with the entity. Only small differences in the mean quality of the relationship were seen across the entities.

9 Julie A. Steen and Thomas E. Smith 35 TABLE 1. Descriptive Statistics for Private Nonprofits Political Connectivity Percentage with No Relationship Documentation of Agency Policy Mean Number of Contacts Mean Quality of Relationship (Mean) Local Media 7.4 (2) Local Business Leaders 0 (0) Local United Way Staff 24.0 (6) School Board Members 10.0 (3) Local City Council 12.0 (3) Mayor s Office 16.0 (4) State Senator s Office 7.4 (2) State Representative s Office 3.6 (1) U.S. Senator s Office 27.3 (6) U.S. Representative s Office 25.0 (6) Valid percentage is reported above. Calculation of valid percentage ignores those cases that are missing a response for this item. Quality (in parenthesis) is measured according to the following rankings: 1 = Very Negative, 2 = Somewhat Negative, 3 = Positive, 4 = Very Positive. The presence of written policy within the sample can be found in Table 2. The majority of the sample had written policies regarding corrective action for employees (95.1%), confidentiality of client records (95.1%), employee grievance procedures (90.2%), background screening for employees (90.2%), and background screening for volunteers (87.8%). While a majority of the organizations had written policy regarding promotion and raises for employees (78.0%), reporting of suspected abuse or neglect occurring at the service site (75.6%), and reporting of suspected abuse or neglect occurring at the client s home (68.3%), a sizeable portion had no written policy on these issues. This absence is particularly of concern since these agencies serve children and adolescents. Only a minority of the organizations surveyed had policies regarding controversial issues within the field of service, such as abortion, contraception, homosexuality, masturbation, and religion. Strategic Planning Results regarding the presence of a strategic plan can be found in Table 3. The only element that was covered in the majority of the organizational

10 36 ADMINISTRATION IN SOCIAL WORK TABLE 2. Percentage of Organizations Having a Written Policy on the Following Items Corrective action for employees 95.1% (39) Promotion and raises for employees 78.0% (32) Employee grievance procedures 90.2% (37) Reporting of suspected abuse or neglect occurring at the client s home 68.3% (28) Reporting of suspected abuse or neglect occurring at the service site 75.6% (31) Background screening for employees 90.2% (37) Background screening for volunteers 87.8% (36) Confidentiality of client records 95.1% (39) Answering questions from clients about abortion 17.1% (7) Answering questions from clients about contraception 24.4% (10) Answering questions from clients about homosexuality 17.1% (7) Answering questions from clients about masturbation 17.1% (7) Answering questions from clients about religion 24.4% (10) Valid percentage is reported above. Calculation of valid percentage ignores those cases that are missing a response for this item. TABLE 3. Percentage of Organizations Having a Strategic Plan that Addresses the Following Items Identification of target population 36.6% (15) Selection of curriculum for program 26.8% (11) Obtaining funding for program 24.4% (10) Maintaining program if funding is eliminated 22.0% (9) Performing evaluation of program effectiveness 56.1% (23) Publicizing sexual health messages in the community 36.6% (15) Valid percentage is reported above. Calculation of valid percentage ignores those cases that are missing a response for this item. strategic plans was program evaluation (56.1%). Important program decisions, such as identification of a target population and selection of a curriculum for the program, were not addressed in most strategic plans. Funding was another issue that received little attention. Only 24.4% of agencies had a plan that addressed how to obtain funding. Only 22.0% addressed how to maintain the program if current funding was eliminated. A minority (36.6%) of organizations had strategic plans regarding how the agency promoted public awareness of issues in their field of practice.

11 Julie A. Steen and Thomas E. Smith 37 DISCUSSION These results show that human service organizations in the sample have a mixed review in terms of the minimization of risk and maximization of opportunity. Organizational political connectivity, which is essential in maximizing opportunity, was fairly high in both quantity and quality. The primary exceptions to this strength were found in relations with U.S. Senators and U.S. Representatives, which were absent in approximately 25% of the sample. The level of written documentation of policy varied by the type of policy assessed. There is clear strength in terms of written documentation on personnel issues. However, a deficit was seen in the written documentation of programmatic policies. The lowest level of organizational functioning was found in the area of strategic planning. Less than a quarter of the organizations reported having a strategic plan that included attention to funding. IMPLICATIONS FOR SOCIAL WORK PRACTICE These results have serious implications for the organizations in the sample. Political connectivity is important for maximizing opportunities for the organization. If funding is cut from one source, other sources will be needed. Having contacts with a wide variety of political entities located in the United Way, local government, state government, and federal government can assist in buffering the agency from the effects of a funding cut. For example, an agency that loses funding from a state agency may then seek to take advantage of opportunities for federal support. The majority of the agencies in the sample had these political connections, though connection with federal political leaders could be strengthened. The lack of connections on the federal level may leave some agencies with fewer opportunities for growth. Policy documentation was a weaker area for the organizations in the sample. Lack of documentation regarding child abuse and neglect reporting places the agencies in great risk. Without a clear policy on this issue, the agency is in a weak position to respond to scandal and lawsuit. Likewise, the lack of policy regarding controversial programmatic issues is troubling. Without the policy, workers have fewer restraints in how they respond to questions from adolescents. This creates a situation in which it is easy for workers to become disconnected from the philosophy the administrators and board wish to espouse for the agency. When an agency deals with the controversial topic of adolescent sexuality, it is important

12 38 ADMINISTRATION IN SOCIAL WORK that the board and administrators have first discussed their agency s approach and the risks of this approach. This prepares the agency to handle the consequences of having particular philosophies and policies. The lack of a comprehensive strategic plan is a great deficit for most of the agencies in the sample. The majority of the organizations failed to have a strategic plan that covered important funding issues. There are two possible explanations for this failure. The agency s board and administrators may have unwritten plans about the future of the agency. If these plans are not written down, the agency is at greater risk of a having a board and administrators with different ideas for the agency s future. This situation can lead to possible conflict and confusion in a time of crisis. The other possibility is that the board and the administrators have no written or unwritten plans regarding how to move the agency forward, expand to meet new opportunities, and adjust to changing environments. These agencies may be prepared to handle the current environment, but are unable to handle any change or harness any new resources. Both of these scenarios point to areas of risk for these agencies. Minimizing risk and maximizing opportunity for human service organizations are core tasks for macro-level social workers. To sustain human services, agencies must possess certain elements that protect the organization from threats in their environment. Without these elements, organizations are more vulnerable to lawsuits and funding cuts, both of which can result in fewer services for populations in need. Practitioners should be working to build the capacity and strength of agencies that they serve. Social work educators can assist in this endeavor by providing social work students with knowledge and skill-building opportunities in the areas of political connectivity, written documentation of policy, and strategic planning. STUDY LIMITATIONS AND IMPLICATIONS FOR FUTURE RESEARCH Due to its relevance for the field of human service provision, future research on this topic is vital. This study was limited by a small sample that was not representative of human service organizations in general. This type of study should be replicated with larger samples and in other fields of service, such as child welfare, elder services, and mental health. Further research is needed regarding the correlates of these efforts to minimize risk and maximize opportunity. This expansion of research would allow us to identify characteristics of executive directors and

13 Julie A. Steen and Thomas E. Smith 39 boards that predict certain deficits. Perhaps directors with little experience are less likely to demonstrate political connectivity. Understanding of the relationships between these variables can point to solutions, such as greater board support to executive directors with little experience. To further understand the role of social work education in the minimization of risk and maximization of opportunity, examination of the educational background of the director is necessary. It is useful to know if directors with a social work degree are more or less likely than directors with a law or public administration degree to work in agencies with a strategic plan, written documentation of policy, or political connectivity. Results from a nationally representative sample would allow us to better specify areas of strength and weakness in social work education of macro-level practitioners. REFERENCES Dillman, D. A. (1999). Mail and Internet surveys: The tailored design method. New York: Wiley. Fredericksen, P., & London, R. (2000). Disconnect in the hollow state: The pivotal role of organizational capacity in community-based development organizations. Public Administration Review, 60(3), Jobes, D. A., & Berman, A. L. (1993). Suicide and malpractice liability: Assessing and revising policies, procedures, and practice in outpatient settings. Professional Psychology: Research & Practice, 24(1), Scheirer, M. A. (1996). A template for assessing the organizational base for program implementation. New Directions for Evaluation, 72, Schinnar, A. P., Rothbard, A. B., Yin, D., & Lutterman, T. (1992). Public choice and organizational determinants of state mental health expenditure patterns. Administration and Policy in Mental Health, 19(4), Steiner, J. R., Gross, G. M., Ruffolo, M. C., & Murray, J. J. (1994). Strategic planning in nonprofits: Profit from it. Administration in Social Work, 18(2), Van Wart, M. (1995). The first step in the reinvention process: Assessment. Public Administration Review, 55(5), doi: /j147v31n03_03