Performance Appraisal for Groups: Models and
Methods for Assessing Group Processes and
Outcomes for Development and Evaluation

Manuel London State University of New York at Stony
Brook

This paper guides consulting psychologists in
how to help managers and group leaders assess
group members’ reactions, behaviors, and per-
formance. The results may be used for develop-
ment in improving group performance and for
evaluation in making decisions about group
members’ pay and assignments. Individual and
group-level measures of conditions (pressures
and opportunities), input, process, and out-
comes are considered. The paper discusses who
seeks group assessment, the multiple purposes
of assessment, models of group process to guide
assessment, what is assessed and when, methods
for assessment, and who contributes to the as-
sessment process. Implications for inculcating a
culture of assessment and continuous learning
within groups and organizations.

Keywords: group performance appraisal, group
assessment, group development and evaluation,
group diagnosis and intervention

The purpose of this paper is to help
guide consultants in encouraging and sup-
porting group assessment for development
and the evaluation of individuals and
groups. The paper examines ways to assess
the behavior and performance of individu-
als in groups and to assess processes and
performance at the group level. I begin by
considering why assessment of groups and
group members is important in organiza-
tions today, and I provide several case ex-
amples. Then I discuss who seeks assess-
ment, the multiple purposes of assessment,
models of group process to guide assess-
ment, what is assessed and when, methods
for assessment, and who contributes to the
assessment process.

Background

Jobs in the world of today are complex,
interdependent, and fluid. Much work is done
in groups (Hackman, 2002; Kozlowski &
Ilgen, in press). Projects and tasks cut
across functions and organizational levels.
Professionals, technical experts, managers,
and staff members are asked to contribute
to more than one group at a time. They may
be leaders of some initiatives and contrib-
utors to others. They may have a key role in
some groups and a minor role in others. An
employee may report to one supervisor in a
given department and function but work on
tasks in a variety of departments and
groups. Some groups are ongoing. Others
are short term. Some have clear goals and
tight deadlines. Others have ambiguous
goals and long time periods before they are
required to report to a higher authority. In
some cases, group members are colocated
and can easily meet together in person. In
other cases, they are geographically dis-
persed and may communicate mainly
through an ever-expanding array of elec-
tronic technology (e.g., email, blogs, Web
sites, instant messaging, video conferenc-
ing, pod casts, and cell phones). These dy-
namic group structures and multiple modes
of communication pose challenges for super-
visors to guide and evaluate the contributions

Correspondence concerning this article
should be addressed to Manuel London, Har-
riman Hall, SUNY-Stony Brook, Stony
Brook, NY 11794-3775. E-mail: manuel
[email protected]

Copyright 2007 by the American Psychological Association and the Society of Consulting Psychology, 1065-9293/07/$12.00
DOI: 10.1037/1065-9293.59.3.175
Consulting Psychology Journal: Practice and Research, Vol. 59, No. 3, 175–188

175

of individual employees and to assess and
evaluate the performance of work groups.
Because managers may have employees in
groups that are not under their control, they
will need to coordinate with other managers
to decide which groups to evaluate and how
to evaluate the results. In addition, they need
to decide whether to collect data on individ-
ual performance and/or the performance of
the group as a whole.

Groups handle a range of tasks and take
a variety of forms. These include commit-
tees, boards of advisors and directors,
councils, quality improvement teams, re-
search and development teams, and task
forces. Work groups can be classified by
type (e.g., executive, negotiation, produc-
tion, advisory, service), function (plan, di-
rect, integrate, display, treat), and settings
(corporate, medicine, transportation, fast
food, law) (Devine, 2002). Groups may
engage in problem solving (e.g., error de-
tection and correction), decision making (a
personnel selection committee), planning
(strategy formulation), and/or implementa-
tion (product roll out, customer service,
event management).

Executives and managers are responsi-
ble for these groups—starting them, lead-
ing them, providing oversight, and staffing
them with employees in their units. As
such, they may be concerned about the
groups’ progress, effectiveness, and out-
comes. Consider several examples:

A hospital executive commissions contin-
uous quality improvement (CQI) teams for a
host of issues, such as emergency room re-
sponsiveness, patient monitoring, safety, lab
test accuracy, and so forth The groups are
composed of staff from a variety of organi-
zational levels and functions in the hospital,
including physicians, nurses, lab technicians,
therapists, and other professional and support
staff. The executive wants to know how these
groups are doing. Are people participating
actively? Are they taking the time they need
to collect data and delve into the problems?
Are they implementing solutions and achiev-

ing gains in productivity and quality of ser-
vice? Have they learned CQI techniques that
they can apply to future quality improvement
efforts?

A manager is responsible for the imple-
mentation of an enterprise-wide, compre-
hensive data system to handle customer,
personnel, facilities, and financial data. The
work is distributed to a number of sub-
groups, each consisting of functional and
technical specialists. The manager wants to
know whether the members of these groups
are working effectively with each other and
whether the groups are making progress.
Are the groups in synch with each other?
Should members be rewarded for their ex-
tra service contributions to this important
and costly initiative?

A multinational automobile corporation
has research and development teams for new
vehicle design and technology. The members
of many of these groups represent different
functions (engineering, operations, market-
ing), partner organizations (suppliers, distrib-
utors, sales), and geographic regions, includ-
ing international offices. Employees are
likely to be on more than one group on un-
related projects. Some groups rarely meet in
person. Most rely on various electronic media
to communicate, share knowledge and ideas,
examine issues, experiment, and make deci-
sions. Regional time differences, varying lan-
guage capabilities, and cultural differences
make group leadership and member interac-
tion difficult. Some groups stay intact for
years, working on ambitious, complex
projects that have long time lines. Members
of these groups may shift as the focus moves
from the idea stage to design, implementa-
tion, and delivery. The vice president for re-
search and development wants to track these
groups to know who is doing what and
whether the groups are working effectively.

Considerable research and practice fo-
cuses on performance appraisal of individ-
uals (cf. Tziner, Murphy, & Cleveland,
2005). The challenge of measuring group
members’ performance is that the output of

176 Consulting Psychology Journal: Practice and Research
September 2007

the group can be observed and measured,
but not necessarily the contributions of
each member (Petersen, 1994). In addition,
in many groups, the results of a given mem-
ber depend on the efforts of all the workers.
Wageman, Hackman, and Lehman (2005)
noted that there are many instruments for
measuring overall group process and per-
formance, including consultant-developed,
often online, rating formats that are meant
to diagnose and assess group dynamics. As
examples, they cited Cornelius Associates
(2004); Lefton and Buzzotta (2005); Link-
age Assessment Services (2004); Reliable
Surveys Online (2005), and Parker’s (1998)
print compilation of 25 such tools. These
instruments tend to have high face validity,
and they are used to give feedback and
interpret the results in comparison to norms
derived from a large number of other
groups. However, they are not necessarily
based on established theory and research on
variables that are indeed important for per-
formance (Wageman et al., 2005). In addi-
tion, instruments for helping teams perform
better must measure variables that are
known to affect performance, can be ma-
nipulated, and are applicable in many dif-
ferent situations so that norms can be es-
tablished for understanding a group’s
scores. Instruments that are used in re-
search need to be generalizable—that is,
they need to measure concepts that are im-
portant to describing a group and the con-
ditions under which it is operating, and be
psychometrically sound, with high reliabil-
ity and convergent and discriminant valid-
ity (Wageman et al., 2005). The value of
measures of group output quality and quan-
tity depend on the adequacy of information
systems, the reliability of the measures,
controllability of the constructs (i.e., they
are constructs that group leaders and man-
agers can do something about), and avail-
ability of the results as feedback to group
members (Reilly & McGourty, 1998).

Throughout this paper, I use the term
assessment because it implies multiple pur-

poses. Assessment can examine group pro-
cesses to diagnose the group members’ in-
teractions, determine progress, and provide
feedback to help the group perform better.
In addition, assessment can measure group
outcomes to reward its members and make
decisions about the individuals and the
group. Importantly, assessment is a pro-
cess, not a one-time collection of data. This
is similar to performance appraisal or 360
degree feedback surveys in the context of
performance improvement and career de-
velopment (London & Tornow, 1998). As a
process, group assessment refers to deter-
mining what is to be assessed, why, and
who is involved. It includes designing the
assessment, implementing it, using the in-
formation (accepting and interpreting the
results and taking action), and later mea-
surement.

Who Seeks Assessment?

Group assessment may be useful to dif-
ferent stakeholders. These include manag-
ers and executives who commissioned the
group or have oversight over the group.
They need to evaluate the contributions of
the people who work for them who are
assigned to one or more groups with differ-
ent leaders. They want to track group
progress to know what is happening.

The group’s leader, as coach of the
group, and the group’s facilitator, if there is
one, would want to diagnose the group’s
needs for support and development to fos-
ter its effectiveness. The company’s orga-
nization development officer, human re-
source professional, director of training, in-
house organizational psychologist, or
outside consulting psychologist may want
to assess group process and performance to
determine needs for training and facilita-
tion. In addition, they may work with ex-
ecutives to select people for new groups or
to form or restructure existing groups to
enhance organizational performance and
meet corporate needs (for instance, form a

177Consulting Psychology Journal: Practice and Research
September 2007

task force to develop a new product in
response to the competition). Psychological
consultants may work with professionals
and managers to design and implement
group assessment methods and generally
encourage and support group appraisal for
development and evaluation.

Purposes for Assessment

Assessment may be for individual and
group development or evaluation. Develop-
ment refers to the compilation of learning
over time. As a group develops, members
learn more interdependent forms of inter-
action (Kasl, Marsick, & Dechant, 1997;
Kozlowski, Gully, Nason, & Smith, 1999).
Assessment can diagnose learning gaps and
determine interventions that will improve
group process. Evaluation refers to deter-
mining the quality and quantity of group
and individual outputs, often to make deci-
sions about the individuals in the group
(pay, promotion, continuing them on the
group) and about the group as a whole (e.g.,
whether to disband or maintain it, change
its goals, reward all group members
equally, etc.).

Data for development may focus on ex-
amining the input to the group (whether the
group has the talent it needs) and the con-
ditions under which the group is operating
(time pressure, availability of resources).
Assessment data can determine group com-
petency—the ability of the group to accom-
plish its goals and the ability of members to
contribute to the group. Group and individ-
ual competency requirements depend on
the nature of the group (e.g., problem solv-
ing, decision making, production), the na-
ture of the task (e.g., its complexity and the
degree of member interdependence; Kasl,
Marsick, & Dechant, 1997), the conditions
under which the group is operating (time
pressure, resource availability), and mem-
bers’ readiness to participate actively and
cooperate (London & Sessa, 2006a; Reilly
& McGourty, 1998). In addition, data for

development may focus on group pro-
cess—member interactions, conflict resolu-
tion, negotiations, attendance, and meeting
commitments, to cite a few examples.

Another reason for assessment data is to
evaluate the effectiveness of different
group intervention methods. For instance, a
facilitator might stop the group process to
talk about how things are working or ways
of negotiating and resolving conflict. Does
this help? Are some group interventions
better than others under certain conditions?
Group assessment may track changes in
group process and performance over time,
determine changes in members’ behaviors
toward each other, determine the effects of
these changes on group outputs, and com-
pare groups that are treated differently as a
field experiment.

Assessment can also be used by manag-
ers and group leaders to evaluate members’
contributions and incorporate this informa-
tion in the members’ annual performance
appraisal as well as provide members with
feedback to improve their performance. If
the manager’s employees work interdepen-
dently on a daily basis in their natural work
team, the manager may want a way to as-
sess their independent and collective effort
as part of the annual performance appraisal.
Such data can be used to hold the leader
and the members of the group accountable
for the group’s results. In addition, mem-
bers of the group may share equally in an
award that recognizes the group’s accom-
plishments. Group skills and members’
abilities can be assessed and used as input
for future assignments. Executives can use
the results to make decisions about the
group, such as whether the group should
continue, whether new members should be
added and others dropped, and/or whether
the group needs a change in leadership.

The purpose for collecting the data may
affect the data itself. For instance, raters
may be more lenient if they know that the
data will be used to make administrative
decisions than if the data will be used

178 Consulting Psychology Journal: Practice and Research
September 2007

solely for development; Kozlowski, Chao,
& Morrison, 1998; London, 2001; London,
Smither, & Adsit, 1997). The purpose may
also affect how the data are perceived and
used as feedback, for instance, whether the
group leader and members will be held
accountable for their performance (London
& Sessa, 2006b).

Group performance data can be com-
pared within the organization to determine
effective leadership behaviors, task struc-
tures, goals, and resources. Surveys of
group members’ feelings about the group
can evaluate group climate. When averaged
across groups, survey data can measure or-
ganizational climate. The results may have
implications for employee retention as well
as the ability of the organization to be ef-
fective—to develop and implement new
products and services that create new mar-
kets or beat the competition. Assessment
across groups can also be a way for an
executive to determine if the organization
has adopted the culture that the executive
wants to promulgate.

Deciding Which Groups to Assess

Managers are likely to be responsible
for different types of groups. These may
include natural work teams (the employees
who report directly to the manager), ongo-
ing groups (boards, councils, standing com-
mittees), and special initiatives (task forces,
product development teams, quality im-
provement teams). Assessing these differ-
ent groups provides the manager with a
picture of the state of organizational per-
formance and development. Different eval-
uation techniques may be needed for these
different groups, recognizing (a) their de-
gree of permanency (whether they are of
limited duration and will disband after ac-
complishing a specific goal; long-term with
complex goals that will take months or
longer to accomplish; or ongoing, meant to
accomplish multiple goals or a continuous
task), (b) imposition on employees’ time
(infrequent periodic meetings or concen-

trated time working together), (c) mem-
bers’ modes of interaction (in-person
and/or online), and (d) the group’s stage of
development (early, mid, late) in relation to
accomplishing their goals and members’
familiarity with each other and experience
collaborating (group maturity).

For a permanent group, the manager
might want to know about member atti-
tudes about the group and the leader as well
as the accomplishments of the group during
a range of time (e.g., the activities of a
council during the last year). Managers
may want to know whether employee time
spent on standing committees, councils, or
boards is worthwhile and whether these
groups are adding value to the organization.

Short-term groups can be evaluated at
different stages of their group progress.
During the early stage (before and shortly
after the first meeting or two), questions for
members, the leader, and observing super-
visors can focus on whether the group has
the talent it needs, members who are aware
of each other’s backgrounds and expertise,
motivated members, a clear goal, and clear
expectations of what they are expected to
do. When the group task is underway (ap-
proximately at the midpoint), assessment
can focus again on whether members are
clear about their goals, the structure of the
task(s), and responsibilities. Questions can
also address how well members are inter-
acting with each other— how well they are
getting along, participating actively, sup-
porting each other, being critical of each
other, and contributing to, or standing in
the way of, progress. As the group con-
cludes its work and prepares to disband, or
after the group has ended, evaluation can
focus on the value of the work to the orga-
nization, what the members learned about
the subject matter, and whether the group
members have gained capability to contrib-
ute to groups in the future (i.e., their ability
and desire to cooperate and work produc-
tively in a group setting).

179Consulting Psychology Journal: Practice and Research
September 2007

When Should Group Evaluations Be
Conducted?

For ongoing groups, formal evaluations
may be conducted annually as input to in-
dividual performance appraisals and, con-
comitantly, as an assessment of organiza-
tional effectiveness. Organizational assess-
ment might be incorporated into an annual
corporate performance report along with
financial data. For short-term groups, for-
mal assessments can be conducted as the
group concludes its work or immediately
thereafter. This is when the members are
likely to be open to discussing how they did
as a group and receiving group feedback
(Hackman & Wageman, 2005). In addition,
this is the time to capture the leader’s and
members’ opinions of the members’ indi-
vidual contributions while they are still
fresh in their minds. In long- and short-term
groups, informal assessments should be
conducted in relation to the stage of the
group to assess environmental conditions,
input, and process variables.

Who Participates in the Assessment
Process?

Methods for group assessment may be
designed centrally and applied organiza-
tion-wide. This establishes common stan-
dards and expectations for groups across
the organization. Examples might be the
use of standard procedures, such as surveys
that measure members’ perceptions of
group process and outcomes and ratings of
individual members’ contributions and per-
formance.

The data may be collected by the human
resource department, department managers,
group leaders, or group facilitators (profes-
sional organization development consult-
ants who work within the organization or
who are external consultants). Attitude sur-
veys and performance ratings from the
group leader and members may be col-
lected during group meetings or away from
the group setting to guarantee confidential-

ity of the ratings. Data for evaluation pur-
poses should be collected separately from
data for diagnosis and development.
Whether survey data are collected for eval-
uation and/or development, the data should
be collected in a way that promotes raters’
openness and honesty. Raters need to know
and understand the purpose for the data and
who will have access to it. Data for devel-
opment may remain within the group or
averaged across group members for discus-
sion with managers about group progress
and resources needed to improve group
functioning. Data for evaluation may reflect
individual as well as group performance
and be compared to other data (e.g., ob-
server ratings, objective indexes of group
results) to make decisions about the group
as a whole.

Group leaders and members can be ex-
cellent sources for designing the assess-
ment process, determining how data are
collected, reviewing and interpreting the
results and discussing implications for
changing behaviors and interactions. The
group leader and members themselves are
key stakeholders for the group’s success.
As partners in the assessment process,
along with executives and managers, they
should feel that they “own” the data and
have a stake in using it to foster their per-
formance. As such, they will take the data
collection process seriously, share and in-
terpret the results, and use the results as
stimuli to suggest directions for behavior
change.

What Is Assessed?

I distinguish between two general ap-
proaches to assessment. The constructivist
approach asks whether the right ingredients
are present (time, talent, and task; Ericksen
& Dyer, 2004), determine conditions (re-
sources, pressures, and opportunities), and
specifies interventions to help the group
(e.g., change members, provide group
training, hold a process discussion with
member, and/or find more resources). The

180 Consulting Psychology Journal: Practice and Research
September 2007

deconstructivist approach starts with the
group as it is in the moment and tries to
discern what is happening or has happened.
It seeks to identify the barriers to more
effective process and what factors are ham-
pering or helping group progress, and what
can be done to address these factors (e.g.,
process reflection about what the group
needs to learn or has learned to improve its
performance).

Group process will depend on the nature
or purpose of the group. For instance, pro-
cess measures might focus on collaboration
(sharing information and joint decision
making). Process measures might assess
brainstorming used to generate alternatives,
facilitated discussion and voting methods
to evaluate alternatives, and the availability
and use of specific techniques related to the
task, such as fishbone analysis to examine
root causes of problems in quality improve-
ment teams. Data can also focus on group
progress in terms of task and goal clarity,
leadership, member participation, and the
social context (Murphy & Cleveland,
1995). The leader may prepare feedback to
individual members or to the group as a
whole and determine ways to improve the
group’s performance and create a high per-
forming team. Similarly, a facilitator may
use assessment results to determine what
training or organizational methods the
group might use to be more productive.
These might include teaching the group
continuous quality improvement/total qual-
ity management (CQI/TQM) skills such as
identifying customers, elements of work
process, and problem frequency; using
brainstorming; and applying methods for
reaching consensus (e.g., multivoting).

Measures should reflect what managers
want to know about the group. These mea-
sures may vary from time to time depend-
ing on the manager, the group, and its
progress. For instance, for quality improve-
ment teams, measures may assess how well
members have learned to apply CQI skills
and methods (Hackman & Wageman,

1995; Zbaracki, 1998). Assessment of CQI
teams that are working with professional
facilitators may focus on the facilitator’s
role (e.g., “The facilitator . . .guides the
team through problem solving methods, in-
cluding consensus building; . . .helps the
team leader and members to establish
ground rules; . . .helps the team resolve
conflicts; . . .provides training in CQI meth-
ods as needed”; Wilkens & London, 2006).
Other measures may be constructed to as-
sess the effects of specific interventions, for
instance, leader training in group coaching
and facilitation (e.g., Do group members
see a change in leaders’ behaviors?); con-
flict resolution, negotiation, and collabora-
tion (Do behaviors and interactions change
over time? Do groups with the training
perform better than comparison groups
without the training?); and facilitation to
promote a psychologically safe environ-
ment (e.g., Do members feel they are able
to bring up issues about how well they get
along in the group?; Edmondson, 2002;
Edmondson, Bohmer, & Pisano, 2001;
West & Anderson, 1998).

Group Performance Dimensions

Performance dimensions to evaluate
group members can be identified. These
might include commitment to (attitudes
about) the work and the group, active par-
ticipation, degree of added value, handling
conflict, negotiating, educating others,
openness to others’ views, openness to new
ideas, giving and seeking feedback and
support, accepting roles, and meeting obli-
gations. Performance dimensions to evalu-
ate group leaders may include structuring
the group’s task and agenda, maintaining
order, treating members fairly and with re-
spect, delegating tasks, and giving feed-
back. Behaviors can be conceptualized for
each of these dimensions and used to assess
the group and/or leader.

Measures can also focus on the group as
a whole, for instance, number and length of
the meetings, overall attendance, goal clar-

181Consulting Psychology Journal: Practice and Research
September 2007

ity, task structure, goal difficulty, clarity
and frequency of communication among
members, social and task orientated inter-
actions, goal achievement (e.g., deadlines
met), quality and quantity of output, and
influence on other groups in the organiza-
tion.

Models for Guiding Assessment
Content

The models of group and organizational
process held by the manager and consultant
can and do guide group assessment. A
number of models are available, each of
which presents a perspective on what vari-
ables are important to effective group pro-
cess. Some are content oriented, specifying
variables that are related to performance,
such as composition, cohesiveness, and
motivation (cf. Guzzo & Dickson’s, 1996,
review). Others consider the sequence of
these variables—for instance, ongoing,
nonlinear cycles of input, mediation, output,
and feedback (Ilgen, Hollenbeck, Johnson, &
Jundt, 2005) along with concomitant cog-
nitive and affective states (Marks, Mathieu,
& Zaccaro, 2001). Ericksen and Dyer
(2004) highlighted the importance of talent,
task, and time as components of a high
performing team. Hackman and Wageman
(2005) pointed out the importance of rec-
ognizing how stage of group development
(early, mid, and late) determines what the
group needs and is expected to do, as dis-
cussed earlier. Another approach is a focus
on interventions, such as the importance of
the group members introducing themselves
to each other at the outset of the group so
that members develop a common under-
standing of how each of them can contrib-
ute to the group—a concept called interper-
sonal congruence (Polzer, Milton, &
Swann, 2002).

Wageman, Hackman, and Lehman
(2005) state that a high performing team
needs (a) to be a real team—meaning that
the team is bounded such that everybody
knows who is and isn’t on the team, the

team is stable over time, and members are
interdependent; (b) a compelling direc-
tion—meaning that team direction is clear,
challenging, and consequential; (c) an en-
abling structure—meaning that the team
size, diversity, and skills make sense, the
task is motivating, and the norms of con-
duct are clear and accepted, and (d) a leader
who is a supportive coach—meaning that
the leader helps members focus on the task
(setting direction, building commitment to
group purpose), gives members positive
and corrective feedback, facilitates their in-
terpersonal relationships, and avoids …

Competency Chapter

Competency 1: Demonstrate Ethical and Professional Behavior

Behaviors
Make ethical decisions by applying the standards of the NASW Code of Ethics, relevant laws and
regulations, models for ethical decision-making, ethical conduct of research, and additional codes of
ethics as appropriate to context.

1, 7, 13, 14

Use reflection and self-regulation to manage personal values and maintain professionalism in practice
situations

1, 4, 5

Demonstrate professional demeanor in behavior; appearance; and oral, written, and electronic
communication

1, 6, 7

Use technology ethically and appropriately to facilitate practice outcomes 1, 6, 14

Use supervision and consultation to guide professional judgment and behavior 1, 4

Competency 2: Engage Diversity and Difference in Practice

Behaviors
Apply and communicate understanding of the importance of diversity and difference in shaping life
experiences in practice at the micro, mezzo, and macro levels

3, 5, 6, 7, 8, 9, 10,
11, 12

Present themselves as learners and engage clients and constituencies as experts of their own
experiences

1, 5, 8, 14

Apply self-awareness and self-regulation to manage the influence of personal biases and values in
working with diverse clients and constituencies

1, 4, 5, 7, 8

Competency 3: Advance Human Rights and Social, Economic, and
Environmental Justice

Behaviors
Apply their understanding of social, economic, and environmental justice to advocate for human rights
at the individual and system levels

4, 5, 8, 9

Engage in practices that advance social, economic, and environmental justice 3, 4, 5, 9

Competency 4: Engage In Practice-informed Research and Research-informed
Practice

Behaviors
Use practice experience and theory to inform scientific inquiry and research 2, 3, 8, 14

Apply critical thinking to engage in analysis of quantitative and qualitative research methods and
research findings

2, 4, 8, 10, 14

Use and translate research evidence to inform and improve practice, policy, and service delivery 1, 2, 3, 4, 5, 6, 9, 10,
11, 12, 13, 14

Competency 5: Engage in Policy Practice

Behaviors
Identify social policy at the local, state, and federal level that impacts well-being, service delivery, and
access to social services

1, 4, 5, 11, 12

CSWE EPAS 2015 Core Competencies and Behaviors in This Text

A01_TOSE0283_08_SE_FM.indd 1 01/05/17 11:30 AM

Competency Chapter

Assess how social welfare and economic policies impact the delivery of and access to social services 1, 5, 10, 12

Apply critical thinking to analyze, formulate, and advocate for policies that advance human rights and
social, economic, and environmental justice

1, 5, 8, 12

Competency 6: Engage with Individuals, Families, Groups, Organizations, and
Communities

Behaviors

Apply knowledge of human behavior and the social environment, person-in-environment, and other
multidisciplinary theoretical frameworks to engage with clients and constituencies

2, 3, 6, 7, 9, 10,
11, 12

Use empathy, reflection, and interpersonal skills to effectively engage diverse clients and constituencies 4, 5, 6, 7, 9, 11

Competency 7: Assess Individuals, Families, Groups, Organizations, and
Communities

Behaviors

Collect and organize data, and apply critical thinking to interpret information from clients and
constituencies

4, 7, 8, 12, 14

Apply knowledge of human behavior and the social environment, person-in-environment, and
other multidisciplinary theoretical frameworks in the analysis of assessment data from clients and
constituencies

2, 3, 4, 5, 6, 8

Develop mutually agreed-on intervention goals and objectives based on the critical assessment of
strengths, needs, and challenges within clients and constituencies

6, 7, 8, 9, 14

Select appropriate intervention strategies based on the assessment, research knowledge, and values
and preferences of clients and constituencies

3, 4, 5, 8, 9, 10, 11

Competency 8: Intervene with Individuals, Families, Groups, Organizations,
and Communities

Behaviors
Critically choose and implement interventions to achieve practice goals and enhance capacities of
clients and constituencies

1, 4, 5, 7, 8, 9, 10,
11, 12, 13

Apply knowledge of human behavior and the social environment, person-in-environment, and other
multidisciplinary theoretical frameworks in interventions with clients and constituencies

2, 3, 4, 5, 8, 9, 10,
11, 12, 13

Use inter-professional collaboration as appropriate to achieve beneficial practice outcomes 8, 9, 10, 11, 12

Negotiate, mediate, and advocate with and on behalf of diverse clients and constituencies 5, 8, 9, 10, 12

Facilitate effective transitions and endings that advance mutually agreed-on goals 13

Competency 9: Evaluate Practice with Individuals, Families, Groups,
Organizations, and Communities

Behaviors
Select and use appropriate methods for evaluation of outcomes 6, 8, 11, 14

Apply knowledge of human behavior and the social environment, person-in-environment, and other
multidisciplinary theoretical frameworks in the evaluation of outcomes

1, 4, 5, 6, 8, 14

Critically analyze, monitor, and evaluate intervention and program processes and outcomes 5, 6, 8, 14

Apply evaluation findings to improve practice effectiveness at the micro, mezzo, and macro levels 14

CSWE EPAS 2015 Core Competencies and Behaviors in This Text

Adapted with permission of Council on Social Work Education. These competencies and behaviors also appear in the margins throughout this text.

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Harlow, England • London • New York • Boston • San Francisco • Toronto • Sydney • Dubai • Singapore
Hong Kong • Tokyo • Seoul • Taipei New Delhi • Cape Town • Sao Paulo • Mexico City • Madrid • Amsterdam
Munich • Paris • Milan

An Introduction to
Group Work Practice
Ronald W. Toseland
University at Albany, State University of New York

Robert F. Rivas
Siena College, Emeritus

EIghTh EDITIoN

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To our parents, Stella and Ed, Marg and Al

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6

Contents

Preface 13

1. Introduction 17
Organization of the Text 18
The Focus of Group Work Practice 18
Values and Ethics in Group Work Practice 21

Practice Values 21
Practice Ethics 24

Definition of Group Work 27
Classifying Groups 28

Formed and Natural Groups 28
Purpose and Group Work 29
Treatment and Task Groups 29

Group Versus Individual Efforts 32
Advantages and Disadvantages of Treatment Groups 32
Advantages and Disadvantages of Task Groups 34

A Typology of Treatment and Task Groups 35
Treatment Groups 36

Support Groups 36
Educational Groups 38
Growth Groups 39
Therapy Groups 40
Socialization Groups 41
Self-Help Groups 42

Task Groups 44
Groups to Meet Client Needs 44
Groups to Meet Organizational Needs 50
Groups to Meet Community Needs 54

Summary 58

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Contents 7

2. Historical and Theoretical Developments 59
Knowledge f rom Group Work Practice and Practice Research: Treatment Groups 59

Differences Between Casework and Group Work 60
Intervention Targets 61
The Weakening of Group Work 62
Current Practice Trends 63
Divergent and Unified Practice Models 66
Evidence-based Group Work Practice 67
The Popularity of Psycho-educational, Structured, Practice Models 68

Knowledge f rom Group Work Practice: Task Groups 69
Knowledge f rom Social Science Research 70
Inf luential Theories 72

Systems Theory 72
Psychodynamic Theory 75
Learning Theory 76
Field Theory 77
Social Exchange Theory 79
Constructivist, Empowerment, and Narrative Theories 80

Summary 81

3. Understanding Group Dynamics 83
The Development of Helpful Group Dynamics 83
Group Dynamics 84

Communication and Interaction Patterns 84
Group Cohesion 95
Social Integration and Inf luence 99
Group Culture 105

Stages of Group Development 108
Summary 112

4. Leadership 114
Leadership, Power, and Empowerment 115

Leadership, Empowerment, and the Planned Change Process 118
Theories of Group Leadership 119
Factors Inf luencing Group Leadership 120
Effective Leadership 121

An Interactional Model of Leadership 122
Purposes of the Group 122
Type of Problem 123
The Environment 125
The Group as a Whole 126
The Group Members 127
The Group Leader 128

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8 Contents

Group Leadership Skills 129
Facilitating Group Processes 130
Data-Gathering and Assessment 134
Action Skills 136
Learning Group Leadership Skills 143
Leadership Style 144

Co-leadership 148
Summary 151

5. Leadership and Diversity 153
Approaches to Multicultural Group Work 154
A Framework for Leading Diverse Groups 155

Developing Cultural Sensitivity 156
Assessing Cultural Inf luences on Group Behavior 160
Intervening with Sensitivity to Diversity 166

Summary 175

6. Planning the Group 176
Planning Focus 176
Planning Model for Group Work 178

Establishing the Group’s Purpose 178
Assessing Potential Sponsorship and Membership 179
Recruiting Members 185
Composing the Group 188
Orienting Members 194
Contracting 196
Preparing the Environment 198
Reviewing the Literature 200
Selecting Monitoring and Evaluation Tools 201
Preparing a Written Group Proposal 202
Planning Distance Groups 202

Summary 211

7. The Group Begins 212
Objectives in the Beginning Stage 213

Ensuring a Secure Environment 214
Introducing New Members 215
Defining the Purpose of the Group 220
Confidentiality 223
Helping Members Feel a Part of the Group 225
Guiding the Development of the Group 226
Balancing Task and Socio-emotional Foci 231
Goal Setting in Group Work 231

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Contents 9

Contracting 234
Facilitating Members’ Motivation 235
Addressing Ambivalence and Resistance 235
Working with Involuntary Members 240
Anticipating Obstacles 242
Monitoring and Evaluating the Group: The Change Process Begins 243

Summary 245

8. Assessment 246
Conducting Efffective Assessments 247

Focus on Group Processes 248
External Constituencies and Sponsors 249

The Assessment Process 249
How Much Information? 250
Diagnostic Labels 251
Assessment Focus 252
Relationship of Assessment to the Change Process and Problem Solving 253

Assessing the Functioning of Group Members 254
Methods for Assessing Group Members 255

Assessing the Functioning of the Group as a Whole 262
Assessing Communication and Interaction Patterns 262
Assessing Cohesion 263
Assessing Social Integration 265
Assessing Group Culture 270

Assessing the Group’s Environment 271
Assessing the Sponsoring Organization 271
Assessing the Interorganizational Environment 273
Assessing the Community Environment 274

Linking Assessment to Intervention 276
Summary 279

9. Treatment Groups: Foundation Methods 280
Middle-Stage Skills 280

Preparing for Group Meetings 281
Structuring the Group’s Work 285
Involving and Empowering Group Members 291
Helping Members Achieve Goals 293
Using Empirically Based Treatment Methods in Therapy Groups 303
Working with Reluctant and Resistant Group Members During the Middle Phase 305
Monitoring and Evaluating the Group’s Progress 308

Summary 310

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10 Contents

10. Treatment Groups: Specialized Methods 311
Overreliance on Specialized Methods 311

Intervening with Group Members 312
Intrapersonal Interventions 313
Identifying and Discriminating 314
Recognizing Associations 315
Analyzing the Rationality of Thoughts and Belief s 316
Changing Thoughts, Belief s, and Feeling States 318
Interpersonal Interventions 326
Learning by Observing Models 327
Environmental Interventions 333
Connecting Members to Concrete Resources 333
Expanding Members’ Social Networks 334
Contingency Management Procedures 335
Modifying Physical Environments 338

Intervening in the Group as a Whole 339
Changing Communication and Interaction Patterns 339
Changing the Group’s Attraction for Its Members 341
Using Social Integration Dynamics Effectively 343
Changing Group Culture 345

Changing the Group Environment 346
Increasing Agency Support for Group Work Services 346
Links with Interagency Networks 348
Increasing Community Awareness 349

Summary 351

11. Task Groups: Foundation Methods 352
The Ubiquitous Task Group 352
Leading Task Groups 353

Leading Meetings 354
Sharing Information 356
Enhancing Involvement and Commitment 358
Developing Information 359
Dealing with Conf lict 361
Making Effective Decisions 364
Understanding Task Groups’ Political Ramifications 366
Monitoring and Evaluating 367
Problem Solving 368

A Model for Effective Problem Solving 369
Identifying a Problem 370
Developing Goals 373
Collecting Data 374
Developing Plans 375

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Contents 11

Selecting the Best Plan 375
Implementing the Plan 376

Summary 378

12. Task Groups: Specialized Methods 380
Small Organizational Groups 380

Brainstorming 380
Variations on Brainstorming 384
Focus Groups 385
Nominal Group Technique 388
Multi-attribute Utility Analysis 392
Quality Improvement Groups 395

Large Organizational Groups 397
Parliamentary Procedure 397
Phillips’ 66 401

Methods for Working with Community Groups 403
Mobilization Strategies 403
Capacity-Building Strategies 405
Social Action Strategies 407

Summary 410

13. Ending the Group’s Work 411
Factors that Inf luence Group Endings 411
The Process of Ending 412
Planned and Unplanned Termination 412

Member Termination 413
Worker Termination 415

Ending Group Meetings 416
Ending the Group as a Whole 418

Learning from Members 418
Maintaining and Generalizing Change Efforts 418
Reducing Group Attraction 424
Feelings About Ending 426
Planning for the Future 428
Making Referrals 429

Summary 432

14. Evaluation 433
Why Evaluate? The Group Worker’s View 435

Reasons for Conducting Evaluations 435
Organizational Encouragement and Support 435

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12 Contents

Time Considerations 436
Selecting a Data Collection Method 436

Evaluation Methods 437
Evaluations for Planning a Group 437

Obtaining Program Information 437
Needs Assessment 438

Evaluations for Monitoring a Group 439
Monitoring Methods 439

Evaluations for Developing a Group 445
Single-System Methods 446
Case Study Methods 449
Participatory Action Research Methods (PARS) 450

Evaluations for Determining Effectiveness and Efficiency 450
Evaluation Measures 454

Choosing Measures 454
Types of Measures 455

Summary 459

Appendix A: Standards for Social Work Practice with Groups 460
Appendix B: Group Announcements 471
Appendix C: Outline for a Group Proposal 473
Appendix D: An Example of a Treatment Group Proposal 474
Appendix E: An Example of a Task Group Proposal 476
References 478
Author Index 507
Subject Index 519

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13

Preface

We are gratified by the wide use of this text by professionals, as well as by educators and
students in undergraduate and graduate courses in schools of social work throughout
the United States and the world.

Because we are committed to presenting a coherent and organized over-
view of g roup work practice f rom a generalist practice perspective, the eighth
edition continues to include typolog ies illustrating group work practice with task
and treatment g roups at the micro-, meso-, and macro-level. Our research and
practice focuses primarily on treatment groups, and the eighth edition continues to
present our interest in improving practice with many different types of treatment
groups.

New to This Edition
• Research on Virtual Groups. In recent years, we have done research on the

uses of virtual group formats (teleconference and Internet groups) and have
included an updated and expanded section on virtual groups in the 6th chapter
of this edition.

• Additional case examples throughout this edition illustrate practice with a wide
variety of groups. These were added based on feedback f rom our students,
reviewers of the book, instructors, and others who have contacted us about
the importance of illustrations of evidence-based practice examples.

• Updated and deeper content of the middle stage chapters on practice with
treatment and task groups. The latest evidence-based treatment and task group
research is incorporated throughout Chapters 9 through 12, and content has
been added, deleted, and changed to ref lect current practice.

• Incorporated the most current literature on working with reluctant and
resistant group members in specific sections of Chapters 7 and 9 and throughout
the text.

• We find that our students face many situations with individuals who have
encountered multiple traumas in their family lives and in the larger social
environment, making them understandably reticent to engage group workers
and fellow group members, and trust in the power of group work to heal. There-
fore, we have updated and expanded sections on working with individuals who
have difficulty engaging in and sustaining work in groups and have added addi-
tional information about conf lict resolution skills as it pertains to both treatment
and task groups.

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• Thoroughly updated Chapter 5 on leadership and diversity as social group work-
ers practice in an increasingly pluralistic society.

• Thoroughly updated reference material and new content f rom evidence-based
practice sources.

About Group Work
Over the years, we have been especially pleased that our text has been used by educators
who are dedicated to improving task group practice within social work. Group work is a
neglected area of social work practice, especially practice with task groups. Most social
workers spend a great deal of time in teams, treatment conferences, and committees,
and many social workers have leadership responsibilities in these groups. Group work is
also essential for effective macro social work practice, and therefore, we have continued
to emphasize practice with community groups. The eighth edition also continues our
focus on three focal areas of practice: (1) the individual group member, (2) the group as
a whole, and (3) the environment in which the group functions. We continue to empha-
size the importance of the latter two focal areas because our experiences in supervising
group workers and students and conducting workshops for professionals have revealed
that the dynamics of a group as a whole and the environment in which groups function
are often a neglected aspect of group work practice.

Connecting Core Competencies Series
This edition is a part of Pearson’s Connecting Core Competencies series, which con-
sists of foundation-level texts that make it easier than ever to ensure students’ success in
learning the nine core competencies as stated in 2015 by the Council on Social Worker
Education. This text contains:

• Core Competency Icons throughout the chapters, directly linking the CSWE
core competencies to the content of the text. Critical thinking questions are also
included to further students’ mastery of the CSWE’s standards.

• For easy reference, a matrix is included at the beginning of the book that
aligns the book chapters with the CSWE Core Competencies and Behavior
Examples.

Instructor Supplements
The following supplemental products may be downloaded f rom www.pearsonglobal
editions.com/toseland.

Instructor’s Resource Manual and Test Bank. This manual contains a sample
syllabus, chapter summaries, learning outcomes, chapter outlines, teaching tips, dis-
cussion questions, multiple-choice and essay assessment items and other supportive
resources.

PowerPoint Slides. For each chapter in the book, we have prepared a PowerPoint
slide deck focusing on key concepts and strategies.

14 Preface

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Acknowledgments
The ideas expressed in this book have evolved during many years of study, practice,
and research. Some of the earliest and most powerful inf luences that have shaped this
effort have come about through our relationships with Bernard Hill, Alan Klein, Sheldon
Rose, and Max Siporin. Their contributions to the development of our thinking are evi-
dent throughout this book. The ideas in this book were also inf luenced by Albert Alissi,
Martin Birnbaum, Leonard Brown, Charles Garvin, Alex Gitterman, Burton Gummer,
Margaret Hartford, Grafton Hull, Jr., Norma Lang, Catherine Papell, William Reid, Beulah
Rothman, Jarrold Shapiro, Laurence Shulman, and Peter Vaughan. Our appreciation
and thanks to the reviewers of the seventh edition who gave us valuable advice for
how to improve this new eighth edition: Tom Broffman, Eastern Connecticut State
University; Daniel B. Freedman, University of South Carolina; Kim Knox, New Mexico
State University; Gayle Mallinger, Western Kentucky University; John Walter Miller, Jr.,
University of Arkansas at Little Rock. We are also indebted to the many practitioners
and students with whom we have worked over the years. Reviewing practice experiences,
discussing group meetings, and providing consultation and supervision to the practitioners
with whom we work with during research projects, supervision, staff meetings, and
workshops has helped us to clarify and improve the ideas presented in this text.

We would also like to acknowledge the material support and encouragement given
to us by our respective educational institutions. The administrative and support staff of
the School of Social Welfare, University at Albany, State University of New York, and
Siena College have played important roles in helping us to accomplish this project. Most
of all, however, we are indebted to our spouses, Sheryl Holland and Donna Allingham
Rivas. Their personal and professional insights have done much to enrich this book.
Without their continuous support and encouragement, we would not have been able to
complete this work. A special note of thanks also goes to Rebecca, Stacey, and Heather
for sacrificing some of their dads’ time so that we are able to keep this book current and
relevant for today’s practice environment.

Ronald W. Toseland
Robert F. Rivas

Acknowledgments for the Global Edition
Pearson would like to thank the following people for their work:

Contributors:
Henglien Lisa Chen, University of

Sussex
Pooja Thakur, writer
Elizabeth Wright, Murdoch University

Reviewers:
Bruce Gillmer, Northumberland, Tyne

and Wear NHS Foundation Trust
Pooja Thakur, writer
Elizabeth Wright, Murdoch University

Preface 15

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17

This text focuses on the practice of group work by professional
social workers. Group work entails the deliberate use of interven-
tion strategies and group processes to accomplish individual, group,
and community goals using the value base and the ethical practice
principles of the social work profession. As one prepares to become
an effective social work practitioner, it is important to realize the
effect that groups have on people’s lives. It is not possible to be a
member of a society without becoming a member or leader of
groups and being inf luenced by others without direct participation.
Internet groups are also becoming more popular as people choose
to meet others in virtually as well as face-to-face. Although it is pos-
sible to live in an isolated manner or on the f ringes of face-to-face
and virtual groups, our social nature makes this neither desirable
nor healthy.

Groups provide the structure on which communities and the
larger society are built. They provide formal and informal struc-
ture in the workplace. They also provide a means through which
relationships with significant others are carried out. Participation
in family groups, peer groups, and classroom groups helps mem-
bers learn acceptable norms of social behavior, engage in satisfying
social relationships, identify personal goals, and derive a variety of
other benefits that result f rom participating in closely knit social
systems. Experiences in social, church, recreation, and other work
groups are essential in the development and maintenance of people
and society. Putnam (2000) points out that there has been a sharp
decline in participation in clubs and other civic organizations and
that social capital is not valued in contemporary society. At the same
time, web-based social network and self-help group sites continue
to grow enormously in popularity, enabling users to keep up con-
tacts with more and more people. One goal of this book is to under-
score the importance of groups as fundamental building blocks for
a connected, vibrant society.

L E A R N I N G O U T C O M E S

• Describe how group work is carried
out using a generalist perspective.

• Demonstrate how values and
professional ethics are applied in
group work practice.

• Define group work and its practice
applications.

• Compare the differences between
task- and treatment-oriented groups.

• List the advantages and
disadvantages of using groups to
help people and to accomplish tasks.

• Describe the types and functions of
treatment groups.

• Define the types and functions of
task groups.

1
Introduction

C H A P T E R O U T L I N E

Organization of the Text 18

The Focus of Group Work
Practice 18

Values and Ethics in Group Work
Practice 21

Definition of Group Work 27

Classifying Groups 28

Group Versus Individual Efforts 32

A Typology of Treatment
and Task Groups 35

Treatment Groups 36

Task Groups 44

Summary 58

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18 Chapter 1

OrganizatiOn Of the text

Group work is a series of activities carried out by the worker during the life of a group.
We have found that it is helpful to conceptualize these activities as being a part of six
developmental stages:

1. Planning

2. Beginning

3. Assessment

4. Middle

5. Ending

6. Evaluation

Groups exhibit certain properties and processes during each stage of their development.
The group worker’s task is to engage in activities that facilitate the growth and development
of the group and its members during each developmental stage. This book is divided into
five parts. Part I focuses on the knowledge base needed to practice with groups. The remain-
ing four parts are organized around each of these six stages of group work practice. Case
studies illustrating each practice stage can be found at the end of Chapters 6 through 14.

the fOcus Of
grOup WOrk practice

Social work practitioners use group work skills to help meet the needs of individual group
members, the group as a whole, and the community. In this text, group work involves the
following elements.

group Work practice
• Practice with a broad range of treatment and task groups
• Generalist practice based on a set of core competencies described in the Educa-

tion Policy and Accreditation Standards (EPAS) of the Council on Social Work
Education (2015)

• A focus on individual group members, the group as a whole,
and the group’s environment

• Critical thinking and evidence-based practice when it exists for
a particular practice problem or issue

• Application of foundation knowledge and skills f rom gener-
alist social work practice to a broad range of leadership and
membership situations

• Specialized knowledge and skills based on a comprehensive
assessment of the needs of particular members and groups

• Recognition of the interactional and situational nature of
leadership

Intervention

Behavior: critically choose and implement
interventions to achieve practice goals and
enhance capacities of clients and constituencies

critical thinking Question: Generalist social
work practice involves many systems. How is
group work related to generalist social work
practice?

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Introduction 19

This text is firmly grounded in a generalist approach to practice. To accomplish the
broad mission and goals of the social work profession, generalist practitioners are ex-
pected to possess core competencies based on the Council on Social Work Education’s
(2015) Educational Policy and Accreditation Standards (EPAS) that enables them to inter-
vene effectively with individuals, families, groups, organizations, and communities. This
text highlights the importance of the generalist practitioner’s acquisition of the core
competencies defined in the EPAS standards.

This text is designed to help generalist practitioners understand how group work
can be used to help individuals, families, groups, organizations, and communities func-
tion as effectively as possible. Most group work texts are focused on the use of groups
for clinical practice, and many focus only on therapy or support groups with little
attention paid to social, recreational, or educational purposes. Scant is made of commit-
tees, teams, and other task groups that all social workers participate in as members and
leaders. Despite the distinctive emphasis of the social work profession on the interface
between individuals and their social environment, in most group work texts, even less
attention is paid …